SSO NPRM Published 11.15.2023

Federal Register / Vol. 88, No. 219 / Wednesday, November 15, 2023 / Proposed Rules
Authority: 49 U.S.C. 106(f), 106(g); 40103,
40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR,
1959–1963 Comp., p. 389.
§ 71.1

[Amended]

2. The incorporation by reference in
14 CFR 71.1 of FAA Order JO 7400.11H,
Airspace Designations and Reporting
Points, dated August 11, 2023, and
effective September 15, 2023, is
amended as follows:

■

Paragraph 6009

Colored Federal Airways

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B–9

[Removed]

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Issued in Washington, DC, on November 9,
2023.
Karen L. Chiodini,
Acting Manager, Rules and Regulations
Group.
[FR Doc. 2023–25166 Filed 11–14–23; 8:45 am]
BILLING CODE 4910–13–P

DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
49 CFR Part 674
[Docket No. FTA–2023–0008]
RIN 2132–AB42

State Safety Oversight
Federal Transit Administration
(FTA), Department of Transportation
(DOT).
ACTION: Notice of proposed rulemaking
(NPRM).
AGENCY:

The Federal Transit
Administration (FTA) is proposing
revisions to the State Safety Oversight
(SSO) regulation to implement new
requirements of the Bipartisan
Infrastructure Law (enacted as the
Infrastructure Investment and Jobs Act
(IIJA)), remove outdated references, and
simplify notification requirements.
DATES: Comments should be filed by
January 16, 2024. FTA will consider
comments received after that date to the
extent practicable.
ADDRESSES: You may send comments,
identified by docket number FTA–
2023–0008, by any of the following
methods:
• Federal eRulemaking Portal:
https://www.regulations.gov. Follow the
instructions for sending comments.
• Fax: (202) 493–2251.
• Mail: Docket Management Facility,
U.S. Department of Transportation, 1200
New Jersey Avenue SE, West Building
Ground Floor, Room W12–140,
Washington, DC 20590–0001.
• Hand Delivery/Courier: West
Building Ground Floor, Room W12–140,

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SUMMARY:

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1200 New Jersey Avenue SE,
Washington, DC, between 9 a.m. and 5
p.m. ET, Monday through Friday, except
Federal holidays.
Instructions: All submissions received
must include the agency name and
docket number or Regulatory
Information Number (RIN) for this
rulemaking. All comments received will
be posted without change to https://
www.regulations.gov, including any
personal information provided. For
detailed instructions on sending
comments and additional information
on the rulemaking process, see the
‘‘Public Participation’’ heading of the
SUPPLEMENTARY INFORMATION section of
this document.
Docket: To access the docket and read
background documents or comments
received, go to: https://
www.regulations.gov. Background
documents and comments received may
also be viewed at the U.S. Department
of Transportation, 1200 New Jersey Ave.
SE, Docket Operations, M–30, West
Building Ground Floor, Room W12–140,
Washington, DC 20590–0001, between 9
a.m. and 5 p.m. EST, Monday through
Friday, except Federal holidays.
FOR FURTHER INFORMATION CONTACT: For
program matters, contact Loretta
Bomgardner, Office of Transit Safety
and Oversight, FTA, telephone (202)
577–5896 or loretta.bomgardner@
dot.gov. For legal matters, contact
Richard Wong, Office of the Chief
Counsel, telephone (202) 366–4011 or
[email protected]. Office hours are
from 8:30 a.m. to 5 p.m., Monday
through Friday, except Federal holidays.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Executive Summary
A. Purpose of Regulatory Action
B. Statutory Authority
C. Summary of Major Provisions
D. Benefits and Costs
II. Section-by-Section Analysis
III. Regulatory Analyses and Notices

1. Executive Summary
A. Purpose of Regulatory Action
This proposed rulemaking will update
the existing regulations for state safety
oversight of rail fixed guideway public
transportation systems. In the Moving
Ahead for Progress in the 21st Century
Act (MAP–21) (Pub. L. 112–141, July 6,
2012), Congress directed FTA to
establish a comprehensive public
transportation safety program, one
element of which is the State Safety
Oversight (SSO) Program. (See 49 U.S.C.
5329). Section 30012 of the Bipartisan
Infrastructure Law (BIL), enacted as the
Infrastructure Investment and Jobs Act
(IIJA), established new requirements for

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FTA’s Public Transportation Safety
Program. FTA is proposing revisions to
49 CFR part 674 to address requirements
related to the BIL, remove requirements
related to the initial establishment of
this part, and clarify requirements of the
existing part.
B. Statutory Authority
Section 5329 of Title 49, United States
Code, includes several provisions that
require FTA to establish a
comprehensive public transportation
safety program, the elements of which
include a National Public
Transportation Safety Plan; a training
and certification program for Federal,
state, and local transportation agency
employees with safety responsibilities;
Public Transportation Agency Safety
Plans; and a strengthened State Safety
Oversight Program.
C. Summary of Major Provisions
This NPRM proposes to make the
following changes to strengthen the
existing SSO program:
• Updating terminology to reflect
current use across programs.
• Clarifying existing requirements
consistent with FTA expectations.
• Removing language relating to the
period of transition from 49 CFR part
659, FTA’s previous SSO regulation, to
49 CFR part 674, the current SSO
regulation.
• Addressing BIL requirements.
D. Benefits and Costs
The proposed rule would result in
additional oversight of safety-related
activities of rail transit agencies (RTAs)
by state safety oversight agencies
(SSOAs). The effects of the increased
oversight are unknown and
unquantified. The proposed rule also
would result in additional costs for
SSOAs and RTAs to comply with the
requirements. The requirements of the
proposed rule have estimated costs of
$12.6 million (in 2022 dollars) for the
first year and annual costs of $10.7
million for later years. The largest
annual costs are for SSOA oversight
($7.9 million), which includes new riskbased inspection activities, and RTA
activities ($2.0 million), which include
investigations and reporting for a larger
number of safety events.
Table 1 summarizes the economic
effects of the proposed rule over the first
ten years of the proposed rule from
2023—the assumed effective date of the
rule—to 2033 in 2022 dollars. On an
annualized basis, the proposed rule
would have costs of $11.7 million at a
7 percent discount rate (discounted to
2023) and $11.3 million at 3 percent.

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TABLE 1—SUMMARY OF ECONOMIC EFFECTS, 2023–2033
[$2022, discounted to 2023]
Total,
2023–2033

Item

Annualized
(7%)

Annualized
(3%)

Benefits ........................................................................................................................................
Costs:
SSOA documentation of enforcement authority ...................................................................
SSOA oversight ....................................................................................................................
SSOA safety event tracking .................................................................................................
SSOA investigations .............................................................................................................
SSOA annual reporting to FTA ............................................................................................
RTA investigations and reporting .........................................................................................

Unquantified

........................

........................

$118,140
80,338,058
183,879
7,355,168
609,755
20,456,560

$16,820
8,659,910
19,675
787,003
65,244
2,188,852

$13,850
8,300,458
18,940
757,582
62,805
2,107,026

Total costs .....................................................................................................................
Net benefits ..................................................................................................................................

109,061,560
Unquantified

11,737,504
........................

11,260,660
........................

Totals may not sum due to rounding.

II. Section-by-Section Analysis
Subpart A—General Provisions
Section 674.1

Purpose

This section explains that the purpose
of these regulations is to carry out the
mandate of 49 U.S.C. 5329 for States to
perform oversight of rail fixed guideway
public transportation systems within
their jurisdictions. This represents an
expansion from the purpose stated in
the existing § 674.1, ‘‘this part carries
out the mandate of 49 U.S.C. 5329(e).’’
The removal of ‘‘(e)’’ acknowledges the
additional obligations for inspections
and data collection required by SSO
Agencies in section 5329(k), as amended
by the BIL, and better reflects the
connection among all elements of the
FTA’s public transportation safety
program.
Section 674.3

Applicability

FTA is not proposing changes to this
section.
Section 674.5

Policy

This section proposes removing the
term ‘‘sufficient’’ in paragraph (a) to
eliminate subjectivity regarding the
requirements for SSOA authorities. FTA
is also proposing to remove the first
sentence in paragraph (b), as the
availability of funding is addressed in
the existing language in § 674.17(a).

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Section 674.7

Definitions

This section proposes replacing the
terms ‘‘accident,’’ ‘‘incident,’’
‘‘occurrence,’’ and ‘‘event’’ with the
inclusive term ‘‘safety event,’’ which
includes events such as collisions,
derailments, fires, and unintended train
movements for purposes of meeting the
two-hour notification requirement in
§ 674.33. The definition of ‘‘safety
event’’ excludes general criminal
actions but includes intentional events
that result in a collision with a transit

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vehicle, such as an assault, homicide, or
suicide.
FTA also proposes removing the
definition of ‘‘serious injury.’’ These
revisions are consistent with changes
that FTA proposed in the PTASP NPRM
(88 FR 25336) and are intended to
simplify requirements related to safety
event notifications and investigations.
This section proposes new terms and
definitions for ‘‘collision,’’
‘‘derailment,’’ ‘‘evacuation for life safety
reasons,’’ ‘‘fatality,’’ ‘‘injury,’’ ‘‘public
transportation,’’ ‘‘rail transit vehicle,’’
‘‘revenue vehicle,’’ and ‘‘unintended
train movement,’’ and the removal of
the general term ‘‘vehicle’’ in
recognition of these new definitions,
which will be consistent with FTA’s
NTD reporting manuals and support the
notification and investigation thresholds
FTA is proposing in sections 674.33 and
674.35. FTA’s proposed definition of
‘‘injury’’ restores the threshold under
FTA’s previous part 659 regulation and
is consistent with the aforementioned
NTD reporting manuals. The definition
of ‘‘injury’’ includes damage or harm to
persons that requires immediate
medical attention away from the scene.
An individual who declines
transportation away from the scene for
medical attention should not be counted
as an ‘‘injury’’ for two-hour notification
purposes. This proposed definition
allows for an immediate, on scene
determination of injuries by the RTA
without the need to await a formal
diagnosis or determination from an offsite medical professional.
FTA also proposes a new definition
for ‘‘disabling damage’’ to support the
proposed notification and investigation
thresholds. ‘‘Disabling damage’’ is
limited to damage resulting from a
collision that physically prevents a
vehicle or train from operating under its
own power. Disabling damage does not
include mechanical failures or other

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malfunctions that may impact
operations.
FTA proposes new terms and
definitions for ‘‘potential consequence,’’
‘‘safety committee,’’ ‘‘safety risk,’’ and
‘‘safety risk mitigation’’ as well as
revised definitions of ‘‘Accountable
Executive’’ and ‘‘safety risk
management’’ for consistency with
definitions proposed in the PTASP
NPRM.
This section proposes revising the
definition of ‘‘investigation’’ to reflect
the replacement of the terms ‘‘accident’’
and ‘‘incident’’ with ‘‘safety event’’ as
described above.
This section proposes new terms and
definitions for ‘‘inspection’’ and ‘‘riskbased inspection program’’ to support
new SSOA requirements mandated by
the BIL.
This section proposes revising the
definition of ‘‘Public Transportation
Agency Safety Plan’’ to remove
reference to the transition from the
requirements under 49 CFR part 659,
the previous State Safety Oversight
regulation, to the present requirements
under 49 CFR part 674. This revision is
consistent with the end of the transition
period, which occurred in early 2019,
and FTA’s subsequent rescission of part
659 (87 FR 6783).
This section proposes revising the
definition of ‘‘Public Transportation
Safety Certification Training Program’’
to remove reference to the interim
provisions for this program. This section
also proposes adding a new term and
definition for ‘‘designated personnel’’ to
recognize individuals subject to the
Public Transportation Safety
Certification Training Program
regulation (49 CFR 672).
This section proposes reordering the
clauses in the definition of ‘‘rail fixed
guideway public transportation system’’
for clarity. This change aligns with the
definition that FTA proposed in the
PTASP NPRM and does not reflect a

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change in FTA’s implementation or
interpretation.
FTA proposes a minor revision to the
definition of ‘‘State Safety Oversight
Agency’’ to add a citation referencing
the SSOA inspection requirement in 49
U.S.C. 5329(k), which was added by the
BIL.
Section 674.9

Reserved

FTA proposes removing and reserving
this section. Previously, this section
provided requirements for the transition
from 49 CFR part 659, the previous State
Safety Oversight regulation, to part 674.
This removal acknowledges the end of
the transition period, which occurred in
early 2019, and FTA’s subsequent
rescission of part 659.
Subpart B—Role of the State
Section 674.11
Program

State Safety Oversight

FTA proposes eliminating the
deadlines established for States’ initial
compliance with the requirement, as all
States must have an FTA-approved SSO
program for rail transit agencies in their
State to be eligible for FTA financial
assistance. This initial compliance date,
which was three years of April 15,
2016,’’ has already passed. FTA is also
making a minor technical correction to
the statutory citation regarding FTA
triennial audits of SSO programs.
Section 674.13 Designation of
Oversight Agency

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Section 674.15 Designation of
Oversight Agency for Multi-State System
FTA is not proposing changes to this
section.
Section 674.17 Use of Federal
Financial Assistance
FTA is proposing to delete the term
‘‘parts’’ as superfluous.

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Section 674.19 Certification of a State
Safety Oversight Program

remove references to 49 U.S.C. 5330,
which has been repealed.

FTA proposes removing ‘‘(e)’’ from
‘‘5329(e)’’ in this section for the reasons
mentioned above and adding language
in § 674.19(d) to clarify the
Administrator’s determination to issue a
certification or a denial of certification
for an SSO program. This does not
reflect a change in FTA’s application of
the statutory and regulatory criteria.

Section 674.27 State Safety Oversight
Program Standards

Section 674.21 Withholding of Federal
Financial Assistance for
Noncompliance
When FTA published its final rule in
2016, States with existing rail fixed
guideway public transportation systems
were provided a three-year transition
period. Now that the transition period
has expired, FTA proposes updating
§ 674.21(b) to adopt FTA current
practice, which is to require a State to
establish an SSO program and have that
program approved by the FTA
Administrator prior to a new rail fixed
guideway public transportation system
entering the engineering or construction
phase of development. FTA also
proposes replacing the word
‘‘apportioned’’ with ‘‘authorized’’ for
accuracy.
Section 674.23
Information

Confidentiality of

FTA is not proposing changes to this
section.
Subpart C—State Safety Oversight
Agencies

FTA proposes revising the statutory
citation in § 674.13(a) to reflect new
statutory requirements. In § 674.13(a)(5),
FTA proposes including inspection
authorities to the list of authorities an
SSOA must have, reflecting the new
requirements in 49 U.S.C. 5329(k) that
SSOAs must conduct risk-based
inspections of the rail fixed guideway
public transportation systems that the
SSOA oversees.
In §§ 674.13(a)(4) and (a)(6), FTA
proposes a new reference to 49 CFR part
673, Public Transportation Agency
Safety Plans, which did not exist when
FTA published the current part 674 in
2016.

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Section 674.25 Role of the State Safety
Oversight Agency
In § 674.25, FTA proposes to add a
new paragraph (c) to explicitly
acknowledge an SSOA’s authority to
provide safety oversight of projects in
the engineering or construction phase of
development. This parallels the
statutory language in 49 U.S.C.
5329(e)(2)(B) and clarifies FTA’s intent
that SSOAs take an active oversight role
during a project’s pre-revenue phases.
FTA also proposes to move from the
current paragraph (b) into a new
paragraph (d) the requirement that
SSOAs ensure that a PTASP meets the
requirements of 49 U.S.C. 5329(d) and
part 673, a non-substantive change that
will provide clarity and improve
readability. Consequently, FTA
proposes to redesignate existing
paragraphs 674.24(c) through (f) as
paragraphs (e) through (h).
In addition, FTA is proposing minor
conforming edits in these paragraphs to
reflect the proposed definitions in
§ 674.7 as discussed above and to

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In § 674.27, FTA proposes a new
paragraph (a)(3) to require an SSOA to
develop a process to address comments
from an RTA regarding an SSO program
standard. This reflects industry
concerns that some SSOAs do not
formally respond to RTA comments.
This addition requires SSOs to establish
a process by which SSOAs will address
RTA comments regarding the program
standard. Because of the proposed
addition of paragraph (a)(3), the
remaining paragraphs are being
renumbered.
FTA proposes expanding the
renumbered § 674.27(a)(5) to include
specific requirements for SSOA
oversight of RTA internal safety
reviews. Internal safety reviews are
distinct from the existing annual review
and update requirement in 49 CFR
673.11(a)(5). Internal safety reviews
monitor the actual implementation of
the PTASP. However, the results of the
internal safety reviews may inform the
RTA’s annual PTASP document review
and update process. The previous 49
CFR 659.19 included explicit
requirements for these internal safety
reviews; however, Part 674 removed the
prescriptive requirements in § 659.19
with the expectation that they would be
addressed in the PTASP final rule. The
PTASP final rule did not address
internal safety reviews, prompting some
RTAs to ask whether they were no
longer required by FTA, even though
SSOAs continued to require them under
their State program standards. To
provide clarity, the proposed language
confirms the requirement that the
State’s program standard must define
internal safety review requirements,
which are addressed in § 673.27(d)(iii)
of the PTASP NPRM (88 FR 25336, at
25351). The proposed language
establishes minimum requirements for
internal safety reviews, including the
requirement that RTAs must verify the
implementation of all elements of the
PTASP over a three-year period, with
the expectation that RTAs will be
conducting internal safety reviews on an
ongoing basis. Further, the RTA must
notify the SSOA thirty days before it
conducts an internal safety review of
any aspect of the rail fixed guideway
public transportation system and
provide any checklists or procedures it
will use during the review. Finally, the
RTA must submit a report to the SSOA
annually documenting the internal
safety review activities and the status of

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subsequent findings and corrective
actions.
A new § 674.27(a)(6) relating to the
oversight of safety risk mitigations
proposes requirements for the SSOA to
define the process it will use to oversee
an RTA’s development, implementation,
and monitoring of safety risk
mitigations. The program standard must
specify the frequency and format for
how the SSOA will receive and review
information about an RTA’s safety risk
mitigation status and effectiveness.
Although 49 CFR part 673 established
specific requirements for safety
management, including the
development, implementation and
monitoring of safety risk mitigations,
part 674 was published prior to part 673
and did not include specific oversight
requirements related to safety risk
mitigation. Therefore, FTA is proposing
these requirements to ensure that
SSOAs have a documented process to
oversee the safety risk mitigation
processes required of RTAs.
A new § 674.27(a)(7) regarding
oversight of the safety certification
training program proposes that the
SSOA will review and approve RTA
designations of individuals directly
responsible for safety oversight and the
RTA’s identification of refresher
training as required under the Public
Safety Certification Training Program
regulation (49 CFR 672). This role was
not made explicit in the current part 674
and this new language clarifies FTA’s
expectation that SSOAs oversee RTA
compliance with 49 CFR 672
requirements.
The renumbered § 674.27(a)(9) is also
renamed from ‘‘Accident notification’’
to ‘‘Safety event notification,’’
consistent with the discussion above in
§ 674.7, where FTA proposes replacing
the term ‘‘accident’’ with the term
‘‘safety event’’ and proposes conforming
edits in the renumbered § 674.27(a)(10).
FTA also proposes requiring the SSO
program standard to establish
requirements for RTAs to notify the
SSOA and FTA of safety events to
ensure that the notification requirement
in § 674.33 is addressed in an RTA’s
PTASP, as the current paragraph
omitted any reference to FTA.
In the renumbered § 674.27(a)(11),
FTA is inserting the term ‘‘SSO’’ before
‘‘program standard’’ for consistency
with the rest of this section.
FTA proposes adding a new
§ 674.27(a)(12), ‘‘Inspections,’’ to
incorporate the requirement that SSOAs
conduct risk-based inspections of the
RTAs they oversee. On October 21,
2022, FTA issued Special Directives to
each SSOA directing them to develop
and implement a risk-based inspection

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program as required by the BIL. The
Special Directives require SSOAs to
include policies and procedures for
Risk-Based Inspection in their Program
Standards and develop and begin
implementing their Risk-Based
Inspection program by October 21, 2024.
FTA proposes adding a new
§ 674.27(a)(13), ‘‘Vehicle maintenance
and testing,’’ requiring SSOAs to amend
their program standard to include a new
requirement that SSOAs ensure that rail
transit agencies conduct maintenance
and testing procedures of braking
systems, consistent with NTSB
Recommendation R–17–004 (https://
data.ntsb.gov/carol-main-public/srdetails/R-17-004).
Finally, a new § 674.27(a)(14), ‘‘Data
collection,’’ proposes specific data
collection requirements for collecting
data that the RTA uses when identifying
hazards and assessing safety risk. This
responds to industry feedback regarding
the role of the SSOA in overseeing
safety risk management of the RTAs
under their jurisdiction.
Section 674.29 Public Transportation
Agency Safety Plans: General
Requirements
In § 674.29, FTA proposes the
addition of a reference to 49 U.S.C.
5329(d) and 49 CFR part 673 in
paragraph (a) for clarity and the removal
of paragraph (b). Because part 674 was
published prior to part 673, FTA
provided a list of the expected PTASP
elements in paragraph (b) as an interim
measure to guide SSOAs. With the
publication of part 673 in 2018, the list
is no longer necessary. Consistent with
the removal of the current paragraph (b),
FTA proposes to renumber paragraph (c)
as paragraph (b).
Section 674.31 Triennial Audits:
General Requirements
In § 674.31, FTA proposes to clarify
that SSOAs which elect to audit an
RTA’s compliance with its Public
Transportation Agency Safety Plan on
an ongoing basis must issue interim
audit reports at least annually. This
clarification does not reflect a change in
FTA’s current implementation of this
requirement.
Section 674.33 Notifications of Safety
Events
In § 674.33, FTA proposes to replace
the term ‘‘accident’’ with ‘‘safety event.’’
This replacement streamlines
definitions used in requirements related
to event notification and investigation.
This section proposes specific
notification criteria that replace the
Appendix in the current part 674. This
replacement text clarifies FTA’s

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minimum requirements for two-hour
notifications to FTA and SSOAs and
reflects changes to reporting thresholds
suggested by SSOAs and RTAs, who
found it difficult to quickly determine
the scope of one’s ‘‘serious injuries’’ as
defined in the Appendix within two
hours of a safety event, specifically,
injuries resulting in bone fractures,
nerve or muscle damage, injuries to
internal organs, or hospitalizations
exceeding 48 hours. The proposed
notification requirements exclude
general crimes but include intentional
events resulting in a collision with a
transit vehicle, such as an assault,
homicide, or suicide. Additionally, FTA
proposes to remove paragraph (b) that
requires RTAs to notify FTA and SSOAs
of safety events triggering FRA’s
notification requirements under 49 CFR
part 225, as notification on FRAregulated trackage is already reported to
the USDOT and received by FTA via the
National Response Center.
Section 674.35 Investigations
In § 674.35, FTA proposes replacing
the term ‘‘accident’’ with ‘‘safety event,’’
and clarifying that this includes any
safety event that meets one or more
thresholds in § 674.33. FTA also
proposes dividing the requirements in
§ 674.35(a) into a new § 674.35(a) and
§ 674.35(b) for clarity. These changes do
not reflect a change in the
implementation of the current
requirements.
Section 674.37 Corrective Action Plans
In § 674.37, FTA proposes a new
paragraph (a) and redesignating
paragraphs (a) through (c) as paragraphs
(b) through (d).
The new paragraph (a) proposes
language clarifying the basis for the
development of a corrective action plan
(CAP). The proposed language requires
the development of a CAP to address
investigations that determined causal or
contributing factors require corrective
actions, findings of non-compliance
from safety reviews and inspections
performed by the SSOA, or findings of
non-compliance from internal safety
reviews performed by the RTA. These
proposals do not reflect a change in
current practice.
In the renumbered § 674.37(c), FTA
proposes language clarifying CAP
requirements to ensure alignment with
Safety Management System
terminology. In the renumbered
674.37(d), FTA proposes adding ‘‘FTA’’
as an agency authorized to conduct
investigations, reflecting FTA’s
authority to investigate public
transportation accidents and incidents
under 49 U.S.C. 5329(f)(5), with the

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SSOA expected to evaluate whether the
findings or recommendations by FTA or
the NTSB require a CAP by the RTA.
Section 674.39 State Safety Oversight
Agency Annual Reporting to FTA
In § 674.39(a)(2), FTA proposes
clarifying language regarding
‘‘designated personnel’’ for consistency
with the Public Transportation Safety
Certification Training Program in 49
CFR part 672 and does not reflect a
change in purpose or intent.
In § 674.39(a)(3), FTA proposes
replacing the term ‘‘accident’’ with
‘‘safety event,’’ consistent with the
explanation provided above. Section
674.39(a)(4) proposes specifying that
SSOAs must submit final investigation
reports as part of their annual reporting
to FTA. This reporting is already
required through the current reporting
process and this language does not
reflect a change in FTA’s practice.
In § 674.39(a)(5), FTA proposes
specifying that SSOAs must provide a
summary of the internal safety reviews
conducted by RTAs during the previous
12 months and RTA progress in carrying
out CAPs arising from the SSOA’s
oversight of RTA ASPs and any related
safety reviews. This reporting is already
required through the current reporting
process and this language does not
reflect a change in FTA’s practice.
Section 674.41

Conflicts of Interest

FTA is not proposing changes to this
section.

Removed: Appendix to Part 674—
Notification and Reporting of Accidents,
Incidents, and Occurrences
FTA proposes removing the table
addressing the notification and
reporting requirements for accidents,
incidents, and occurrences, as FTA is
proposing to address this requirement in
§ 674.33.
III. Regulatory Analyses and Notices
Executive Order 12866 (Regulatory
Planning and Review), Executive Order
13563 (Improving Regulation and
Regulatory Review), and Department of
Transportation (DOT) Regulatory
Policies and Procedures
Executive Order 12866 (‘‘Regulatory
Planning and Review’’), as
supplemented by Executive Order
13563 (‘‘Improving Regulation and
Regulatory Review’’), directs Federal
agencies to assess the benefits and costs
of regulations, to select regulatory
approaches that maximize net benefits
when possible, and to consider
economic, environmental, and
distributional effects. It also directs the
Office of Management and Budget
(OMB) to review significant regulatory
actions, including regulations with
annual economic effects of $100 million
or more. OMB has determined that the
proposed rule is not significant within
the meaning of Executive Order 12866
and has not reviewed it under that
order.
Overview
The proposed rule, which implements
amendments made by the Bipartisan

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Infrastructure Law, would add
requirements for state safety oversight
agencies (SSOAs) and the rail transit
agencies (RTAs) they oversee. The
proposed rule will require SSOAs to
conduct risk-based inspections, oversee
safety risk mitigations, and investigate a
larger number of safety events than they
currently investigate. The proposed rule
will also require RTAs to conduct
additional accident investigations and
prepare additional reports. Finally, the
proposed rule will clarify existing
requirements, update terminology, and
remove interim provisions that no
longer apply.
Benefits
The proposed rule would lead to
increased oversight of RTA safetyrelated activities, although the effects of
the oversight are unknown and
unquantified in the analysis. The
proposed rule may also benefit SSOAs
and rail transit agencies by clarifying
requirements and reducing costs to
ensure compliance.
Costs
SSOAs and RTAs would incur
economic costs to meet the new
oversight and increased reporting
requirements of the proposed rule. To
estimate the costs of meeting the new
requirements, FTA estimated the
number of entities affected, the number
and type of staff involved, and the time
needed. The new oversight
requirements would affect 31 SSOAs in
operation as of March 1, 2023 (table 2).1

TABLE 2—STAFF AND HOURS NEEDED FOR SSOAS TO MEET NEW OVERSIGHT REQUIREMENTS
Requirement

Staff

Annual hours

SSOA documentation of enforcement authority (first year only)
SSOA oversight (first year):
Establish disposition process .............................................
Define requirements for internal safety reviews ................
Document oversight of safety risk mitigations ...................
Document oversight of RTA training compliance ..............
Develop risk-based inspection programs ...........................
Establish thresholds for safety event notifications .............
Document data collection procedures with RTAs ..............
SSOA oversight (annual):
Oversee safety risk mitigations ..........................................
Oversee RTA training compliance .....................................

31 SSOA staff ..................................................

Total hours

40

1,240

..................................................
..................................................
..................................................
..................................................
(2 staff per SSOA) ..................
..................................................
..................................................

80
80
80
20
160
10
20

2,480
2,480
2,480
620
9,920
310
620

31 SSOA staff ..................................................
31 SSOA staff ..................................................

500
20

15,500
620

31
31
31
31
62
31
31

SSOA
SSOA
SSOA
SSOA
SSOA
SSOA
SSOA

staff
staff
staff
staff
staff
staff
staff

ddrumheller on DSK120RN23PROD with PROPOSALS1

Source: FTA analysis.

Under the current thresholds for
reporting safety events, RTAs had an
average of 618 reportable events per

year from 2017 to 2021.2 Under the
proposed thresholds, the number would
increase to 811 reportable events per

year (an increase of 193 reports) and
result in additional reporting costs for
SSOA and RTA employees (table 3).

1 Federal Transit Administration. August 3, 2022.
‘‘State Safety Oversight Contacts.’’ https://

www.transit.dot.gov/regulations-and-guidance/
safety/state-safety-oversight-contacts.

2 Average events calculated using FTA’s State
Safety Oversight Reporting system.

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Federal Register / Vol. 88, No. 219 / Wednesday, November 15, 2023 / Proposed Rules
TABLE 3—STAFF AND HOURS NEEDED FOR SSOAS AND RTAS TO MEET REPORTING REQUIREMENTS
Requirement

Staff

Annual hours

Total hours

SSOA safety event tracking (annual) ...........................
SSOA safety event investigations (annual):
Prepare investigation reports ................................
Review and approve reports .................................
SSOA reporting to FTA (annual):
Submit investigation reports ..................................
Submit summary of internal safety reviews ..........
Investigation and reporting (annual):
Conduct accident investigations ............................
Prepare event investigation reports ......................
Make submissions to SSOA ..................................

SSOA staff; 193 reports ...............................................

1

193

SSOA safety event investigators; 193 reports .............
SSOA safety event investigators; 193 reports .............

22
10

4,246
1,930

SSOA staff; 193 reports ...............................................
SSOA staff; 193 reports ...............................................

5
5

320
320

RTA safety event investigators; 193 reports ................
RTA safety event investigators; 193 reports ................
RTA safety event investigators; 193 reports ................

47
30
12

9,071
5,790
2,316

Source: FTA analysis.

To estimate the value of staff time
spent on the requirements, FTA used
occupational wage data from the Bureau
of Labor Statistics as of May 2022 (table
2).3 For general SSOA and trail transit
agency staff, the closest occupational
category is ‘‘General and Operations

for employer benefits, for a cost estimate
of $95.27 per hour.4 For safety event
investigators, who do not have a close
analogue in the occupational wage data,
FTA assumed a 25 percent wage and
benefit premium for a cost estimate of
$119.09 per hour.

Managers’’ (code 11–1021) in the
‘‘Transit and Ground Passenger
Transportation’’ industry (North
American Industry Classification
System code 485000). FTA used median
hourly wages as a basis for the
estimates, multiplied by 1.62 to account

TABLE 4—OCCUPATIONAL CATEGORIES AND WAGES USED TO VALUE STAFF TIME
[$2022]
Median hourly
wage

Staff

Occupational category

Code

SSOA and RTA general staff .........................
SSOA and RTA safety event investigators ....

General and Operations Managers ...............
N/A .................................................................

11–1021
........................

$59.07
73.84

Wage with
benefits
$95.27
119.09

Source: Bureau of Labor Statistics, May 2022 National Occupational Employment and Wage Estimates.

The requirements of the proposed rule
have estimated costs of $12.6 million (in
2022 dollars) for the first year and
annual costs of $10.7 million for later

years (table 5). The largest annual costs
are for SSOA oversight ($7.9 million),
which includes risk-based inspection
activities, and RTA activities ($2.0

million), which include investigations
and reporting for a larger number of
safety events.

TABLE 5—FIRST-YEAR AND ANNUAL COSTS FOR PROPOSED RULE REQUIREMENTS
[$2022]
First-year
costs

Requirement

Annual costs

SSOA documentation of enforcement authority ......................................................................................................
SSOA oversight .......................................................................................................................................................
SSOA safety event tracking ....................................................................................................................................
SSOA investigations ................................................................................................................................................
SSOA annual reporting to FTA ...............................................................................................................................
RTA investigations and reporting ............................................................................................................................

$118,140
9,655,277
18,388
735,517
60,975
2,045,656

........................
$7,853,642
18,388
735,517
60,975
2,045,656

Total ..................................................................................................................................................................

12,633,954

10,714,179

Totals may not sum due to rounding.

ddrumheller on DSK120RN23PROD with PROPOSALS1

Summary
Table 6 summarizes the economic
effects of the proposed rule over the first

3 Bureau of Labor Statistics. 2023. ‘‘May 2022
National Occupational Employment and Wage
Estimates: United States.’’ https://www.bls.gov/oes/
2022/may/oes_nat.htm.

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ten years of the proposed rule from
2023—the assumed effective date of the
rule—to 2032 in 2022 dollars. On an
annualized basis, the proposed rule

would have net costs of $11.7 million at
a 7 percent discount rate (discounted to
2023) and $11.3 million at 3 percent.

4 Multiplier derived using Bureau of Labor
Statistics data on employer costs for employee
compensation in December 22 (https://www.bls.gov/
news.release/ecec.htm). Employer costs for state

and local government workers averaged $57.60 an
hour, with $35.69 for wages and $21.95 for benefit
costs. To estimate full costs from wages, one would
use a multiplier of $57.60/$21.95, or 1.62.

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TABLE 6—SUMMARY OF ECONOMIC EFFECTS, 2023–2033
[$2022, discounted to 2023]
Item

Total,
2023–2033

Annualized
(7%)

Annualized
(3%)

Benefits ........................................................................................................................................
Costs:
SSOA documentation of enforcement authority ..................................................................
SSOA oversight ....................................................................................................................
SSOA safety event tracking .................................................................................................
SSOA investigations .............................................................................................................
SSOA annual reporting to FTA ............................................................................................
RTA investigations and reporting .........................................................................................

Unquantified ...

........................

........................

$118,140 ........
80,338,058 .....
183,879 ..........
7,355,168 .......
609,755 ..........
20,456,560 .....

$16,820
8,659,910
19,675
787,003
65,244
2,188,852

$13,850
8,300,458
18,940
757,582
62,805
2,107,026

Total costs .....................................................................................................................
Net benefits .................................................................................................................................

109,061,560 ...
Unquantified ...

11,737,504
........................

11,260,660
........................

Totals may not sum due to rounding.

Regulatory Flexibility Act
The Regulatory Flexibility Act of 1980
(RFA) (5 U.S.C. 601 et seq.) requires
Federal agencies to assess the impact of
a regulation on small entities unless the
agency determines that the regulation is
not expected to have a significant
economic impact on a substantial
number of small entities.
The proposed rule would require state
safety oversight agencies to meet
additional reporting and administrative
requirements. Under the Regulatory
Flexibility Act, governments and other
public-sector organizations qualify as
small entities if they serve a population
of less than 50,000. State agencies do
not qualify because they serve
populations greater than 50,000. FTA
has therefore determined that the
proposed rule would not have a
significant effect on a substantial
number of small entities.
Unfunded Mandates Reform Act of 1995
FTA has determined that this
rulemaking does not require a written
statement under the Unfunded
Mandates Reform Act of 1995 (2 U.S.C.
1532) because it does not impose a
Federal mandate that may result in the
expenditure of $100 million or more in
any 1 year (when adjusted annually for
inflation using the base year of 1995) for
either State, local, and tribal
governments in the aggregate, or by the
private sector.

ddrumheller on DSK120RN23PROD with PROPOSALS1

Executive Order 13132 (Federalism
Assessment)
Executive Order 13132 requires
agencies to assure meaningful and
timely input by State and local officials
in the development of regulatory
policies that may have a substantial
direct effect on the States, on the
relationship between the national
government and the States, or on the
distribution of power and

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responsibilities among the various
levels of government. This action has
been analyzed in accordance with the
principles and criteria contained in
Executive Order 13132 (August 4, 1999),
and FTA determined this action will not
have a substantial direct effect or
sufficient federalism implications on the
States. FTA also determined this action
will not preempt any State law or
regulation or affect the States’ ability to
discharge traditional State governmental
functions.
Executive Order 12372
(Intergovernmental Review)
The regulations implementing
Executive Order 12372 regarding
intergovernmental consultation on
Federal programs and activities apply to
this program.
Paperwork Reduction Act
In compliance with the Paperwork
Reduction Act of 1995 (PRA) (44 U.S.C.
3501 et seq.), and the White House
Office of Management and Budget’s
(OMB) implementing regulation at 5
CFR 1320.8(d), FTA is seeking approval
from OMB for a currently approved
information collection (OMB Control
Number 2132–0558) that is associated
with this Notice of Proposed
Rulemaking. The information collection
(IC) was previously approved on April
7, 2023. However, this submission
includes changes in requirements
applicable to the SSO program affecting
various respondents.
National Environmental Policy Act
Federal agencies are required to adopt
implementing procedures for the
National Environmental Policy Act
(NEPA) that establish specific criteria
for, and identification of, three classes
of actions: (1) Those that normally
require preparation of an Environmental
Impact Statement, (2) those that
normally require preparation of an

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Environmental Assessment, and (3)
those that are categorically excluded
from further NEPA review (40 CFR
1507.3(b)). This rulemaking qualifies for
categorical exclusions under 23 CFR
771.118(c)(4) (planning and
administrative activities that do not
involve or lead directly to construction).
FTA has evaluated whether the
rulemaking will involve unusual or
extraordinary circumstances and has
determined that it will not.
Executive Order 12630 (Taking of
Private Property)
FTA has analyzed this rulemaking
under Executive Order 12630,
Governmental Actions and Interference
with Constitutionally Protected Property
Rights. FTA does not believe this
rulemaking affects a taking of private
property or otherwise has taking
implications under Executive Order
12630.
Executive Order 12988 (Civil Justice
Reform)
This rulemaking meets applicable
standards in sections 3(a) and 3(b)(2) of
Executive Order 12988, Civil Justice
Reform, to minimize litigation,
eliminate ambiguity, and reduce
burden.
Executive Order 13045 (Protection of
Children)
FTA has analyzed this rulemaking
under Executive Order 13045,
Protection of Children from
Environmental Health Risks and Safety
Risks. FTA certifies that this action will
not cause an environmental risk to
health or safety that might
disproportionately affect children.
Executive Order 13175 (Tribal
Consultation)
FTA has analyzed this rulemaking
under Executive Order 13175, dated
November 6, 2000, and believes that it

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will not have substantial direct effects
on one or more Indian tribes; will not
impose substantial direct compliance
costs on Indian tribal governments; and
will not preempt tribal laws. Therefore,
a tribal summary impact statement is
not required.

ddrumheller on DSK120RN23PROD with PROPOSALS1

Executive Order 13211 (Energy Effects)
FTA has analyzed this rulemaking
under Executive Order 13211, Actions
Concerning Regulations That
Significantly Affect Energy Supply,
Distribution, or Use. FTA has
determined that this action is not a
significant energy action under that
order and is not likely to have a
significant adverse effect on the supply,
distribution, or use of energy. Therefore,
a Statement of Energy Effects is not
required.
Executive Order 12898 (Environmental
Justice)
Executive Order 12898 (Federal
Actions to Address Environmental
Justice in Minority Populations and
Low-Income Populations) and DOT
Order 5610.2(a) (https://
www.transportation.gov/transportationpolicy/environmental-justice/
department-transportation-order56102a) require DOT agencies to
achieve Environmental Justice (EJ) as
part of their mission by identifying and
addressing, as appropriate,
disproportionately high and adverse
human health or environmental effects,
including interrelated social and
economic effects, of their programs,
policies, and activities on minority and
low-income populations. All DOT
agencies must address compliance with
Executive Order 12898 and the DOT
Order in all rulemaking activities. On
August 15, 2012, FTA’s Circular 4703.1
became effective, which contains
guidance for recipients of FTA financial
assistance to incorporate EJ principles
into plans, projects, and activities
(http://www.fta.dot.gov/documents/
FTA_EJ_Circular_7.14-12_FINAL.pdf).
FTA has evaluated this rulemaking
under Executive Order 12898, the DOT
Order, and the FTA Circular, and FTA
has determined that this action will not
cause disproportionately high and
adverse human health and
environmental effects on minority or
low-income populations.
Regulation Identifier Number
A Regulation Identifier Number (RIN)
is assigned to each regulatory action
listed in the Unified Agenda of Federal
Regulations. The Regulatory Information
Service Center publishes the Unified
Agenda in April and October of each
year. The RIN number contained in the

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heading of this document can be used
to cross-reference this rulemaking with
the Unified Agenda.
List of Subjects in 49 CFR Part 674
Grant program—transportation, Mass
transportation, Reporting and
recordkeeping requirements, Safety.
Nuria I. Fernandez,
Administrator.

For the reasons stated in the preamble,
and under the authority of 49 U.S.C.
5329 and the delegation of authority at
49 CFR 1.91, the Federal Transit
Administration proposes to revise 49
CFR part 674 to read as follows:

■

Title 49—Transportation
PART 674—STATE SAFETY
OVERSIGHT
Sec.
Subpart A—General Provisions
674.1
674.3
674.5
674.7
674.9

Purpose.
Applicability.
Policy.
Definitions.
[Reserved]

Subpart B—Role of the State
674.11 State Safety Oversight Program.
674.13 Designation of oversight agency.
674.15 Designation of oversight agency for
multi-state system.
674.17 Use of Federal financial assistance.
674.19 Certification of a State Safety
Oversight Program.
674.21 Withholding of Federal financial
assistance for noncompliance.
674.23 Confidentiality of information.
Subpart C—State Safety Oversight
Agencies
674.25 Role of the State safety oversight
agency.
674.27 State safety oversight program
standards.
674.29 Public Transportation Agency Safety
Plans: General requirements.
674.31 Triennial audits: General
requirements.
674.33 Notification of safety events.
674.35 Investigations.
674.37 Corrective action plans.
674.39 State Safety Oversight Agency
annual reporting to FTA.
674.41 Conflicts of interest.
Authority: 49 U.S.C. 5329; 49 CFR 1.91.

49 CFR Part 674
Subpart A—General Provisions
§ 674.1

Purpose.

This part carries out the mandate of
49 U.S.C. 5329 for State safety oversight
of rail fixed guideway public
transportation systems.

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§ 674.3

Applicability.

This part applies to States with rail
fixed guideway public transportation
systems; State safety oversight agencies
that oversee the safety of rail fixed
guideway public transportation systems;
and entities that own or operate rail
fixed guideway public transportation
systems with Federal financial
assistance authorized under 49 U.S.C.
Chapter 53.
§ 674.5

Policy.

(a) In accordance with 49 U.S.C. 5329,
a State that has a rail fixed guideway
public transportation system within the
State has primary responsibility for
overseeing the safety of that rail fixed
guideway public transportation system.
A State safety oversight agency must
have the authority, resources, and
qualified personnel to oversee the
number, size, and complexity of rail
fixed guideway public transportation
systems that operate within a State.
(b) FTA will certify whether a State
safety oversight program meets the
requirements of 49 U.S.C. 5329 and is
adequate to promote the purposes of the
public transportation safety programs
codified at 49 U.S.C. 5329.
§ 674.7

Definitions.

As used in this part:
Accountable Executive means a
single, identifiable person who has
ultimate responsibility for carrying out
the Public Transportation Agency Safety
Plan of a transit agency; responsibility
for carrying out the transit agency’s
Transit Asset Management Plan; and
control or direction over the human and
capital resources needed to develop and
maintain both the transit agency’s
Public Transportation Agency Safety
Plan, in accordance with 49 U.S.C.
5329(d), and the transit agency’s Transit
Asset Management Plan in accordance
with 49 U.S.C. 5326.
Administrator means the Federal
Transit Administrator or the
Administrator’s designee.
Collision means any impact between
a rail transit vehicle and any other
vehicle, object, or any person.
Contractor means an entity that
performs tasks on behalf of FTA, a State
Safety Oversight Agency, or a Rail
Transit Agency, through contract or
other agreement.
Corrective action plan means a plan
developed by a Rail Transit Agency that
describes the actions the Rail Transit
Agency will take to minimize, control,
correct, or eliminate risks and hazards,
and the schedule for taking those
actions. Either a State Safety Oversight
Agency or FTA may require a Rail

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Federal Register / Vol. 88, No. 219 / Wednesday, November 15, 2023 / Proposed Rules
Transit Agency to develop and carry out
a corrective action plan.
Derailment for the purposes of this
part means an event in which one or
more wheels of a rail transit vehicle
unintentionally leaves the rails.
Designated personnel means:
(1) Employees and contractors
identified by a recipient whose job
functions are directly responsible for
safety oversight of the public
transportation system of the public
transportation agency; or
(2) Employees and contractors of a
State Safety Oversight Agency whose
job functions require them to conduct
reviews, inspections, examinations, and
other safety oversight activities of the
rail fixed guideway public
transportation systems subject to the
jurisdiction of the agency.
Disabling Damage means damage to a
rail transit vehicle resulting from a
collision and preventing the vehicle
from operating under its own power.
Evacuation for Life Safety Reasons
means a condition that occurs when
persons depart from transit vehicles or
facilities for life safety reasons,
including self-evacuation. A life safety
reason may include a situation such as
a fire, the presence of smoke or noxious
fumes, a fuel leak from any source, an
electrical hazard, or other hazard to any
person. An evacuation of passengers
into the rail right of way (not at a
platform or station) for any reason is
presumed to be an evacuation for life
safety reasons.
Fatality means a death confirmed
within 30 days of an event. Fatalities
include suicides, but do not include
deaths in or on transit property that are
a result of drug overdose, exposure to
the elements, illness, or natural causes.
FRA means the Federal Railroad
Administration, an operating
administration within the United States
Department of Transportation.
FTA means the Federal Transit
Administration, an operating
administration within the United States
Department of Transportation.
Hazard means any real or potential
condition that can cause injury, illness,
or death; damage to or loss of the
facilities, equipment, rolling stock, or
infrastructure; or damage to the
environment.
Injury means any harm to persons as
a result of an event that requires
immediate medical attention away from
the scene. Does not include harm
resulting from a drug overdose,
exposure to the elements, illness,
natural causes, or occupational safety
events occurring in administrative
buildings.

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Inspection means a physical
observation of equipment, facilities,
rolling stock, operations, or records for
the purpose of gathering or analyzing
facts or information.
Investigation means the process of
determining the causal and contributing
factors of a safety event or hazard, for
the purpose of preventing recurrence
and mitigating safety risk.
National Public Transportation Safety
Plan means the plan to improve the
safety of all public transportation
systems that receive Federal financial
assistance under 49 U.S.C. Chapter 53.
NTSB means the National
Transportation Safety Board, an
independent Federal agency.
Person means a passenger, employee,
contractor, volunteer, official worker,
pedestrian, trespasser, or any other
individual on the property of a rail fixed
guideway public transportation system
or associated infrastructure.
Potential Consequence means the
effect of a hazard.
Public transportation has the meaning
found in 49 U.S.C. 5302.
Public Transportation Agency Safety
Plan (PTASP) means the documented
comprehensive agency safety plan for a
transit agency that is required by 49
U.S.C. 5329 and part 673 of this chapter.
Public Transportation Safety
Certification Training Program
(PTSCTP) means the certification
training program that is required by 49
U.S.C. 5329(c) and part 672 of this
chapter.
Rail fixed guideway public
transportation system means any fixed
guideway system, or any such system in
engineering or construction, that uses
rail, is operated for public
transportation, is within the jurisdiction
of a State, and is not subject to the
jurisdiction of the Federal Railroad
Administration. These include but are
not limited to rapid rail, heavy rail, light
rail, monorail, trolley, inclined plane,
funicular, and automated guideway.
Rail Transit Agency (RTA) means any
entity that provides services on a rail
fixed guideway public transportation
system.
Rail transit vehicle means any rolling
stock used on a rail fixed guideway
public transportation system, including
but not limited to passenger and
maintenance vehicles.
Revenue vehicle means a rail transit
vehicle used to provide revenue service
for passengers. This includes providing
fare free service.
Risk-based inspection program means
an inspection program that uses
qualitative and quantitative data
analysis to inform ongoing inspection
activities. Risk-based inspection

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78277

programs are designed to prioritize
inspections to address safety concerns
and hazards associated with the highest
levels of safety risk.
Safety Committee means the formal
joint labor-management committee on
issues related to safety that is required
by 49 U.S.C. 5329 and part 673 of this
chapter.
Safety event means an unexpected
outcome resulting in injury or death;
damage to or loss of the facilities,
equipment, rolling stock, or
infrastructure of a public transportation
system; or damage to the environment.
Safety risk means the composite of
predicted severity and likelihood of a
potential consequence of a hazard.
Safety Risk Management means a
process within a transit agency’s Public
Transportation Agency Safety Plan for
identifying hazards and analyzing,
assessing, and mitigating the safety risk
of their potential consequences.
Safety risk mitigation means a method
or methods to eliminate or reduce the
severity and/or likelihood of a potential
consequence of a hazard.
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.
State Safety Oversight Agency (SSOA)
means an agency established by a State
that meets the requirements and
performs the functions specified by 49
U.S.C. 5329(e) and (k) and the
regulations set forth in this part.
Unintended train movement means
any instance where a revenue vehicle is
moving and is not under the control of
a driver (whether or not the operator is
physically on the vehicle at the time).
This applies regardless of whether the
event occurred in revenue service.
§ 674.9

[Reserved]

Subpart B—Role of the State
§ 674.11

State Safety Oversight Program.

Every State that has a rail fixed
guideway public transportation system
must have a State Safety Oversight
(SSO) program that has been approved
by the Administrator. FTA will audit
each State’s compliance at least
triennially, consistent with 49 U.S.C.
5329(e)(10). At minimum, an SSO
program must:
(a) Explicitly acknowledge the State’s
responsibility for overseeing the safety
of the rail fixed guideway public
transportation systems within the State;
(b) Demonstrate the State’s ability to
adopt and enforce Federal and relevant
State law for safety in rail fixed
guideway public transportation systems;

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(c) Establish a State safety oversight
agency, by State law, in accordance with
the requirements of 49 U.S.C. 5329 and
this part;
(d) Demonstrate that the State has
determined an appropriate staffing level
for the State safety oversight agency
commensurate with the number, size,
and complexity of the rail fixed
guideway public transportation systems
in the State, and that the State has
consulted with the Administrator for
that purpose;
(e) Demonstrate that the employees
and other personnel of the State safety
oversight agency who are responsible
for the oversight of rail fixed guideway
public transportation systems are
qualified to perform their functions,
based on appropriate training, including
substantial progress toward or
completion of the Public Transportation
Safety Certification Training Program;
and
(f) Demonstrate that by law, the State
prohibits any public transportation
agency in the State from providing
funds to the SSOA.

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§ 674.13

Designation of oversight agency.

(a) Every State that must establish a
State Safety Oversight program in
accordance with 49 U.S.C. 5329 must
also establish a SSOA for the purpose of
overseeing the safety of rail fixed
guideway public transportation systems
within that State. Further, the State
must ensure that:
(1) The SSOA is financially and
legally independent from any public
transportation agency the SSOA is
obliged to oversee;
(2) The SSOA does not directly
provide public transportation services
in an area with a rail fixed guideway
public transportation system the SSOA
is obliged to oversee;
(3) The SSOA does not employ any
individual who is also responsible for
administering a rail fixed guideway
public transportation system the SSOA
is obliged to oversee;
(4) The SSOA has authority to review,
approve, oversee, and enforce the Public
Transportation Agency Safety Plan for a
rail fixed guideway public
transportation system required by 49
U.S.C. 5329(d) and part 673 of this
chapter;
(5) The SSOA has investigative,
inspection, and enforcement authority
with respect to the safety of all rail fixed
guideway public transportation systems
within the State;
(6) At least once every three years, the
SSOA audits every rail fixed guideway
public transportation system’s
compliance with the Public
Transportation Agency Safety Plan

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required by 49 U.S.C. 5329(d) and part
673 of this chapter; and
(7) At least once a year, the SSOA
reports the status of the safety of each
rail fixed guideway public
transportation system to the Governor,
the FTA, and the board of directors, or
equivalent entity, of the rail fixed
guideway public transportation system.
(b) At the request of the Governor of
a State, the Administrator may waive
the requirements for financial and legal
independence and the prohibitions on
employee conflicts of interest under
paragraphs (a)(1) and (3) of this section,
if the rail fixed guideway public
transportation systems in design,
construction, or revenue operations in
the State have fewer than one million
combined actual and projected rail fixed
guideway revenue miles per year or
provide fewer than ten million
combined actual and projected unlinked
passenger trips per year. However:
(1) If a State shares jurisdiction over
one or more rail fixed guideway public
transportation systems with another
State, and has one or more rail fixed
guideway public transportation systems
that are not shared with another State,
the revenue miles and unlinked
passenger trips of the rail fixed
guideway public transportation system
under shared jurisdiction will not be
counted in the Administrator’s decision
whether to issue a waiver.
(2) The Administrator will rescind a
waiver issued under this subsection if
the number of revenue miles per year or
unlinked passenger trips per year
increases beyond the thresholds
specified in this subsection.
§ 674.15 Designation of oversight agency
for multi-state system.

In an instance of a rail fixed guideway
public transportation system that
operates in more than one State, all
States in which that rail fixed guideway
public transportation system operates
must either:
(a) Ensure that uniform safety
standards and procedures in compliance
with 49 U.S.C. 5329 are applied to that
rail fixed guideway public
transportation system, through an SSO
program that has been approved by the
Administrator; or
(b) Designate a single entity that meets
the requirements for an SSOA to serve
as the SSOA for that rail fixed guideway
public transportation system, through
an SSO program that has been approved
by the Administrator.
§ 674.17 Use of Federal financial
assistance.

(a) In accordance with 49 U.S.C.
5329(e)(6), FTA will make grants of

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Federal financial assistance to eligible
States to help the States develop and
carry out their SSO programs. This
Federal financial assistance may be used
for reimbursement of both the
operational and administrative expenses
of SSO programs, consistent with the
uniform administrative requirements for
grants to States under 2 CFR parts 200
and 1201. The expenses eligible for
reimbursement include, specifically, the
expense of employee training and the
expense of establishing and maintaining
a SSOA in compliance with 49 U.S.C.
5329.
(b) The apportionments of available
Federal financial assistance to eligible
States will be made in accordance with
a formula, established by the
Administrator, following opportunity
for public notice and comment. The
formula will take into account fixed
guideway vehicle revenue miles, fixed
guideway route miles, and fixed
guideway vehicle passenger miles
attributable to all rail fixed guideway
systems within each eligible State not
subject to the jurisdiction of the FRA.
(c) The grants of Federal financial
assistance for State safety oversight shall
be subject to terms and conditions as the
Administrator deems appropriate.
(d) The Federal share of the expenses
eligible for reimbursement under a grant
for State safety oversight activities shall
be eighty percent of the reasonable costs
incurred under that grant.
(e) The non-Federal share of the
expenses eligible for reimbursement
under a grant for State safety oversight
activities may not be comprised of
Federal funds, any funds received from
a public transportation agency, or any
revenues earned by a public
transportation agency.
§ 674.19 Certification of a State Safety
Oversight Program.

(a) The Administrator must determine
whether a State’s SSO program meets
the requirements of 49 U.S.C. 5329.
Also, the Administrator must determine
whether a SSO program is adequate to
promote the purposes of 49 U.S.C. 5329,
including, but not limited to, the
National Public Transportation Safety
Plan, the Public Transportation Safety
Certification Training Program, and the
Public Transportation Agency Safety
Plans.
(b) The Administrator must issue a
certification to a State whose SSO
program meets the requirements of 49
U.S.C. 5329. The Administrator must
issue a denial of certification to a State
whose SSO program does not meet the
requirements of 49 U.S.C. 5329.
(c) In an instance in which the
Administrator issues a denial of

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certification to a State whose SSO
program does not meet the requirements
of 49 U.S.C. 5329, the Administrator
must provide a written explanation, and
allow the State an opportunity to
modify and resubmit its SSO program
for the Administrator’s approval. In the
event the State is unable to modify its
SSO program to merit the
Administrator’s issuance of a
certification, the Administrator must
notify the Governor of that fact, and
must ask the Governor to take all
possible actions to correct the
deficiencies that are precluding the
issuance of a certification for the SSO
program. In his or her discretion, the
Administrator may also impose
financial penalties as authorized by 49
U.S.C. 5329(e), which may include:
(1) Withholding SSO grant funds from
the State;
(2) Withholding up to five percent of
the 49 U.S.C. 5307 Urbanized Area
formula funds appropriated for use in
the State or urbanized area in the State,
until such time as the SSO program can
be certified; or
(3) Requiring all rail fixed guideway
public transportation systems governed
by the SSO program to spend up to 100
percent of their Federal funding under
49 U.S.C. chapter 53 only for safetyrelated improvements on their systems,
until such time as the SSO program can
be certified.
(d) When determining whether to
issue a certification or a denial of
certification for a SSO program, the
Administrator must evaluate whether
the cognizant SSOA has the authority,
resources, and expertise to oversee the
number, size, and complexity of the rail
fixed guideway public transportation
systems that operate within the State, or
will attain the necessary authority,
resources, and expertise in accordance
with a developmental plan and
schedule.

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§ 674.21 Withholding of Federal financial
assistance for noncompliance.

(a) In making a decision to impose
financial penalties as authorized by 49
U.S.C. 5329(e) and determining the
nature and amount of the financial
penalties, the Administrator shall
consider the extent and circumstances
of the noncompliance; the operating
budgets of the SSOA and the rail fixed
guideway public transportation systems
that will be affected by the financial
penalties; and such other matters as
justice may require.
(b) If a State fails to establish an SSO
program that has been approved by the
Administrator prior to a rail fixed
guideway public transportation system
entering the engineering or construction

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phase of development, FTA will be
prohibited from obligating Federal
financial assistance authorized under 49
U.S.C. 5338 to any entity in the State
that is otherwise eligible to receive that
Federal financial assistance, in
accordance with 49 U.S.C. 5329(e)(3).
§ 674.23

Confidentiality of information.

(a) A State, an SSOA, or an RTA may
withhold an investigation report
prepared or adopted in accordance with
these regulations 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 any data, information, or
procedures pertaining to the security of
a rail fixed guideway public
transportation system or its passenger
operations.
Subpart C—State Safety Oversight
Agencies
§ 674.25
agency.

Role of the State safety oversight

(a) An SSOA must establish minimum
standards for the safety of all rail fixed
guideway public transportation systems
within its oversight. These minimum
standards must be consistent with the
National Public Transportation Safety
Plan, the Public Transportation Safety
Certification Training Program, the rules
for Public Transportation Agency Safety
Plans and all applicable Federal and
State law.
(b) An SSOA must review and
approve the Public Transportation
Agency Safety Plan for every rail fixed
guideway public transportation system
within its oversight. An SSOA must
oversee an RTA’s execution of its Public
Transportation Agency Safety Plan. An
SSOA must enforce the execution of a
Public Transportation Agency Safety
Plan, through an order of a corrective
action plan or any other means, as
necessary or appropriate.
(c) An SSOA has the responsibility to
provide safety oversight of an RTA’s
project(s) in the engineering or
construction phase to verify compliance
with all applicable Federal and State
safety requirements.
(d) An SSOA must ensure that a
Public Transportation Agency Safety
Plan meets the requirements at 49
U.S.C. 5329(d) and part 673 of this
chapter.
(e) An SSOA has primary
responsibility for the investigation of
any allegation of noncompliance with a
Public Transportation Agency Safety
Plan. These responsibilities do not
preclude the Administrator from
exercising their authority under 49
U.S.C. 5329(f).

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(f) An SSOA has primary
responsibility for the investigation of a
safety event on a rail fixed guideway
public transportation system. This
responsibility does not preclude the
Administrator from exercising his or her
authority under 49 U.S.C. 5329(f).
(g) An SSOA may enter into an
agreement with a contractor for
assistance in overseeing safety event
investigations and performing
independent safety event investigations;
and for expertise the SSOA does not
have within its own organization.
(h) All personnel and contractors
employed by an SSOA must comply
with the requirements of the Public
Transportation Safety Certification
Training Program as applicable.
§ 674.27 State safety oversight program
standards.

(a) An SSOA must adopt and
distribute a written SSO program
standard, consistent with the National
Public Transportation Safety Plan and
the rules for Public Transportation
Agency Safety Plans. This SSO program
standard must identify the processes
and procedures that govern the
activities of the SSOA. Also, the SSO
program standard must identify the
processes and procedures an RTA must
have in place to comply with the
standard. At minimum, the program
standard must meet the following
requirements:
(1) Program management. The SSO
program standard must explain the
authority of the SSOA to oversee the
safety of rail fixed guideway public
transportation systems; the policies that
govern the activities of the SSOA; the
reporting requirements that govern both
the SSOA and the rail fixed guideway
public transportation systems; and the
steps the SSOA will take to ensure
open, on-going communication between
the SSOA and every rail fixed guideway
public transportation system within its
oversight.
(2) Program standard development.
The SSO program standard must
explain the SSOA’s process for
developing, reviewing, adopting, and
revising its minimum standards for
safety, and distributing those standards
to the rail fixed guideway public
transportation systems.
(3) Disposition of RTA comments. The
SSO program standard must establish a
disposition process that defines how the
SSOA will address any comments the
RTA makes with respect to the SSO
program standard.
(4) Program policy and objectives. The
SSO program standard must set an
explicit policy and objectives for safety

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in rail fixed guideway public
transportation throughout the State.
(5) Oversight of RTA Public
Transportation Agency Safety Plans and
internal safety reviews. The SSO
program standard must explain the role
of the SSOA in overseeing an RTA’s
execution of its Public Transportation
Agency Safety Plan and any related
safety reviews of the RTA’s fixed
guideway public transportation system.
The SSO program standard must
describe the process whereby the SSOA
will receive and evaluate all material
submitted under the signature of an
RTA’s accountable executive. The SSO
program standard must define baseline
RTA internal safety review requirements
including, at a minimum, the following
requirements:
(i) The RTA must develop and
document an ongoing internal safety
review process to ensure that all
elements of an RTA’s Public
Transportation Agency Safety Plan are
performing and being implemented as
intended.
(ii) The RTA’s internal safety review
process must ensure that the
implementation of all elements of its
Public Transportation Agency Safety
Plan are reviewed within a three-year
period.
(iii) The RTA must notify the SSOA
at least thirty (30) days before the RTA
conducts an internal safety review of
any aspect of the rail fixed guideway
public transportation system and
provide any checklists or procedures it
will use during the review.
(iv) The RTA must submit a report to
the SSOA annually documenting the
internal safety review activities and the
status of subsequent findings and
corrective actions.
(6) Oversight of safety risk
mitigations. The SSO program standard
must explain the role of the SSOA in
overseeing an RTA’s development,
implementation, and monitoring of
safety risk mitigations related to rail
fixed guideway transportation,
including how the SSOA will track RTA
safety risk mitigations. The SSO
program standard must specify the
frequency and format whereby the
SSOA will receive and review
information on RTA safety risk
mitigation status and effectiveness.
(7) Oversight of RTA compliance with
the Public Transportation Safety
Certification Training Program. The
SSOA must review and approve the
RTA’s designated personnel. The SSOA
must review and approve the refresher
training defined by the RTA to satisfy
the requirements of the Public
Transportation Safety Certification
Training Program.

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(8) Triennial SSOA audits of RTA
Public Transportation Agency Safety
Plans. The SSO program standard must
explain the process the SSOA will
follow and the criteria the SSOA will
apply in conducting a complete audit of
the RTA’s compliance with its Public
Transportation Agency Safety Plan at
least once every three years, in
accordance with 49 U.S.C. 5329.
Alternatively, the SSOA and RTA may
agree that the SSOA will conduct its
audit on an on-going basis over the
three-year timeframe. The program
standard must establish a procedure the
SSOA and RTA will follow to manage
findings and recommendations arising
from the triennial audit.
(9) Safety event notifications. The
SSO program standard must establish
requirements for RTA notifications of
safety events occurring on the RTA’s rail
fixed guideway public transportation
system, including notifications to the
SSOA and to FTA. SSOA safety event
notification requirements must address,
specifically, the time limits for
notification, methods of notification,
and the nature of the information the
RTA must submit to the SSOA.
(10) Investigations. The SSO program
standard must identify safety events that
require an RTA to conduct an
investigation. Also, the program
standard must address how the SSOA
will oversee an RTA’s own internal
investigation; the role of the SSOA in
supporting any investigation conducted
or findings and recommendations made
by the NTSB or FTA; and procedures for
protecting the confidentiality of the
investigation reports.
(11) Corrective actions. The program
standard must explain the process and
criteria by which the SSOA may order
an RTA to develop and carry out a
corrective action plan (CAP), and a
procedure for the SSOA to review and
approve a CAP. Also, the program
standard must explain the SSOA’s
policy and practice for tracking and
verifying an RTA’s compliance with the
CAP and managing any conflicts
between the SSOA and RTA relating
either to the development or execution
of the CAP or the findings of an
investigation.
(12) Inspections. The SSO program
standard must include or incorporate by
reference a risk-based inspection
program that:
(i) is commensurate with the number,
size, and complexity of the rail fixed
guideway public transportation systems
that the State safety oversight agency
oversees;
(ii) provides the SSOA with the
authority and capability to enter the
facilities of each rail fixed guideway

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public transportation system that the
SSOA oversees to inspect infrastructure,
equipment, records, personnel, and
data, including the data that the RTA
collects when identifying and
evaluating safety risks; and
(iii) include policies and procedures
regarding the access of the SSOA to
conduct inspections of the rail fixed
guideway public transportation system,
including access for inspections that
occur without advance notice to the
RTA.
(13) Vehicle maintenance and testing.
The SSO program standard must
include the process by which the SSOA
will review an RTA’s rail transit vehicle
maintenance program, including
periodic testing of rail transit vehicle
braking systems, to ensure performance,
and to detect potential latent system
failures.
(14) Data collection. The program
standard must include policies and
procedures for collecting and reviewing
data that the RTA uses when identifying
hazards and assessing safety risk. The
frequency of collection shall be
commensurate with the size and
complexity of the rail fixed guideway
public transportation system.
(b) At least once a year an SSOA must
submit its SSO program standard and
any referenced program procedures to
FTA, with an indication of any revisions
made to the program standard since the
last annual submittal. FTA will evaluate
the SSOA’s program standard as part of
its continuous evaluation of the State
Safety Oversight Program, and in
preparing FTA’s report to Congress on
the certification status of that State
Safety Oversight Program, in accordance
with 49 U.S.C. 5329.
§ 674.29 Public Transportation Agency
Safety Plans: General requirements.

(a) In determining whether to approve
a Public Transportation Agency Safety
Plan for a rail fixed guideway public
transportation system, an SSOA must
evaluate whether the Public
Transportation Agency Safety Plan is
compliant with 49 U.S.C. 5329(d) and
part 673 of this chapter; is consistent
with the National Public Transportation
Safety Plan; and is in compliance with
the SSO program standard set by the
SSOA.
(b) In an instance in which an SSOA
does not approve a Public
Transportation Agency Safety Plan, the
SSOA must provide a written
explanation and allow the RTA an
opportunity to modify and resubmit its
Public Transportation Agency Safety
Plan for the SSOA’s approval.

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§ 674.31 Triennial audits: General
requirements.

At least once every three years, an
SSOA must conduct a complete audit of
an RTA’s compliance with its Public
Transportation Agency Safety Plan.
Alternatively, an SSOA may conduct
the audit on an on-going basis over the
three-year timeframe. If an SSOA audits
an RTA’s compliance on an ongoing
basis, the SSOA shall issue interim
audit reports at least annually. At the
conclusion of the three-year audit cycle,
the SSOA shall issue a report with
findings and recommendations arising
from the triennial or ongoing audit,
which must include, at minimum, an
analysis of the effectiveness of the
Public Transportation Agency Safety
Plan, recommendations for
improvements, and a corrective action
plan, if necessary or appropriate. The
RTA must be given an opportunity to
comment on the findings and
recommendations.

The report must describe the
investigation activities; identify the
factors that caused or contributed to the
safety event; and set forth a corrective
action plan, as necessary or appropriate.
The SSOA must formally adopt the
report of a safety event and transmit that
report to the RTA for review and
concurrence. If the RTA does not concur
with an SSOA’s report, the SSOA may
allow the RTA to submit a written
dissent from the report, which may be
included in the report, at the discretion
of the SSOA.
(d) All personnel and contractors that
conduct investigations on behalf of an
SSOA must be trained to perform their
functions in accordance with the Public
Transportation Safety Certification
Training Program.
(e) The Administrator may conduct an
independent investigation of any safety
event or an independent review of an
SSOA’s or an RTA’s findings of
causation of a safety event.

§ 674.33

§ 674.37

Notifications of safety events.

An RTA must notify FTA and the
SSOA within two hours of any safety
event occurring on a rail fixed guideway
public transportation system that results
in one or more of the following:
(a) Fatality
(b) Two or more injuries
(c) Derailment
(d) Collision resulting in one or more
injuries
(e) Collision between two rail transit
vehicles
(f) Collision resulting in disabling
damage to a rail transit vehicle
(g) Evacuation for life safety reasons
(h) Unintended train movement.

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§ 674.35

Investigations.

(a) An SSOA must investigate or
require an investigation of any safety
event that requires notification under
§ 674.33.
(b) The SSOA is ultimately
responsible for the sufficiency and
thoroughness of all investigations,
whether conducted by the SSOA or
RTA. If an SSOA requires an RTA to
investigate a safety event, the SSOA
must conduct an independent review of
the RTA’s findings of causation. In any
instance in which an RTA is conducting
its own internal investigation of the
safety event, the SSOA and the RTA
must coordinate their investigations in
accordance with the SSO program
standard and any agreements in effect.
(c) Within a reasonable time, an SSOA
must issue a written report on its
investigation of a safety event or review
of an RTA’s safety event investigation in
accordance with the reporting
requirements established by the SSOA.

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Corrective action plans.

(a) The SSOA must, at a minimum,
require the development of a CAP for
the following:
(1) Results from investigations, in
which the RTA or SSOA determined
that causal or contributing factors
require corrective action;
(2) Findings of non-compliance from
safety reviews and inspections
performed by the SSOA; or
(3) Findings of non-compliance from
internal safety reviews performed by the
RTA.
(b) In any instance in which an RTA
must develop and carry out a CAP, the
SSOA must review and approve the
CAP before the RTA carries out the
plan. However, an exception may be
made for immediate or emergency
corrective actions that must be taken to
ensure immediate safety, provided that
the SSOA has been given timely
notification, and the SSOA provides
subsequent review and approval.
(c) A CAP must describe, specifically,
the actions the RTA will take to correct
the deficiency identified by the CAP,
the schedule for taking those actions,
and the individuals responsible for
taking those actions. The RTA must
periodically report to the SSOA on its
progress in carrying out the CAP. The
SSOA may monitor the RTA’s progress
in carrying out the CAP through
unannounced, on-site inspections, or
any other means the SSOA deems
necessary or appropriate.
(d) In any instance in which a safety
event on the RTA’s rail fixed guideway
public transportation system is the
subject of an investigation by the NTSB
or FTA, the SSOA must evaluate

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whether the findings or
recommendations by the NTSB or FTA
require a CAP by the RTA, and if so, the
SSOA must order the RTA to develop
and carry out a CAP.
§ 674.39 State Safety Oversight Agency
annual reporting to FTA.

(a) On or before March 15 of each
year, an SSOA must submit the
following material to FTA:
(1) The SSO program standard
adopted in accordance with § 674.27,
with an indication of any changes to the
SSO program standard during the
preceding twelve months;
(2) Evidence that its designated
personnel have completed the
requirements of the Public
Transportation Safety Certification
Training Program, or, if in progress, the
anticipated completion date of the
training;
(3) A publicly available report that
summarizes its oversight activities for
the preceding twelve months, describes
the causal factors of safety events
identified through investigation, and
identifies the status of corrective
actions, changes to Public
Transportation Agency Safety Plans,
and the level of effort by the SSOA in
carrying out its oversight activities;
(4) Final investigation reports for all
safety events meeting one or more of the
criteria specified at § 674.33;
(5) A summary of the internal safety
reviews conducted by RTAs during the
previous twelve months, and the RTA’s
progress in carrying out CAPs arising
under § 674.37(a)(3);
(6) A summary of the triennial audits
completed during the preceding twelve
months, and the RTAs’ progress in
carrying out CAPs arising from triennial
audits conducted in accordance with
§ 674.31;
(7) Evidence that the SSOA has
reviewed and approved any changes to
the Public Transportation Agency Safety
Plans during the preceding twelve
months; and
(8) A certification that the SSOA is in
compliance with the requirements of
this part.
(b) These materials must be submitted
electronically through a reporting
system specified by FTA.
§ 674.41

Conflicts of interest.

(a) An SSOA must be financially and
legally independent from any rail fixed
guideway public transportation system
under the oversight of the SSOA, unless
the Administrator has issued a waiver of
this requirement in accordance with
§ 674.13(b).
(b) An SSOA may not employ any
individual who provides services to a

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this requirement in accordance with
§ 674.13(b).
(c) A contractor may not provide
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system under the oversight of that
SSOA, unless the Administrator has
issued a waiver of this prohibition.
[FR Doc. 2023–25186 Filed 11–14–23; 8:45 am]
BILLING CODE 4910–57–P

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