FINAL AUDIT	REPORT

State Safety	Oversight Audit

of	the

Tri-State Oversight Committee

June 17, 2015

Conducted	by the Federal Transit Administration

Office of Transit Safety and Oversight

March 9-11, 2015
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

United States Department of Transportation 

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Table of Contents 

Acronyms .................................................................................................................................................... iv
 

List of Findings ............................................................................................................................................ 1
 

Introduction ................................................................................................................................................. 4
 

Background ............................................................................................................................................... 4
 

FTA’s Approach for SSO Audit................................................................................................................ 5
 

49 CFR Part 659, State Safety Oversight Rule ......................................................................................... 5
 

Audit Methodology ................................................................................................................................... 6
 

Report Organization .................................................................................................................................. 6
 

1.0 Designation of SSO Agency ............................................................................................................... 7
 

Summary of Activities .............................................................................................................................. 7
 

Evaluation Criteria .................................................................................................................................... 7
 

Status and Assessment .............................................................................................................................. 7
 

Findings ..................................................................................................................................................... 9
 

2.0 Program Resources .......................................................................................................................... 11
 

Summary of Activities ............................................................................................................................ 11
 

Evaluation Criteria .................................................................................................................................. 11
 

Status and Assessment ............................................................................................................................ 11
 

Findings ................................................................................................................................................... 14
 

3.0 Development of Program Standard and Agency Safety and Security Plans.............................. 15
 

Summary of Activities ............................................................................................................................ 15
 

Evaluation Criteria .................................................................................................................................. 15
 

Status and Assessment ............................................................................................................................ 15
 

Findings ................................................................................................................................................... 16
 

4.0 Oversight of the Implementation of Agency Safety and Security Plans ..................................... 17
 

Summary of Activities ............................................................................................................................ 17
 

Evaluation Criteria .................................................................................................................................. 17
 

Status and Assessment ............................................................................................................................ 17
 

Findings ................................................................................................................................................... 18
 

5.0 Hazard Management Program ....................................................................................................... 19
 

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Summary of Activities ............................................................................................................................ 19
 

Evaluation Criteria .................................................................................................................................. 19
 

Status and Assessment ............................................................................................................................ 20
 

Findings ................................................................................................................................................... 23
 

6.0 Accident Notification, Reporting, and Investigation .................................................................... 24
 

Summary of Activities ............................................................................................................................ 24
 

Evaluation Criteria .................................................................................................................................. 24
 

Status and Assessment ............................................................................................................................ 25
 

Findings ................................................................................................................................................... 26
 

7.0 Corrective Action Plans................................................................................................................... 27
 

Summary of Activities ............................................................................................................................ 27
 

Evaluation Criteria .................................................................................................................................. 27
 

Status and Assessment ............................................................................................................................ 27
 

Findings ................................................................................................................................................... 29
 

8.0 Oversight of Internal Reviews and Annual Reporting ................................................................. 30
 

Summary of Activities ............................................................................................................................ 30
 

Evaluation Criteria .................................................................................................................................. 30
 

Status and Assessment ............................................................................................................................ 30
 

Findings ................................................................................................................................................... 31
 

9.0 State Oversight Agency Three-Year Safety and Security Reviews ............................................. 32
 

Summary of Activities ............................................................................................................................ 32
 

Evaluation Criteria .................................................................................................................................. 32
 

Status and Assessment ............................................................................................................................ 32
 

Findings ................................................................................................................................................... 32
 

10.0 Reporting to FTA ........................................................................................................................... 33
 

Summary of Activities ............................................................................................................................ 33
 

Evaluation Criteria .................................................................................................................................. 33
 

Status and Assessment ............................................................................................................................ 33
 

Findings ................................................................................................................................................... 34
 

Appendix A – List of Requested Materials ............................................................................................. 35
 

Appendix B – Audit Findings Tracking Matrix ..................................................................................... 36
 

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Appendix C – TOC-MSC Transition Action Item List ......................................................................... 39
 

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Acronyms

CAP Corrective Action Plan 

CAPTURE Corrective Action Plan Technical Review Entity 

CFR Code of Federal Regulations 

CWP Certification Work Plan 

CY Calendar Year 

DDOT District of Columbia Department of Transportation 

DRPT (Virginia) Department of Rail and Public Transportation 

ESC Executive Safety Committee 

FTA Federal Transit Administration 

FY Fiscal Year 

GM/CEO General Manager/Chief Executive Officer 

LSC Local Safety Committee 

MAP-21 Moving Ahead for Progress in the 21st Century (Act) 

MDOT Maryland Department of Transportation 

MOU Memorandum of Understanding 

MSC Metro Safety Commission 

MTPD Metro Transit Police Department 

MWCOG Metropolitan Washington Council of Governments 

NTSB National Transportation Safety Board 

PSP Program Standard and Procedures 

RFGPTS Rail Fixed Guideway Public Transportation System 

SAFE Department of Safety and Environmental Management 

SEPP Security and Emergency Preparedness Plan 

SMI Safety Management Inspection 

SMS Safety Measurement System 

SSO State Safety Oversight 

SSOA State Safety Oversight Agency 

SSPP System Safety Program Plan 

TOC Tri-State Oversight Committee 

WMATA Washington Metropolitan Area Transit Authority 

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United States Department of Transportation 

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List of Findings 

During March 9 through 11, 2015, the Federal Transit Administration (FTA) conducted an audit of the 

Tri-State Oversight Committee (TOC) and its safety oversight of the Washington Metropolitan Area 

Transit Authority (WMATA) rail system. The audit resulted in FTA issuing 11 findings to TOC, for 

which TOC must develop and propose corrective actions, subject to FTA approval. 

Historically, FTA’s audits have focused on compliance with 49 CFR Part 659, the State Safety Oversight 

(SSO) regulation. With the passage of the Moving Ahead for Progress in the 21st Century Act (MAP-21), 

and implementation of FTA’s SSO pre-certification process, beginning in September 2013, FTA 

augmented its SSO audit process to include an assessment of State progress towards meeting new MAP21 certification and grant program requirements. 

To incorporate these new items into the SSO audit program, FTA reviews the State’s approved 

Certification Work Plan (CWP) and SSO grant program application and award, along with its 49 CFR 

Part 659 program implementation. FTA now issues “Findings” that address any gaps in the State’s 

activity to implement 49 CFR Part 659, its CWP, and the corresponding SSO grant program milestones. 

Such findings require a course of action to mitigate. All State activity undertaken to resolve the Findings, 

as approved by FTA, constitutes an eligible expense under FTA’s SSO grant program. 

Through the course of the TOC audit, FTA found that TOC members actively engage with WMATA 

leadership, safety, supervisory, and frontline personnel across a number of technical and programmatic 

areas, and that TOC implements an SSO program that generally exceeds minimum 49 CFR Part 659 

requirements. FTA must emphasize, however, that TOC’s compliance with the minimum requirements of 

49 CFR Part 659 falls far short of what is expected of a SSO program under MAP-21. 

FTA describes the MAP-21 requirements for State Safety Oversight in detail in the Notice of Proposed 

Rulemaking published on February 27, 2015, at 80 Fed.Reg. 11002-11030, and the Apportionments 

Notice published on March 10, 2014, at 79 Fed.Reg. 13380-13387. At this time, the three States that share 

the responsibility for State Safety Oversight of the WMATA system have yet to explain their intentions 

for meeting the requirements of MAP-21. 

Specifically, the District of Columbia, the State of Maryland, and the Commonwealth of Virginia have 

yet to clarify their proposed approach for meeting MAP-21 legal and financial requirements; thus, many 

of FTA’s findings in this report prioritize attention on the time-sensitive components of the SSO program. 

These components must occur in the next 6-18 months in order for the TOC jurisdictions to maintain 

eligibility for apportioned SSO grant funds and be prepared to engage in the creation of a multi-State 

agency, as described in the Introduction and Section 1 of this report, within the restrictive timeframes 

specified in 49 U.S.C. Section 5329(e). If the TOC jurisdictions fail to meet this deadline, then FTA will 

be prohibited from obligating Federal funds apportioned for the WMATA Metrorail system. 

Appendix B contains an Audit Findings Tracking Matrix in which TOC may document their responses to 

these audit findings. TOC’s responses must include proposed actions to address the needed enhancements 

to its 49 CFR Part 659 program as identified by FTA, as well as the actions the TOC members and their 

jurisdictional partners will take to address critical CWP items and activities, apply for available SSO grant 

funding, and establish legal readiness for MAP-21 implementation. 

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Section 1: Designation of SSO Agency 

•	 Finding 1: As specified in 49 U.S.C. 5329 and 5330 – The TOC jurisdictions and the 

Metropolitan Washington Council of Governments (MWCOG) must complete the required SSO 

program grant funding requirements, and are at risk of losing Fiscal Year 2013 grant monies. 

•	 Finding 2: As specified in the TOC CWP and the TOC-MSC Transition Action Item List – The 

TOC jurisdictions must prioritize the transition from TOC to the Metro Safety Commission 

(MSC), and ensure compliance with the schedule specified in TOC’s Certification Work Plan. 

FTA will initiate quarterly progress review sessions with the jurisdictions and will communicate 

directly with the Governors of Virginia and Maryland and the Mayor of the District of Columbia 

regarding recovery plans for failure to meet deadlines. 

Section 2: Program Resources 

•	 Finding 3: As specified in 49 CFR § 659.13 – TOC must conduct a resource assessment to ensure 

its structure, membership, and staffing is sufficient to implement the Program Standard and 

Procedures (PSP) requirements and to manage the transition activities associated with creation of 

the MSC. 

•	 Finding 4: As specified in TOC PSP Section 3.2.2 – The TOC Executive Committee must meet 

regularly to address policy concerns as required by the PSP. 

Section 3: Development of Program Standard and Agency Safety and Security Plans 

No Findings. 

Section 4: Oversight of the Implementation of Agency Safety and Security Plans 

•	 Finding 5: As specified in 49 CFR §§ 659.17 and 659.19 – TOC must ensure that WMATA 

complies with approved schedules for resolving Corrective Action Plans (CAPs), reports, 

analyses, and responses. 

Section 5: Hazard Management Program 

•	 Finding 6: As specified in 49 CFR § 659.31 – TOC must ensure that WMATA adheres to the 

hazard management process outlined in the WMATA System Safety Program Plan (SSPP). 

Section 6: Accident Notification, Reporting, and Investigation 

•	 Finding 7: As specified in 49 CFR § 659.35 – TOC must ensure that WMATA provides the 

necessary information for accident notifications and reports, such that the need for follow-up 

submission is minimized. TOC must implement accident investigation checklists or procedures to 

ensure required elements are consistently submitted. 

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•	 Finding 8: As specified in the TOC/WMATA Memorandum of Understanding (MOU) Section 2.5 

and PSP Section 9.2 – TOC must ensure that WMATA develops a recovery plan for all 

investigation reports that have not been completed within six (6) months. TOC must consistently 

require WMATA to submit an investigation status report for investigations that do not meet the 

30-day reporting requirements. 

Section 7: Corrective Action Plans 

•	 Finding 9: As specified in 49 CFR § 659.37 – TOC must ensure that WMATA develops and 

submits comprehensive CAPs for all necessary safety and security activities in a timely manner. 

Section 8: Oversight of Internal Safety and Security Reviews and Annual Rail Transit Agency 

Reporting 

•	 Finding 10: As specified in 49 CFR § 659.27(b)(2) – TOC must ensure that the WMATA 

Department of Safety and Environmental Management (SAFE) and Metro Transit Police 

Department (MTPD) Internal Safety and Security Reviews and annual audit reports are submitted 

and approved within the timeframe required by the PSP. 

Section 9: State Oversight Agency Three-Year Safety and Security Reviews 

•	 Finding 11: As specified in 49 CFR § 659.29 – TOC must conduct an assessment of its ThreeYear Safety and Security process to ensure that all necessary WMATA elements are reviewed 

and the findings are released in a timely manner. 

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Introduction

During March 9 through 11, 2015, the Federal Transit Administration (FTA) conducted an audit of the 

Tri-State Oversight Committee (TOC) and the safety oversight program it manages for the Washington 

Metropolitan Area Transit Authority (WMATA) rail system. This report documents key findings resulting 

from the audit. FTA and TOC conducted a factual review of the information contained in this report on 

June 11, 2015. As a result, FTA is issuing this report as final. TOC must complete the audit tracking 

matrix located in Appendix B within 60 days and submit it to FTA. In addition, FTA and TOC have 

agreed to conduct quarterly meetings beginning in July 2015 to review SSO program activities and 

transition plans required under the mandates of the Moving Ahead for Progress in the 21st Century Act 

(MAP-21). 

Background 

Section 20021(a) of the Moving Ahead for Progress in the 21st Century Act (MAP-21), adopted in its 

entirety as section 5329 of U.S.C. Title 49 Chapter 53, requires each State to develop a State Safety 

Oversight (SSO) program with the authority to require, oversee, and enforce rail transit agency safety 

plans; to investigate accidents and safety concerns at rail transit systems; and to require rail transit 

agencies to correct and resolve safety deficiencies and hazards. MAP-21 also requires each SSO agency 

to be legally and financially independent from the rail transit agencies it oversees. 

On October 1, 2013, FTA notified the Secretaries of Transportation in the Commonwealth of Virginia and 

the State of Maryland, and the Associate Director of the District Department of Transportation, that TOC, 

as a committee created by Memorandum of Understanding (MOU) between the Virginia Department of 

Rail and Public Transportation (DRPT), the Maryland Department of Transportation (MDOT), and the 

District of Columbia Department of Transportation (DDOT), did not meet the legal parameters for an 

SSO agency as established in 49 U.S.C. 5329(e)(3) and 49 U.S.C. 5329(e)(4). FTA determined that TOC 

was not an actual legal entity, capable of hiring staff, promulgating and enforcing regulations, or 

executing an oversight program. 

On December 16, 2013, FTA’s Administrator and legal staff met with high-level representatives from the 

TOC jurisdictions to present FTA’s determination regarding TOC’s MAP-21 status. FTA explained its 

concerns about TOC’s structure as a committee that relies on DDOT, DRPT, and MDOT for financial and 

staff support. FTA also pointed out that, as a committee, TOC must carry out standards for hiring, 

training, and promoting staff as specified by each jurisdictional member. TOC, in its current organization, 

also requires approval from all three jurisdictions for major policy decisions, an occasionally challenging 

process that can weaken the independence and effectiveness of the oversight program. 

FTA also determined that DDOT, DRPT, and MDOT have legal and financial connections with 

WMATA, including members with positions on WMATA’s Board of Directors, joint funding, and 

construction projects with WMATA, and clear financial interest in the funding and construction of the 

Dulles Corridor extension, which are inconsistent with the requirements of MAP-21. Finally, the TOC’s 

MOU with WMATA, while an important step forward in enhancing TOC’s oversight program, is not 

equivalent to regulatory and enforcement authority. 

On February 26, 2014, the Governors of Maryland and Virginia, and the Mayor of the District of 

Columbia issued a formal letter to the U.S. Secretary of Transportation authorizing their transportation 

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executives to create an independent Metro Safety Commission (MSC), in conformance with the April 20, 

2010, White Paper on Optimizing State Safety Oversight of the WMATA Metrorail System. 

As specified in the White Paper and the February 26, 2014 correspondence, the jurisdictions’ plan is to 

establish the MSC as a distinct legal entity, independent from the three jurisdictions, and fully authorized 

to oversee WMATA’s Metrorail system, having the power to conduct and enforce safety oversight and 

hire and fire staff. This structure would ensure that the three jurisdictions would no longer facilitate and 

process all oversight items, from policy to staff-level, on an individual basis. 

Further, the MSC, under its legal authority, would promulgate its own policies, rules, and regulations that 

dictate staff-level decisions and ensure that the MSC can effectively respond to critical oversight issues in 

a timely manner. The MSC Director and staff would be completely independent from WMATA, the 

WMATA Board of Directors, and the jurisdictions’ transportation agencies. 

On May 1, 2014, TOC submitted its Certification Work Plan (CWP) for the MAP-21 program to FTA, 

which FTA approved on May 16, 2014. TOC’s CWP specifies how the three jurisdictions will manage 

the transition to the MSC. Most recently, the three jurisdictions have entered into MOUs with the 

Metropolitan Washington Council of Governments (MWCOG), the designated MAP-21 SSO program 

grantee for WMATA’s oversight agency. 

MWCOG will work with the jurisdictions to establish and manage budgets for TOC, as well as MSCtransition activities, and MWCOG will assist the jurisdictions in developing a legal strategy for creating 

and empowering the MSC. TOC plays a critical role in managing the MAP-21 transition process with 

both MWCOG and leadership in their home jurisdictions while continuing to provide implementation of 

49 CFR Part 659 minimum requirements. 

FTA’s Approach for SSO Audit 

Given the changing oversight environment and TOC’s current and anticipated CWP activities, FTA took 

the following approach during this audit: 

•	 Assess TOC’s SSO program as currently implemented to ensure conformance with 49 CFR Part 

659 requirements and identify opportunities for oversight enhancement during the transition to 

the MSC; and 

•	 Support TOC and its represented jurisdictions in working through CWP activities required to 

enter FTA’s MAP-21 SSO program and receive over $4.5 million in fiscal year 2013, 2014, and 

partial-year 2015 Federal SSO program grant funds. 

49 CFR Part 659, State Safety Oversight Rule 

FTA’s audit program is authorized under 49 CFR § 659.7. Under this authority, FTA monitors and 

evaluates State compliance with the SSO rule. Monitoring is an essential function, both to ensure the 

implementation of the rule and to support legislative withholding requirements. 

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49 CFR § 659.7 states (in part): 

“(a) The Administrator of the FTA may withhold up to five percent of the amount required to be 

distributed to any state or affected urbanized area in such state under FTA’s formula program for 

urbanized areas, if: 

1)	 The State in the previous fiscal year has not met the requirements of this part; and 

2)	 The Administrator determines that the State is not making adequate efforts to comply 

with this part.” 

Audit Methodology 

FTA’s SSO audit took place at DDOT Headquarters, located at 55 M Street, SE, Washington, DC 20003. 

Prior to arriving on-site at DDOT’s offices, FTA’s SSO audit team requested that TOC submit documents 

and materials related to its SSO program and to WMATA’s safety and security programs under its 

jurisdiction as applicable to 49 CFR Part 659. FTA’s audit team also reviewed TOC’s SSO Gap Analysis 

and CWP submittals and approval packages, as well as a relevant provisions under 49 U.S.C. 5329(e). 

The audit team reviewed the submitted items prior to arriving on-site and reviewed additional documents 

during the course of the audit. Appendix A contains a complete list of the documents and materials 

received and reviewed by the audit team. 

While on-site in Washington, D.C., the audit team conducted interviews with TOC staff and contractors 

responsible for key safety and security programs and functions. FTA also invited TOC members to 

observe FTA’s Safety Management Inspection (SMI) conducted at WMATA from March 16 through 

April 3, 2015. In conducting and completing this SMI, FTA carefully reviewed TOC corrective action 

plans, audit reports, and initiatives with WMATA over the last three years. 

Report Organization 

The remainder of this report presents the results of FTA’s audit of TOC’s and WMATA’s implementation 

of 49 CFR Part 659 requirements, organized into the following sections: 

1. Designation of SSO Agency 

2. Program Resources 

3. Development of Program Standards and Agency Safety and Security Plans 

4. Oversight of the Implementation of Agency Safety and Security Plans 

5. Hazard Management Program 

6. Accident Notification, Reporting, and Investigation 

7. Corrective Action Plans 

8. Oversight of Internal Safety and Security Reviews and Annual Rail Transit Agency Reporting 

9. State Oversight Agency Three-Year Safety and Security Reviews 

10. Reporting to FTA 

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1.0 Designation of SSO Agency 

Summary of Activities 

For this portion of the audit, FTA evaluated the designation of TOC and its authority to implement the 

requirements of 49 CFR § 659.9. 

Evaluation Criteria 

49 CFR § 659.9 – Designation of oversight agency 

49 CFR § 659.9 requires that each State with a rail fixed guideway public transportation system 

(RFGPTS) in its jurisdiction designate an oversight agency to implement the provisions of 49 CFR 

Part 659. In cases where a RFGPTS operates in more than one State, the associated States may agree 

to designate one agency from one State to implement 49 CFR Part 659 requirements, or they may 

designate one or more agencies representative of all States to implement the requirements. In the 

event that multiple States share oversight responsibility for a RFGPTS, the States must agree upon a 

single set of requirements for the RFGPTS. 

Status and Assessment 

49 CFR § 659.9(e) specifies that, “In the cases of a rail fixed guideway system that will operate in more 

than one state, each affected state must designate an agency of the state, other than the rail transit agency, 

as the oversight agency to implement the requirements in this part.” 

The three State jurisdictions in which WMATA provides rail service (the District of Columbia, the 

Commonwealth of Virginia, and the State of Maryland) created TOC via a MOU in 1997 to serve as the 

oversight body for WMATA. TOC’s oversight activities generally meet and, in some cases, exceed, the 

oversight requirements set forth in 49 CFR Part 659, as illustrated in TOC’s Program Standard and 

Procedures. For example, TOC’s oversight activities include safety reviews of major capital projects, 

including the Dulles Corridor extension and WMATA’s new 7000 series railcars, and on-site audits of 

high-risk WMATA system elements, including review of WMATA’s fatigue management program, 

WMATA’s roadway worker protection program, and WMATA’s passenger and emergency 

communications systems. 

Section 20021(a) of MAP-21, adopted in its entirety as Section 5329 in Chapter 53 of U.S.C. Title 49, 

creates a new regulatory role for FTA and the States with RFGPTS in their jurisdictions. These provisions 

require State Safety Oversight Agencies (SSOAs) to assume oversight responsibility for the safety of the 

RFGPTS and to adopt and enforce Federal and relevant State laws. As discussed in the introduction to 

this report, TOC is not an independent agency or legal entity, and as such, it does not and cannot meet 

these fundamental requirements set forth for an SSOA. 

In March 2010, FTA issued audit findings directing TOC to assess the level of resources necessary to 

meet oversight requirements, evaluate the technical and professional skills required for oversight 

representatives, explore methods to respond to WMATA safety concerns, and to ensure that unresolved 

concerns are elevated to the highest possible level within the jurisdictions. In response, the jurisdictions 

produced a White Paper in April 2010 that proposed the legal creation of an independent oversight 

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agency, the Metro Safety Commission (MSC), to replace TOC as the oversight agency for WMATA and 

address FTA’s findings. 

At the time of the proposal, the jurisdictions anticipated that, as an independent oversight agency, the 

MSC would have sufficient legal standing to meet the enforcement authority and financial and legal 

separation requirements set forth in the new program that had been proposed by the Obama 

Administration in December 2009, and which eventually became 49 U.S.C. Section 5329(e). 

As discussed in the introduction of this report, in February 2014, the TOC jurisdictions re-committed to 

the MSC as the best approach for overseeing WMATA. The jurisdictions also confirmed that TOC would 

continue its oversight activities throughout the transition period while the MSC is authorized and stood up 

and while the MSC personnel are addressing FTA’s new training and qualification requirements. 

49 USC § 5329 (e)(3)(D) requires that, “In order to obligate funds apportioned under section 5338 to 

carry out this chapter, effective three years after the date on which a final rule under this subsection 

becomes effective, an eligible State shall have in effect a State safety oversight program approved by the 

Secretary.” This provision prohibits FTA from obligating Federal funding to any RFGPTS if its 

designated SSOA has not come into full compliance with the more stringent MAP-21 SSO program 

requirements by three years after FTA’s issuance of its new SSO final rule. On February 27, 2015, FTA 

issued its State Safety Oversight Proposed Rule, 49 CFR Part 674. 

The TOC jurisdictions currently anticipate that the MSC will be ready to assume oversight 

responsibilities within three years of the issuance of the SSO final rule, as allowed in MAP-21.During the 

transition period, TOC will not only continue its current oversight activities, but also actively pursue 

additional oversight capabilities as required in MAP-21 and as guided by their Certification Work Plan. 

To this end, TOC and the local jurisdictions have memorialized their intended course of action in a TOCMSC Transition Action Item List. This list is replicated as Appendix C to this report. 

Key activities to be performed by the jurisdictions include: 

•	 Establishing the stringent MAP-21 conflict of interest policies regarding legal and financial 

separation from WMATA and from the jurisdictional offices that work with and fund WMATA; 

•	 Establishing a legal and financial strategy for creation of the multi-State commission, including 

potential Congressional approvals; 

•	 Establishing enforcement and investigative authority for the MSC through each of the local 

jurisdictions; 

•	 Establishing SSO program procedures and requirements to govern the program and direct MSC 

staff activities at WMATA; 

•	 Establishing office space, facilities, and equipment; 

•	 Hiring and developing qualified staff; and 

•	 Managing Federal and State grant program requirements. 

Given the complexity of this undertaking, and the number of activities to be performed, FTA finds that 

the local jurisdictions have not committed to the creation of the MSC with the sense of urgency warranted 

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by both 1) WMATA’s safety performance and challenges, and 2) the potentially devastating financial 

impact that failure to stand up this agency as required in MAP-21 could have on WMATA. 

Little has been accomplished since the initial April 2010 White Paper to address the significant legal, 

administrative and organizational issues involved in standing up the MSC. MWCOG has now been 

engaged to lead this transition. MWCOG is an independent nonprofit association that coordinates policies 

and responses to regional issues in the District of Columbia, the Commonwealth of Virginia, and the State 

of Maryland. MWCOG has extensive experience in Federal grant programs and coordinates programs 

across the TOC jurisdiction members. 

FTA approved TOC’s CWP for the MAP-21 program on May 16, 2014. Since that time, the TOC 

jurisdictions have entered into MOUs with MWCOG, which allow the agency to serve as the designated 

MAP-21 SSO program grantee for WMATA’s oversight agency. 

FTA appreciates that MWCOG will work with the jurisdictions to establish and manage budgets for TOC, 

as well as MSC-transition activities, and that MWCOG will assist the jurisdictions in developing a legal 

strategy for creating and empowering the MSC. FTA also recognizes that TOC has a dedicated Policy 

Committee that will work with MWCOG to lead the transition planning and to coordinate with executive 

leadership in the jurisdictions regarding legal and policy issues. Nevertheless, FTA is concerned by the 

length of time required to get these MOUs in place, and the reality that MWCOG may not be able to meet 

FTA’s initial deadline for obligating SSO grant funding. 

During the SSO audit, FTA clarified that activities designed to improve and enhance the implementation 

of 49 CFR Part 659 by TOC, as well as actions taken to address FTA’s audit program, are eligible 

expenses in the MAP-21 SSO grant program. Current TOC members play a critical role in managing the 

MAP-21 transition process with both MWCOG and leadership in their home jurisdictions while 

continuing to provide implementation of 49 CFR Part 659 minimum requirements. 

To fund safety oversight enhancements for WMATA, MAP-21 authorized and FTA apportioned 

$4,574,708 in combined Fiscal Years (FY) 2013, 2014, and partial-year 2015 grant funds to the 

jurisdiction in which the WMATA system is headquartered – the District of Columbia. MWCOG will be 

charged with managing these grant funds, and coordinating the 20 percent local match, ensuring that at 

least $5,489,649.60 is available in three-year minimum funding to support safety oversight enhancements 

for WMATA, including creation of the MSC. 

TOC and MWCOG are in the beginning stages of the MAP-21 grant application process. However, FTA 

is concerned with the length of time the jurisdictions have taken to complete the SSO program grant 

funding requirements. The CWP provided a schedule for several activities, including developing draft 

legislation by August 2014, and implementing a multi-State agreement among the jurisdictions to collect 

and match the Federal funds, which have not been implemented. 

Findings 

•	 Finding 1: As specified in 49 U.S.C. 5329 and 5330 – The TOC jurisdictions and the 

Metropolitan Washington Council of Governments (MWCOG) must complete the required SSO 

program grant funding requirements, and are at risk of losing Fiscal Year 2013 grant monies. 

•	 Finding 2: As specified in the TOC CWP and the TOC-MSC Transition Action Item List – The 

TOC jurisdictions must prioritize the transition from TOC to the Metro Safety Commission 

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(MSC), and ensure compliance with the schedule specified in TOC’s Certification Work Plan. 

FTA will initiate quarterly progress review sessions with the jurisdictions and will communicate 

directly with the Governors of Virginia and Maryland and the Mayor of the District of Columbia 

regarding recovery plans for failure to meet deadlines. 

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2.0 Program Resources 

Summary of Activities 

For this portion of the audit, FTA evaluated TOC’s management of the SSO program, its assignment of 

resources and responsibilities, and use of contractors. FTA also assessed the resources committed to 

implementing 49 CFR Part 659 requirements, including the System Safety Program Plan (SSPP). 

Evaluation Criteria 

49 CFR § 659.13 – Role of the SSOA 

49 CFR § 659.13 requires the designated SSOA to establish standards for rail safety and security 

practices and procedures to be used by an RFGPTS within the SSOA’s jurisdiction. It further requires 

the designated oversight agency to oversee the execution of these practices and procedures with 

appropriate resources and authority to ensure compliance with the provisions of 49 CFR Part 659. 

Status and Assessment 

TOC SSO Program Organization and Resources 

TOC’s program to implement FTA’s 49 CFR Part 659 SSO final rule is defined by its Program Standard 

and Procedures (PSP) and three (3) Memoranda of Understanding (MOUs): 

•	 An MOU between the jurisdictions (the District of Columbia, Maryland, and Virginia) creating 

TOC, dating back to 1997 with a major revision in 2010, 

•	 An MOU with the MWCOG to manage contractor services for the TOC, dating back to 1999 with 

5 major revisions, and 

•	 An MOU with WMATA that outlines roles and responsibilities for the oversight program dating 

back to 2010. 

TOC’s most recent PSP, dated August 2014, also addresses and documents its oversight relationship with 

the Metropolitan Washington Airports Authority regarding the Silver Line. 

A Chair leads TOC: 

•	 The TOC Chair has been granted the executive authority to elevate critical unresolved WMATA 

safety concerns to the TOC Executive Committee and to communicate TOC Executive 

Committee members’ decisions and requests on their behalf to WMATA; to draft and approve 

correspondence on behalf of TOC; to request that WMATA initiate investigations of accidents 

and hazardous conditions on behalf of TOC; to address immediate and time-sensitive safety 

situations or incidents; to meet with appropriate WMATA personnel to address findings, 

corrective action plans, and other key issues; and to take actions on TOC’s behalf, such as closing 

out corrective action plans and adopting accident investigations. 

•	 The Chair serves as the primary point of contact between the TOC and all external entities – such 

as FTA, WMATA, the National Transportation Safety Board (NTSB), and members of the media. 

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•	 The position rotates biennially among the three jurisdictions, or as needed due to circumstances. 

DDOT currently has the TOC Chair, which will transition to Virginia in September 2015. 

Virginia currently has the Vice Chair position, which will be assumed by Maryland in September 

2015. 

TOC’s PSP also identifies: 

•	 A TOC Executive Committee, which includes the DDOT Assistant Director and the Secretaries 

of Transportation of Maryland and Virginia, and which meets quarterly and makes policy-level 

decisions affecting the TOC oversight program. 

•	 A TOC Policy Committee, consisting of two policy-level members from each of the three 

jurisdictions. In addition to attending the regular TOC Executive Committee meetings, the TOC 

Policy Staff provide input on high-level policy issues affecting the TOC oversight program, 

interface with TOC members regarding their ongoing oversight work, and monitor serious and/or 

high-profile safety and security issues to ensure that the TOC Executives remain fully aware of 

TOC oversight program activities. 

TOC’s organization structure is depicted below: 

Figure 1 - TOC’s Organization Chart 

Finding 1 of FTA’s 2010 SSO audit of TOC required TOC to “Assess the level of resources necessary 

from each jurisdiction (District of Columbia, Maryland, and Virginia) to meet TOC’s responsibilities.” In 

response to FTA, the jurisdictions developed the White Paper on Optimizing State Safety Oversight of the 

WMATA Metrorail System, which included steps to strengthen TOC’s position while the jurisdictions 

prepare for the creation of the MSC, including a workload and budget assessment. 

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As a result of this assessment, the jurisdictions amended the TOC MOU to require each jurisdiction to 

contribute a minimum of one full-time member and one part-time member, for a total minimum of 4.5 

staff members. TOC utilizes contractor support, sharing the financial burden equally amongst the 

jurisdictions. In 2009, TOC utilized 5.1 FTE, and has increased every year since; in 2013 and 2014, the 

TOC jurisdictions utilized 8.1 FTE. This represents a total resource increase of three full-time equivalent 

oversight positions since 2009. 

During the on-site interviews, FTA was informed that the three full-time TOC members addressed the 

direct, on-location WMATA oversight program responsibilities with limited support from the part-time 

members, who mainly dealt with TOC policy issues in their home jurisdictions. Contractor support was 

used for a range of technical and administrative activities. While TOC resources have increased 

significantly, the three full-time TOC members still conduct the majority of the direct oversight activity at 

WMATA. 

Although TOC has increased staffing, FTA identified required activities that are not always addressed in a 

timely manner, including review and approval of corrective action plans (CAPs) and accident 

investigation reports, and review of WMATA’s internal safety and security audit reports. For example, as 

of the date of the SSO Audit, TOC had 87 open accident investigations at WMATA, some of which date 

back to 2013, and was tracking 110 open CAPs with WMATA, and an additional 50 CAPs were under 

development, awaiting WMATA’s final proposals. This represents a significant volume of oversight 

work, and while TOC is commended for its diligence in working with WMATA on these issues, TOC is 

constrained in its ability to manage this many open items and get them resolved at WMATA. 

49 CFR § 659.13 states, “the state oversight agency is responsible for establishing standards for rail safety 

and security practices and procedures to be used by rail transit agencies within its purview. In addition, 

the state oversight agency must oversee the execution of these practices and procedures to ensure 

compliance with the provisions of this part.” 

TOC meets with WMATA’s General Manager/Chief Executive Officer (GM/CEO) on at least a quarterly 

basis to discuss TOC’s SSO Program and any relevant issues. TOC also makes quarterly presentations to 

WMATA’s Board of Directors regarding the agency’s assessment of WMATA’s safety priorities and 

major areas of concern. 

As the three jurisdictions share safety oversight responsibilities, TOC members spend considerable time 

coordinating information, activities, and managing findings and evaluations of WMATA submittals. The 

organizational challenge of obtaining approval across three jurisdictions can delay TOC’s responsiveness 

to WMATA, delay communication of safety concerns to WMATA, and create confusion at WMATA 

regarding multiple and potentially contradictory follow-on requests for documentation or on-site 

activities. 

As per TOC PSP Section 3.2.2, TOC’s Executive Committee “meets on at least a quarterly basis to 

review TOC safety and security oversight issues.” However, as discussed during on-site interviews, the 

three members of the Executive Committee are high-level executives within their own jurisdictions and 

conflicts were evident with supporting the meeting schedule. 

As of the date of the SSO audit, the last TOC Executive Committee meeting was held in November 2014, 

and the TOC jurisdictions tentatively planned to hold the next TOC Executive Committee meeting in the 

summer 2015 timeframe. In addition, recent political elections reconfigured the TOC Executive 

Committee membership, which has created challenges in continuity and focus on TOC policy-level 

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issues. To develop the MSC, however, the TOC jurisdictions will need to rely on the Executive 

Committee and the attention and commitment of its membership. 

Findings 

•	 Finding 3: As specified in 49 CFR § 659.13 – TOC must conduct a resource assessment to ensure 

its structure, membership, and staffing is sufficient to implement the Program Standard and 

Procedures (PSP) requirements and to manage the transition activities associated with creation of 

the MSC. 

•	 Finding 4: As specified in TOC PSP Section 3.2.2 – The TOC Executive Committee must meet 

regularly to address policy concerns as required by the PSP. 

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3.0 Development of Program Standard and Agency Safety and 

Security Plans 

Summary of Activities 

For this portion of the audit, FTA evaluated TOC’s implementation of its PSP and the level of oversight 

provided regarding WMATA safety and security plans, as required in 49 CFR § 659.17 and 659.19. 

Evaluation Criteria 

1. 49 CFR § 659.15 – System safety program standard 

49 CFR § 659.15 requires the SSOA to develop and distribute a program standard. The 

program standard is a compilation of processes and procedures that governs the conduct of 

the oversight program at the State oversight agency level, and provides guidance to the 

regulated rail transit properties concerning processes and procedures they must have in place 

to comply with the State safety oversight program. 

2. 49 CFR § 659.17 – System safety program plan: General requirements 

49 CFR § 659.17 specifies that the SSOA must require rail transit agencies under its 

jurisdiction to develop and implement a SSPP that complies with the requirements of 49 CFR 

Part 659 and the oversight agency’s PSP. 

Status and Assessment 

TOC Program Standard and Procedures 

TOC’s PSP, originally drafted in 1997, has undergone 12 revisions, the latest of which is the August 2014 

Revision. Section 5.2 of the PSP states that the “TOC Program Standard will be reviewed on at least an 

annual basis by TOC, and will be updated as needed. Any updates required by FTA rules, as well as any 

improvements suggested by changes in industry best practices, will be added during this revision 

process.” Section 5.2 also indicates that the PSP may be revised upon consultation with WMATA. 

TOC reserves the right to issue interim changes to the PSP in response to an immediate need, as per 

Section 5.3. These interim changes are to be communicated to the designated WMATA contact in written 

form, followed by an immediate update to the PSP. 

The annual updates make the TOC PSP a living and referenced document for both TOC and WMATA 

that defines the requirements of the SSO program. 

TOC maintains a public website, http://www.tristateoversight.org. The website contains TOC background 

information, relevant program documentation, and contact information. TOC posts its current PSP and 

MOUs, as well as copies of three-year review audits and special studies, for public access and review. 

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WMATA Safety and Security Plans 

Section 12 of TOC’s PSP identifies the minimum requirements WMATA’s SSPP must meet as per 49 

CFR § 659.19. WMATA has designated the Department of Safety and Environmental Engineering 

(SAFE) as the responsible party for developing and implementing the SSPP as established in the SSPP’s 

WMATA Board of Directors System Safety Policy Statement. 

TOC requires WMATA to provide an annual update to the SSPP and Security and Emergency 

Preparedness Plan (SEPP) to include “identification and explanation of any and all changes for review 

and approval” as specified in PSP Section 14. After WMATA submits its plans, TOC reviews the updates 

and changes in accordance with internal checklists to ensure conformance with SSPP minimum 

requirements as set forth in 49 CFR § 659.19. 

TOC reviews and approves WMATA’s SSPP and SEPP each year, using an established set of checklists 

and a formal transmittal letter. 

In addition to an annual review, WMATA is responsible for identification of “changes that require 

modification of the SSPP ... on an ongoing basis.” Section 14 of TOC’s PSP further states that these 

updates must be incorporated into the SSPP within 45 calendar days of the change. TOC also reserves the 

right to request changes to the SSPP due to the results of audits, reviews, investigations, or other datadriven analyses. WMATA highlights changes made from the previous year’s SSPP through a revisions 

section listed in the front of the most recent SSPP. 

TOC’s PSP and the TOC/WMATA MOU require formal meetings with WMATA staff on a monthly 

basis “to address specific topics, including, but not limited to, open accident, incident, and hazard 

investigations; and open CAPs.” 

Over the last year TOC has generally maintained its required schedule for these monthly TOC-WMATA 

meetings to coordinate oversight activities with WMATA. 

As specified in the PSP, for each meeting, TOC prepares and distributes a meeting agenda, and generates 

“draft” meeting minutes, which once reviewed and approved, become the formal record of the issues 

discussed and actions taken at the meeting. Action items are specified and color-coded for TOC and 

WMATA. 

“Final” meeting minutes from the monthly sessions with WMATA personnel may contain official 

approvals for accident investigation reports, corrective action plans, internal safety and security reports, or 

other items related to the implementation of the SSPP or SEPP. 

Findings 

No Findings. 

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4.0 Oversight of the Implementation of Agency Safety and Security 

Plans

Summary of Activities 

For this portion of the audit, FTA evaluated TOC’s activities to oversee implementation of the rail transit 

agency SSPP and Security Plan as specified in 49 CFR §§ 659.17, 659.19, 659.21, and 659.23. 

Evaluation Criteria 

1. 49 CFR § 659.17 – System safety program plan: General requirements 

49 CFR § 659.17 specifies that the SSOA must require RFGPTS under its jurisdiction to 

develop and implement an SSPP in compliance with the requirements of 49 CFR Part 659 

and the SSOA’s Program Standard. 

2. 49 CFR § 659.19 – System safety program plan: Contents 

49 CFR § 659.19 establishes the minimum content requirements of the RFGPTS SSPP. 

3. 49 CFR § 659.21 – System security plan: General requirements 

49 CFR § 659.21 specifies that the SSOA must require RFGPTS under its jurisdiction to 

develop and implement a Security Plan that complies with the requirements of 49 CFR Part 

659 and the SSOA’s Program Standard. 49 CFR § 659.21 also requires that the RFGPTS 

Security Plan be developed and maintained as a separate document independent of the 

RFGPTS SSPP. 

4. 49 CFR § 659.23 – System security plan: Contents 

49 CFR § 659.23 establishes the minimum content requirements of the RFGPTS Security 

Plan. 

5. 49 CFR § 659.25 – Annual review of system safety program plan and system security plan 

Status and Assessment 

49 CFR § 659.17(l) states that “The system safety plan shall include, at a minimum: ... “(l) A description 

of the process used by the rail transit agency to ensure that planned and schedule Internal Safety Reviews 

are performed to evaluate compliance with the system safety program plan.” 

Although WMATA’s SSPP and SEPP meet and exceed 49 CFR Part 659 requirements in many areas, 

TOC does not ensure that WMATA complies with all requirements set forth in both WMATA’s program 

plan documents and TOC’s PSP. 

For example, the SSPP and the TOC PSP Section 6.2 require that WMATA complete and submit Internal 

Safety and Security Review reports, including the associated CAPs, to TOC within 60 days. During 

interviews and records reviews, FTA learned that WMATA had not performed the required reviews of the 

Metro Transit Police Department (MTPD) and SAFE during the first cycle of Internal Safety and Security 

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Reviews. These reviews were finally completed in August 2014 for MTPD and January 2015 for SAFE. 

Further, interviews confirmed that, while not lengthy, delays may occasionally occur in receiving final 

Internal Safety and Security Review reports, including associated corrective action plans. 

In addition and as described in Section 6 of this report, some accident notifications were missing or 

submitted late. As discussed in Section 5 of this report, WMATA has failed to report necessary hazards to 

TOC in a timely manner, and has not developed corrective action plans related to three-year review 

findings and emergency drills, as required in the TOC PSP. Most significantly, as discussed in Section 7 

of this report, WMATA does not always make timely submissions for corrective action plans, sometimes 

waiting several months to develop and submit them to TOC. 

For example, over the last few years, TOC has expressed concern regarding the resources WMATA has 

available to support and oversee safety certification. WMATA SAFE devotes approximately 2.5 FTEs to 

the oversight of safety certification, including over 200 ongoing capital projects, the Silver Line Phase 2, 

and the 7000 series vehicle procurement. 

During a 2013 Three-Year Review, WMATA SAFE was unable to provide documents or evidence 

showing its review of or comments on engineering design for new projects. In response, TOC issued the 

following open non-compliance finding: “There was no evidence that SAFE is completing review of 

engineering designs for new projects.” WMATA still has not responded with a corrective action plan for 

this finding. 

FTA is concerned that the TOC, while actively engaged with WMATA leadership, has not effectively 

addressed the timeliness or absence of WMATA submissions. 

Findings 

•	 Finding 5: As specified in 49 CFR §§ 659.17 and 659.19 – TOC must ensure that WMATA 

complies with approved schedules for resolving Corrective Action Plans (CAPs), reports, 

analyses, and responses. 

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5.0 Hazard Management Program 

Summary of Activities 

For this portion of the audit, FTA evaluated TOC’s policies requiring WMATA to implement a hazard 

management program and TOC’s processes for tracking the resolution of identified hazards as specified 

in 49 CFR § 659.31. 

Evaluation Criteria 

1.	 49 CFR § 659.15(b)(8) – System safety program standard: Contents – section regarding system 

safety program plan 

49 CFR § 659.15(b)(8) requires the SSOA to identify in its Program Standard its 

requirements for “ongoing communication and coordination relating to the identification, 

categorization, resolution, and reporting of hazards (including specified types or categories of 

hazards at the RTA) to the oversight agency.” 

2.	 49 CFR § 659.19(f) – System safety program plan: Contents – section regarding hazard 

management program 

49 CFR § 659.19 (f) outlines the minimum requirements for the hazard management program 

portion of the rail transit agency’s SSPP (including a description of how the rail transit 

agency will provide ongoing reporting to the SSOA regarding those activities). 

3.	 49 CFR § 659.31 – Hazard management process 

49 CFR § 659.31 specifies that the SSOA must require each rail transit agency in its 

jurisdiction to develop, implement, and document, in its SSPP, a program to identify and 

resolve hazards, (including “any hazards resulting from subsequent system extensions or 

modifications, operational changes, or other changes within the rail transit environment.”). 49 

CFR § 659.31(b), further clarifies that the program must: 

•	 Define the rail transit agency’s approach to hazard management and the 

implementation of an integrated system-wide hazard resolution process; 

•	 Specify the sources of, and the mechanisms to support, the ongoing identification of 

hazards; 

•	 Define the process by which identified hazards will be evaluated and prioritized for 

elimination or control; 

•	 Identify the mechanism used to track through resolution of the identified hazard(s); 

•	 Define minimum thresholds for the notification and reporting of hazard(s) to 

oversight agencies; and 

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• Specify the process by which the rail transit agency will provide ongoing reporting of 

hazard resolution activities to the oversight agency. 

49 CFR § 659.31 also includes details about the types of information that the SSOA may 

require the rail transit agency to include in its SSPP regarding hazard management. 

Status and Assessment
 

TOC’s PSP identifies the hazard management program requirements in the following sections:
 

• Section 8.4: Notification Procedures for Hazards; 

• Section 10: Hazard Management Program; 

• Section 11.3c: CAP Sources, Hazard Investigation; and 

• Section 12: WMATA System Safety Program Plan. 

In addition to TOC’s PSP, Section 6 of WMATA’s SSPP summarizes the hazard management process 

and identifies SAFE as the responsible party for the implementation of a hazard management program 

(Figure 2). SAFE is responsible for developing, updating, and auditing the hazard management program, 

providing awareness training on the hazard management process to employees and contractors, and 

tracking all identified hazards to resolution. 

Figure 2 - WMATA Hazard Management Process 

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Section 6 of the SSPP defines hazards as “a condition or set of conditions, internal or external to 

the system or system operation, which, when activated could cause injury or death or damage to 

or loss of equipment or property.” SAFE is required to review and categorize hazards “according 

to the severity and likelihood of occurrence of the hazard.” 

The WMATA Chief Safety Officer must “immediately notify the responsible department head, 

the ESC [Executive Safety Committee], GM/CEO, and TOC Chair or designated TOC 

representative ... within two (2) hours of the determination that the hazard meets the above 

criteria [category I-A to I-C hazards].” As shown in Table 1 below, TOC and WMATA have 

identified minimum hazard reporting thresholds summarized in Exhibit 6-4 of the SSPP. 

Table 1- TOC Hazard Notification Requirements 

Incident/Hazard Type Notification Type 

Fatality within 30 days 2 hours by phone 

Two or more injuries requiring immediate medical attention away from the scene 2 hours by phone 

Property damage equal to or more than $25,000 2 hours by phone 

Evacuation of a train or facility for life safety reasons, or of a train for any reason if not at a 

station platform including self-evacuation 2 hours by phone 

Derailment of any powered vehicle on the mainline, or any train in a yard 2 hours by phone 

A collision with an individual, any other vehicle, or a fixed object 2 hours by phone 

Employee or patron electrical shock over 200 volts 2 hours by phone 

Red signal violation/overrun 2 hours 

Train encroachment or overrun into a work zone 2 hours 

Opening of vehicle side doors during train movement 2 hours 

Fallen or dragging equipment from a rail vehicle 2 hours 

Passenger falls from vehicle onto right-of-way 2 hours 

Stranding of passengers on a train for more than 15 minutes 2 hours 

Other actions or malfunctions that could have resulted in significant injuries or damage 2 hours 

Speed restriction or track closure due to infrastructure damage or weather conditions 2 hours 

Fire in or on Metrorail property, including stations, the right-of-way, yards, and shops 

(including no evacuation) 2 hours 

Vehicle side door opening on the wrong side or off station platforms 1 business day 

Mainline rail breaks/cracks 1 business day 

Other incidents or hazards involving workers in a right-of-way 1 business day 

All hazards that WMATA gives a severity/frequency rating of 1A-C, 2A-B, or 3A 1 business day 

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Once WMATA notifies TOC of the hazard, SAFE is then required to provide regular updates to TOC via 

e-mail for resolution of the hazardous condition. SAFE then “submits a draft hazardous condition 

investigation report to the responsible executive manager hazard investigations lasting longer than 30 

calendar days.” Hazards that do not meet the criteria above are reported in the Hazard Management 

Module of WMATA’s Safety Measurement System (SMS) and must have an appropriate CAP assigned 

within 45 calendar days. Hazards that can be mitigated immediately do not require a CAP. Monthly SMS 

Hazard Management Module downloads are available for TOC’s review. 

49 CFR § 659.31(a) explains that, “The oversight agency must require the rail transit agency to develop 

and document in its system safety program plan a process to identify and resolve hazards during its 

operation, including any hazards resulting from subsequent system extensions or modifications, 

operational changes or other changes within the rail transit environment.” 

As shown in Table 2 below, TOC annual reports to FTA summarize that just 56 hazards were reported 

through the SSO program. However, many of these SSO reported hazards were actually consequences of 

rail incidents and not separate hazards that meet TOC hazard notification thresholds. FTA also reviewed 

WMATA’s CY 2014 hazard log and noted that 101 hazards were reported; however, no hazards were 

reported to TOC for the period January through April 2015. 

Table 2- Report Hazard 

Calendar Year (CY) Number of Hazards 

CY 2011 11 

CY 2012 19 

CY 2013 26 

In addition, FTA found that potential hazard identification sources including WMATA’s Local Safety 

Committee (LSC) program and the safety hotline are not adequately leveraged to ensure identification and 

resolution of hazards. WMATA’s Safety Measurement System hazard management module is intended to 

be the central mechanism for tracking, analysis, and resolution of hazards. However, TOC found that 

issues raised to the LSC level do not appear to be evaluated for trends and similarities across various 

locations. Therefore, an issue raised at one LSC may be unknown to those at another LSC, covered by a 

different Safety Officer. 

As part of TOC’s Three-Year Safety Review (which it conducts in an on-going manner), TOC issued 

several Findings of Non-Compliance regarding the management and administration of WMATA’s hazard 

management program. While the WMATA SSPP includes processes for a strong hazard management 

program, WMATA has not identified and reported hazards as required. 

TOC found that accident investigations revealed hazards that preceded the occurrences but were not 

appropriately identified or reported. TOC identified the following example: the investigation of the May 

2013 train fire at Silver Spring revealed that a chafed cable had been taped rather than evaluated for 

proper securement. As another example, it was discovered in 2013 that Train Operators pre-empted 

malfunctioning emergency intercoms by rigging the response mechanism on the operating console. 

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Although TOC has identified lack of compliance with the hazard management requirements, sufficient 

action has not been implemented to resolve the issue. More than one year after TOC’s findings were 

issued, WMATA still has not proposed corrective actions that can be approved by TOC. 

FTA also identified two areas where TOC members are working with WMATA to get access to safety 

information, but because they have no clear authority under 49 CFR Part 659 or in the TOC-WMATA 

MOU, agreements have yet to be established: 

•	 The Confidential Close Call Reporting System MOU that WMATA established with Local 689 

and the Bureau of Transportation Statistics does not include TOC, and TOC has not been 

involved with this program at all – not as a member of the Peer Review Team or Close Call 

Steering Committee. TOC does not review the criteria for reports, the analysis of information, or 

corrective actions. This could potentially conflict with the TOC PSP, which requires that 

WMATA report and investigate specific categories of near-misses, such as train encroachment or 

overrun into a work zone. 

•	 TOC has limited access to WMATA’s SMS system. Only one member has virtual private 

network access, and administrative controls are such that TOC members have difficulty accessing 

data. TOC also would like to work with WMATA to request specific reports and access to 

Maximo to support safety performance monitoring. 

Findings 

•	 Finding 6: As specified in 49 CFR § 659.31 – TOC must ensure that WMATA adheres to the 

hazard management process outlined in the WMATA System Safety Program Plan (SSPP). 

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6.0 Accident Notification, Reporting, and Investigation 

Summary of Activities 

For this portion of the audit, FTA evaluated TOC’s policies and procedures for performing and 

overseeing accident notifications, investigations, and investigation reports, as specified in 49 CFR §§

659.33 and 659.35. 

Evaluation Criteria 

1.	 49 CFR § 659.33 – Accident Notification 

49 CFR § 659.33 establishes the minimum thresholds for accident notification and 

investigation. FTA requires the RFGPTS to notify the SSOA within two hours of any 

incident involving a rail transit vehicle or taking place on rail transit-controlled property 

where one or more of the following occurs: 

•	 A fatality at the scene; or where an individual is confirmed dead within 30 days of a 

rail transit-related incident; 

•	 Injuries requiring immediate medical attention away from the scene for two or more 

individuals; 

•	 Property damage to rail transit vehicles, non-rail transit vehicles, other rail transit 

property, or facilities and non-transit property that equals or exceeds $25,000; 

•	 An evacuation due to life safety reasons; 

•	 A collision at a grade crossing; 

•	 A main line derailment; 

•	 A collision with an individual on a rail right-of-way; or 

•	 A collision between a rail transit vehicle and a second rail transit vehicle, or a rail 

transit non-revenue vehicle. 

2.	 49 CFR § 659.35 – Investigations 

49 CFR § 659.35(d) requires each investigation to be documented in a final report that 

includes a description of investigation activities and identifies causal and contributing factors 

and CAPs. 49 CFR § 659.35(f) gives the SSOA the authority to require periodic status reports 

that document investigation activities and findings in a timeframe determined by the SSOA. 

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Status and Assessment 

The PSP dictates investigation thresholds that meet, and in some cases, exceed the requirements of 49 

CFR Part 659. TOC delegates the investigation to WMATA, providing oversight at the draft and final 

report level. Final reports are adopted by TOC after TOC has reviewed and resolved any questions 

regarding the accident investigation, causal factors, and/or necessary follow-up items. 

As per the PSP, WMATA is required to provide the following to TOC following a reportable 

accident/incident: 

1.	 An initial notification of a reportable accident/incident; 

2.	 A preliminary report within three business days of the accident/incident; 

3.	 An investigation status report for investigations open longer than 30 calendar days; 

4.	 A draft final accident/incident investigation report submitted at the end of the investigation to be 

reviewed and approved by TOC; and 

5.	 A final accident/incident investigation report. 

FTA verified that during 2014, TOC has conducted monthly meetings to discuss accident 

investigation/safety issues and concerns and to coordinate oversight activities with WMATA. Following 

the meetings, TOC provides WMATA with a weekly accident/incident log to track all reported 

accidents/incidents and to ensure WMATA concurrence. 

The February 2015 accident/incident log summarized that WMATA had 87 open accident investigations, 

the oldest of which is from 2013, and some of which are reported as part of requirements exceeding those 

specified in 49 CFR Part 659. Table 3, below, depicts those preliminary and final accident investigation 

reports that should be closed but are still open. WMATA has not consistently met the three business day 

preliminary incident report requirement or the 30 day requirement for final reports. 

Table 3- WMATA Incident Investigation Report Summary (as of March 2015) 

Incident Summary Incident Date Preliminary Report 

Date 

Final Report 

Date 

TOC Adoption 

Date 

Fire and Evacuation 10/23/2014 Open Open Open 

Train contacted debris on 

mainline track 11/3/2014 Open Open Open 

Fire and Evacuation 2/11/2015 Open Open Open 

Train Struck Shop Door 3/24/2014 3/27/2014 1/7/2015 1/28/2015 

Brake Disc fell off 1K 

Car 6/11/2014 6/17/2014 11/13/2014 2/27/15 

Federal Transit Administration June 17, 2015	 Page | 25 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

United States Department of Transportation 

Federal Transit Administration 

49 CFR § 659.35(e) requires that, “A final investigation report must be formally adopted by the oversight 

agency for each accident investigation.” 

During on-site interviews, TOC and WMATA both expressed concerns regarding the length of time 

required to discuss, evaluate, and approve WMATA’s accident investigation reports. Based on 

discussions with all involved parties, FTA believes that the accident investigation report review process 

would be improved by the creation of a checklist of required elements for WMATA’s accident reports. 

Such a checklist would lay out TOC’s expectations and the required supporting submittals for each 

accident investigation. 

TOC informed FTA that WMATA has improved collaboration between the various operating departments 

for developing accident investigation reports. TOC also informed FTA that WMATA SAFE actively 

engages the operating and maintenance departments in the development of CAPs to prevent accident 

recurrence. 

Findings 

•	 Finding 7: As specified in 49 CFR § 659.35 – TOC must ensure that WMATA provides the 

necessary information for accident notifications and reports, such that the need for follow-up 

submission is minimized. TOC must implement accident investigation checklists or procedures to 

ensure required elements are consistently submitted. 

•	 Finding 8: As specified in the TOC/WMATA Memorandum of Understanding (MOU) Section 2.5 

and PSP Section 9.2 – TOC must ensure that WMATA develops a recovery plan for all 

investigation reports that have not been completed within (6) six months. TOC must consistently 

require WMATA to submit an investigation status report for investigations that do not meet the 

30 day reporting requirements. 

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United States Department of Transportation 

Federal Transit Administration 

7.0 Corrective Action Plans 

Summary of Activities 

For this portion of the audit, FTA evaluated TOC policies and procedures requiring the development, 

approval, tracking, and implementation verification of CAPs as required by 49 CFR § 659.37. 

Evaluation Criteria 

1. 49 CFR § 659.37 – Corrective Action Plans 

49 CFR § 659.37 establishes that each SSOA must require the development of CAPs for, at a 

minimum, the following: 

• Results from investigations in which it is determined CAPs are necessary; and 

• Findings from the SSOA’s three-year safety and security reviews. 

2. 49 CFR § 659.37 requires that each CAP identify: 

• The action to be taken by the rail transit agency; 

• An implementation schedule; and 

• The individual or department responsible for implementation. 

49 CFR § 659.37 also requires the SSOA to review and approve each CAP and monitor and 

track the implementation of each plan. 

Status and Assessment 

49 CFR § 659.15(b)(7) requires rail transit agencies to specify, “the development of corrective action 

plan(s) and the process for the review and approval of a corrective action plan developed by the rail 

transit agency.” 

Section 11 of TOC’s PSP specifies the process for the review and approval of WMATA’s CAPs. TOC 

requires that CAPs be developed for: 

• Findings from the triennial safety and security review process 

• Hazard investigations 

• Internal Safety and Security Audits and Reviews 

• NTSB recommendations, and 

• Other sources, such as external reviews 

Federal Transit Administration June 17, 2015 Page | 27 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

United States Department of Transportation 

Federal Transit Administration 

Section 11.1 of the PSP requires that CAPs are “achievable, measurable, assigned to an individual within 

the proper department(s) or office(s), and include a realistic target date for completion.” WMATA is 

required to include, at a minimum, the finding, its source, the plan to address and resolve the finding, the 

anticipated implementation date, the department or individual responsible for implementation, and a 

hazard rating for each CAP. 

CAPs submitted to TOC can be approved, conditionally approved, or declined within 30 calendar days. 

WMATA is permitted to undertake immediate hazard mitigation strategies for severe safety concerns. 

Approved CAPs are logged and tracked by TOC and are reviewed at a monthly, in-person TOC-WMATA 

meeting, the Corrective Action Plan Technical Review Entity (CAPTURE) meetings. These meetings are 

designed to discuss CAP implementation and facilitate TOC verification of WMATA’s completion of 

CAPs. WMATA is required to update TOC on the status of each CAP at least quarterly, either by written 

documentation or at the monthly CAPTURE meeting. 

49 CFR § 659.37(f)(1) requires “verification that the corrective action(s) has been implemented.” Section 

11.4 of the PSP provides WMATA with guidance on the documentation required to close out CAPs by 

general CAP category (ex.: rules and procedures compliance, maintenance, etc.). Once submitted for 

closure, TOC is required to review the provided documentation and respond within 10 days. 

FTA confirmed that CAPTURE meetings generally take place monthly, as required in the PSP, and 

include WMATA representatives from SAFE and SMEs from operating departments (such as Rail 

Transportation, Car Maintenance, Vehicle Engineering, Track & Structures, etc.). TOC generally 

manages quarterly updates for each CAP through the CAPTURE meetings or submitted documentation. 

FTA confirmed that TOC is tracking 110 open CAPs at WMATA, as of March 12, 2015, with at least a 

dozen more under development in response to TOC Three-Year Reviews from December 2014 (Subway 

Fire-Life Safety Equipment (stand pipes, exists, call boxes, exhaust fans, etc.)) and February 2015 

(ATC/Signals/Switch Machines, Communications Systems Maintenance and Associated Training) and up 

to 22 more CAPs still largely in draft in response to TOC’s earlier 2014 System Safety Program ThreeYear Review: 

•	 15 of these CAPs date back before 2012, and most of them relate to NTSB recommendations 

issued in response to the Fort Totten collision or previous investigations into roadway worker 

fatalities that require long lead-times (i.e., removing the 1000 series vehicles from passenger 

service, equipping all railcars with event data records, and implementing technology that will 

automatically alert wayside workers of approaching trains and will automatically alert train 

operators when approaching areas with workers on or near the tracks). 

•	 Another 10 CAPs date back to 2012, resulting from WMATA Internal Safety Reviews, and have 

been re-scoped or re-issued as part of new Internal Safety Review program findings from 2014 

(largely relating to the request for engineering support process and engineering modification 

instructions). 

•	 The 85 remaining CAPs on TOC’s matrix related to accidents, Internal Safety and Security 

Reviews, and TOC Three-Year Safety Review activity occurring in 2013 and 2014. 

Federal Transit Administration June 17, 2015	 Page | 28 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

United States Department of Transportation 

Federal Transit Administration 

TOC and WMATA appear generally to be following WMATA procedures that require WMATA to 

provide CEO/GM-approved “CAP due date extensions”, when an extension is needed to a CAP assessed 

as a Level One (catastrophic) or Level Two (critical) hazard. 

Although FTA recognizes that CAPs identified in 2012 and earlier often relate to the engineering support 

process and engineering modification instructions, the number of open CAPs and average time to close 

CAPs is significant. 

In addition, WMATA did not effectively develop and implement CAPs to address TOC’s findings from 

its Three-Year Safety and Security Review of the WMATA SSPP elements 1-10, 12, and 17, issued 

February 14, 2014. WMATA has not submitted the CAPs related to this report, as verified through a 

review of the April 2015 monthly CAP report issued by WMATA. 

During the SSO audit, TOC expressed concern regarding challenges in getting WMATA to submit CAPs 

in response to anything other than accidents. FTA confirmed that: 

•	 WMATA has largely removed open CAPs from TOC Three-Year Reviews from its WMATA 

Monthly CAP Tracking Matrix submission, preferring to track and manage them separately. 

•	 WMATA was not submitting CAPs to TOC to address after-action reports from drills and 

exercises, as required in TOC’s PSP and TOC’s MOU with WMATA. 

•	 Hazards identified and analyzed by WMATA as part of its Safety Measurement System generally 

are not resulting in CAPs. 

•	 WMATA is also not generating CAPs resulting from the agency’s Fire Marshal inspections or a 

recent FM Global review of their Fire Systems. 

Findings 

•	 Finding 9: As specified in 49 CFR § 659.37 – TOC must ensure that WMATA develops and 

submits comprehensive CAPs for all necessary safety and security activities in a timely manner. 

Federal Transit Administration June 17, 2015	 Page | 29 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

United States Department of Transportation 

Federal Transit Administration 

8.0 Oversight of Internal Reviews and Annual Reporting 

Summary of Activities 

For this portion of the audit, FTA evaluated TOC’s policies requiring WMATA to conduct Internal Safety 

and Security Reviews and annual assessments of its SSPP and security plan as specified in 49 CFR §§ 

659.25 and 659.27. 

Evaluation Criteria 

1. 49 CFR § 659.25 – Annual review of system safety program plan and system security plan 

49 CFR § 659.25 states that the SSOA must require the rail transit agencies under its 

jurisdiction to conduct annual reviews of their SSPP and SEPP. This section further states 

that the SSOA must require that the rail transit agencies make modified SSPPs or SEPPs 

available to the SSOA. 

2.	 49 CFR § 659.27 – Internal safety and security reviews 

49 CFR § 659.27 requires rail transit agencies to develop and document a process for the 

performance of ongoing Internal Safety Reviews in their SSPP. The Internal Safety Review 

process must, at a minimum: 

•	 Determine if all identified elements of its SSPP are performing as intended; and 

•	 Ensure that all elements of the SSPP are reviewed in an ongoing manner and 

completed over a three-year cycle. 

49 CFR § 659.27(c) requires rail transit agencies to notify the SSOA at least 30 days before 

the conduct of scheduled Internal Safety Reviews. In addition, 49 CFR § 659.27(d) and (e) 

require rail transit agencies to submit to the SSOA any checklists or procedures that will be 

used during the internal reviews. 49 CFR § 659.27(f) states that the SSOA must require rail 

transit agencies to submit an annual report that documents Internal Safety Review activities 

and the status of subsequent findings and CAPs. 

Status and Assessment 

Section 6 of the PSP and Section 12.3.2 of the SSPP requires that “Over a three-year period, all 21 

elements of the SSPP must be audited at least once. The three-year schedule showing the schedule for 

each department or contractor safety and security audit shall be reviewed and updated as necessary by 

October 1 of each year.” 

WMATA is required to inform TOC annually of their upcoming audit schedule at least 30 calendar days 

in advance of a scheduled audit as well as submit to TOC all checklists and procedures to be used during 

the audit. TOC reserves the right to participate in WMATA Internal Safety and Security Reviews and 

permits WMATA to conduct their internal audits alongside TOC’s three-year review process, though both 

parties maintain their separate review processes and produce independent reports. 

Federal Transit Administration June 17, 2015	 Page | 30 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

United States Department of Transportation 

Federal Transit Administration 

49 CFR § 659.27(f) explains that “The oversight agency shall require the rail transit agency to annually 

submit a report documenting internal safety and security review activities and the status of subsequent 

findings and corrective actions.” 

Section 6.2 of the PSP requires that upon completion of each safety or security audit, WMATA must 

submit a report to TOC within 60 days to include a summary of the audit, completed audit checklists, 

findings, and suggested CAPs. WMATA is also required to provide an annual audit report to TOC, as 

outlined in TOC’s PSP Section 6.3, to include a summary of internal audits performed in the previous 

year and the corresponding audit checklist, findings, and CAPs. Within 45 calendar days of receipt, TOC 

provides a written response to approve, conditionally approve, or reject the report. WMATA is then given 

15 additional calendar days to address TOC’s requests and to submit a revised report. 

During on-site interviews, FTA’s SSO audit team learned that WMATA does not consistently meet its 

required timelines to submit both the individual audit reports and the annual audit report. Furthermore, 49 

CFR § 659.27(i) requires that, “The oversight agency must formally review and approve the annual 

report.” FTA finds that TOC has not effectively addressed the timeliness of WMATA’s submissions. 

Findings 

•	 Finding 10: As specified in 49 CFR § 659.27(b)(2) – TOC must ensure that the WMATA 

Department of Safety and Environmental Management (SAFE) and Metro Transit Police 

Department (MTPD) Internal Safety and Security Reviews and annual audit reports are submitted 

and approved within the timeframe required by the PSP. 

Federal Transit Administration June 17, 2015	 Page | 31 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

United States Department of Transportation 

Federal Transit Administration 

9.0 State Oversight Agency Three-Ye a r S a f e t y a n d S e c u r i t y R e v i e w s 

Summary of Activities 

For this portion of the SSO audit, FTA evaluated TOC’s performance of Three-Year Reviews to assess 

WMATA’s implementation of its SSPP and SEPP as specified in 49 CFR § 659.29. 

Evaluation Criteria 

1.	 49 CFR § 659.29 – Oversight agency safety and security reviews 

49 CFR § 659.29 requires that, at least once every three years, beginning with the initiation of 

rail transit agency passenger operations, the SSOA must conduct an on-site review of the rail 

transit agency’s implementation of its SSPP and security plan. Alternatively, the on-site 

review may be conducted in an ongoing manner over the three-year timeframe. At the 

conclusion of the review cycle, the SSOA must prepare and issue a report containing findings 

and recommendations resulting from that review, which, at a minimum, must include an 

analysis of the effectiveness of the SSPP and security plan and a determination if either need 

to be updated. 

Status and Assessment 

Section 7 of TOC’s PSP outlines TOC’s responsibilities to conduct reviews of WMATA’s 

implementation of its SSPP and SEPP. TOC began its latest Three-Year Review cycle in 2013 and is 

performing this review on an on-going basis. TOC states in its PSP that the on-going approach will 

“provide TOC with a more unified, continuous view of WMATA operations, as well as ... spread out 

associated administrative burdens.” 

This change required extensive negotiation with WMATA and, as a result, WMATA did not complete its 

full Three-Year Review process for the 2010-2012 period. During this review cycle lag, TOC worked 

with WMATA to conduct special studies and focused field reviews on roadway worker protection, hours 

of service, and rules compliance. TOC coordinated with WMATA to identify appropriate review dates 

and obtained access to WMATA’s most recent plans and procedures for the relevant audit portion. 

49 CFR § 659.29 requires that “At least once every three years, beginning with the initiation of rail transit 

agency passenger operations, the SSOA must conduct an on-site review of the rail transit agency’s 

implementation of its system safety program plan and system security plan.” 

Findings 

•	 Finding 11: As specified in the 49 CFR § 659.29 – TOC must conduct an assessment of its 

Three-Year Safety and Security Review process to ensure that all necessary WMATA elements 

are reviewed and the findings are released in a timely manner. 

Federal Transit Administration June 17, 2015	 Page | 32 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

United States Department of Transportation 

Federal Transit Administration 

10.0 Reporting to FTA 

Summary of Activities 

For this portion of the SSO audit, FTA evaluated TOC policies and procedures for self-certification and 

reporting to FTA, as specified in 49 CFR §§ 659.39 and 659.43. 

Evaluation Criteria 

1.	 49 CFR § 659.39 – Oversight agency reporting to the Federal Transit Administration 

49 CFR § 659.39 establishes the minimum SSOA reporting requirements. SSOAs must make 

an annual submission to FTA by March 15 of each year. The annual report must include a 

publicly available annual report summarizing the oversight activities for the previous 

calendar year, including a description of the causal factors of investigated accidents, status of 

CAPs, updates and modifications to rail transit agency program documentation, as well as 

resources used by the oversight agency to carry out its oversight activities. 49 CFR § 659.43 

requires oversight agencies to annually certify that they have complied with the requirements 

of 49 CFR Part 659. 

2.	 49 CFR § 659.43 – Certification of compliance 

Status and Assessment 

TOC’s Program Standard specifies, “Before March 15 of each year, TOC must submit the following to 

FTA: 

•	 A publicly available annual report summarizing its oversight activities for the preceding twelve 

months, including a description of the causal factors of investigated accidents, status of corrective 

actions, updates and modifications to rail transit agency program documentation, and the level of 

effort used by the oversight agency to carry out its oversight activities [659.39(c)(1)]. 

•	 A report documenting and tracking findings from three-year safety review activities, and whether 

a three-year safety review has been completed since the last annual report was submitted 

[659.39(c)(2)]. 

•	 Program standard and supporting procedures that have changed during the preceding year 

[659.39(c)(3)]. 

•	 Certification that any changes or modifications to a SSPP or SEPP have been reviewed and 

approved by TOC [659.39(c)(4)]. 

•	 Certification that TOC has complied with the requirements of 49 CFR Part 659.” 

Federal Transit Administration June 17, 2015	 Page | 33 
 

 

 

 

 

 

United States Department of Transportation 

Federal Transit Administration 

In a letter dated May 9, 2014, TOC submitted its 2013 Compliance Certification and required oversight 

documentation to FTA (note: the 2014 deadline for submission was extended to May 15, 2014, in 

response to the new electronic reporting system). 

Findings 

No findings. 

Federal Transit Administration June 17, 2015 Page | 34 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Federal Transit Administration SSO Audit Program 

State Safety Oversight Program List of Requested Materials 

Appendix A – List of Requested Materials 

FTA’s SSO audit team requested electronic copies of the following materials. 

•	 Program Standard and Procedures (659.15) 

•	 SSOA Organization Chart, clearly depicting safety reporting relationships (if not included in the 

Program Standard and Procedures) 

•	 RFGPTS Organization Chart, clearly depicting safety reporting relationships (if not included in 

the SSPP) 

•	 RFGPTS System Safety Program Plan(s) (659.19) 

•	 System Safety Program Plan Approval Letter(s) (659.17(c)) 

•	 System Safety Program Plan Review Checklist(s) (659.17(c)) 

•	 Three-Year Review Procedures (659.29) 

•	 Mechanism used to track hazards through resolution (659.31(b)(4)) 

•	 Accident Notifications (three most recent) (659.33(a)) 

•	 Accident Tracking Log (659.33(c)) 

•	 SSOA and RFGPTS Accident Investigation Procedures (659.35(b)) 

•	 SSOA Letter approving RFGPTS accident investigation procedures (659.35(c)) 

•	 2014 Accident Investigation Reports (659.35(d)) 

•	 Sample of Formal Documentation of SSOA Adoption of RFGPTS Investigation Report 

(659.35(e)(2)) 

•	 2014 Corrective Action Plans (659.37(b)) 

•	 2014 Corrective Action Plan approval letters (659.37(c)) 

•	 Corrective Action Plan Tracking Log (659.37(f)(1)) 

*FTA followed protocols established by the SSO agency and the rail transit agency to access any 

materials classified as Sensitive Security Information. 

Federal Transit Administration June 17, 2015	 Page | 35 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Federal Transit Administration SSO Audit Program 

State Safety Oversight Program Audit Findings Tracking Matrix 

Appendix B – Audit Findings Tracking Matrix 

Audit Finding Next Status Update Prior SSO Activity/ 

FTA Response 

Status SSO Agency Action/ 

Projected Completion Date 

Finding 1: As specified in 49 U.S.C. 5329 and 5330 – The 

TOC jurisdictions and the Metropolitan Washington Council 

of Governments (MWCOG) must complete the required SSO 

program grant funding requirements, and are at risk of losing 

Fiscal Year 2013 grant monies. 

Finding 2: As specified in the TOC CWP and the TOC-MSC 

Transition Action Item List – The TOC jurisdictions must 

prioritize the transition from TOC to the Metro Safety 

Commission (MSC), and ensure compliance with the schedule 

specified in TOC’s Certification Work Plan. FTA will initiate 

quarterly progress review sessions with the jurisdictions and 

will communicate directly with the Governors of Virginia and 

Maryland and the Mayor of the District of Columbia regarding 

recovery plans for failure to meet deadlines. 

Finding 3: As specified in 49 CFR § 659.13 - TOC must 

conduct a resource assessment to ensure its structure, 

membership, and staffing is sufficient to implement the 

Program Standard and Procedures (PSP) requirements and to 

manage the transition activities associated with creation of the 

MSC. 

Finding 4: As specified in TOC PSP Section 3.2.2 - The TOC 

Executive Committee must meet regularly to address policy 

concerns as required by the PSP. 

Finding 5: As specified in 49 CFR §§ 659.17 and 659.19 -

TOC must ensure that WMATA complies with approved 

schedules for resolving Corrective Action Plans (CAPs), 

reports, analyses, and responses. 

Federal Transit Administration June 17, 2015 Page | 36 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Federal Transit Administration SSO Audit Program 

State Safety Oversight Program Audit Findings Tracking Matrix 

Audit Finding Next Status Update Prior SSO Activity/ 

FTA Response 

Status SSO Agency Action/ 

Projected Completion Date 

Finding 6: As specified in 49 CFR § 659.31 – TOC must 

ensure that WMATA adheres to the hazard management 

process outlined in the WMATA System Safety Program Plan 

(SSPP). 

Finding 7: As specified in 49 CFR § 659.35 – TOC must 

ensure that WMATA provides the necessary information for 

accident notifications and reports, such that the need for 

follow-up submission is minimized. TOC must implement 

accident investigation checklists or procedures to ensure 

required elements are consistently submitted. 

Finding 8: As specified in the TOC/WMATA Memorandum of 

Understanding (MOU) Section 2.5 and PSP Section 9.2 - TOC 

must ensure that WMATA develops a recovery plan for all 

investigation reports that have not been completed within six 

(6) months. TOC must consistently require WMATA to 

submit an investigation status report for investigations that do 

not meet the 30 day reporting requirements. 

Finding 9: As specified in 49 CFR § 659.37 – As specified in 

49 CFR § 659.37 - TOC must ensure that WMATA develops 

and submits comprehensive CAPs for all necessary safety and 

security activities in a timely manner. 

Finding 10: As specified in 49 CFR § 659.27(b)(2) – TOC 

must ensure that the WMATA Department of Safety and 

Environmental Management (SAFE) and Metro Transit Police 

Department (MTPD) Internal Safety and Security Reviews 

and annual audit reports are submitted and approved within 

the timeframe required by the PSP. 

Federal Transit Administration June 17, 2015 Page | 37 
 

 

 

 

 

 

 

 

 

Federal Transit Administration SSO Audit Program 

State Safety Oversight Program Audit Findings Tracking Matrix 

Audit Finding Next Status Update Prior SSO Activity/ 

FTA Response 

Status SSO Agency Action/ 

Projected Completion Date 

Finding 11: As specified in the 49 CFR § 659.29 – TOC must 

conduct an assessment of its Three-Year Safety and Security 

Review process to ensure that all necessary WMATA 

elements are reviewed and the findings are released in a timely 

manner. 

Federal Transit Administration June 17, 2015 Page | 38 
 

 

 

	 	 	

	 	 	 	 	 	 	 	 	 	 	

	 	 	

	 	 	

	 	 	 	 	 	

	 	 	 	 	 	 	 	 	 	

	 	 	 	 	 	 	 	 	 	

	 	 	

	 	 	 	 	 	 	

	 	

	 	 	 	 	

	 	 	 	 	 	 	

	 	 	 	 	 	

	 	 	 	 	 	

	 	 	 	 	

	 	 	 	

	 	 	 	 	 	

	 	 	 	 	 	 	 		 	 	 	 	 	 	

	 	 	 	 	 	

	 	 	 	 	 	 	 	 	 	 	 	

	 	

	 	

	 	 	 	

	 	 	 	

	 	 	 	 	

	 	

	 	 	 	 	 	 	 	 	 	

	 	 	 	 	 	 	 	 	

	 	 	 	 	 	

	 	

	 	

	 	 	 	 	 	 	

	 	 	 	 	 	 	

	 	

	 	

	 	 	

	 	 	 	 	 	 	 	 	 	

	 	 	 	

Federal Transit Administration SSO Audit Program 

State Safety Oversight Program TOC-MSC Transition Action Item List 

Appendix C – TOC-MSC Transition Action Item List 

TOC	– MSC Transition Action Item List
 

Due Date Action Item Relation	to	

Deliverable

CWP

Section

SubSection Resp. Party Approval Status Comments/Notes

Annual Report to Executives

3/15/2015

Make contact with the office of each jurisdiction's Chief Executive to

inform	the	administration	of	a	new	annual	reporting	mechanism	and

determine the best format

Annual Report to

Executives 3 3 Executives NS 10/16/14: Due	date	adjusted

6/30/2015

Coordinate with	Metrorail staff regarding additional briefing elements

or information	to	be provided	to	the Governors and	Mayor In	advance

of the annual	report

Annual Report to

Executives 3 3

TOC	

Members,

WMATA

NS Held	meeting with	WMATA GM in	July

2014

6/30/2015 Beginning in	2015, for CY	2014, provide an	annual report to	each	Chief

Executive's Office

Annual Report to

Executives 3 3

TOC	

Members,

WMATA

NS 10/16/14: Due	date	adjusted

Conflict of Interest Policy

7/16/2014

TOC	policy staff will develop	a	procedure specifying prohibitions on	the

intermingling	of	funds	or	other	financial	conflicts	of	interest	between

TOC	and	the Metrorail system

Conflict of

Interest	Policy 1 3 Policy Complete

0/16/14: This	will now be	encompassed

within the existing COI policy, pending TOC

Executive review

10/31/2014 TOC	policy staff will Jointly develop	a	memorandum setting forth	a	

conflict	of	interest	policy compliant with	the FTA 's technical guidance

Conflict of

Interest	Policy 1 2 Policy, TRA Complete 2/11/15: Complete; policy awaiting	reviewand feedback by TOC Executives.

10/31/2014

TOC	policy staff will Jointly develop	a	memorandum setting forth a	

financial	conflict	of	interest	policy	compliant	with the FTA's technical	

guidance

Conflict of

Interest	Policy 1 3 Policy Complete

10/16/14: This	will now be	encompassed

within the existing COI policy, pending TOC

Executive review

11/30/2014

TOC	policy staff will develop a	conflict of interest procedure	specifying	

reorganization	of	Its	personnel	and	recusals	for	any	of	its	Executives

who may have a real or perceived conflict of interest with WMATA,

such as	the	Board of Directors.

Conflict of

Interest	Policy 1 2 Policy, TRA Complete

10/6/14: Due	date	changed to reflect an

11/30/14	submittal to FTA. The	draft

Conflict of Interest policy, pending TOC	

Executive review

7/30/2015 The financial independence policy will be revised	and	submitted	to	FTA	

for	review	and	approval.

Conflict of

Interest	Policy 1 3 FTA IP 2/11/15: Policy Is	pending	TOC Executive	review.

7/31/2015 TOC	Executives will review the draft COI policy and	provide feedback,

then review a final	version and approve It.

Conflict of

Interest Policy 1 2 Executives IP

2/11/15: TOC Executives	were	unable	to

review	the	policy in	November;	The	next	

meeting is planned for April 2015. The

draft policy is currently under review by

counsel.

Within 6

months after

Final Run

Ensure draft legislative provisions referenced	in	Section	1(1) submitted	

for	FTA review incorporates all	relevant	FTA guidance on financial	

independence,	Including	with	respect	to	distinct	funding	streams

between	the MSC	and	Metrorail

Conflict of

Interest	Policy 1 3 Policy NC 2/11/15: Due	date	changed based uponpromulgation	of the FTA Final rule.

Federal Transit Administration June 17, 2015 Page | 39 
 

 

 

	 	 	 	 	 	

	 	

	 	 	 	

	 	 	 	

	 	 	 	 	 	 	 	 	 	 	 	 	 	 		 	

	 	 	 	 	 	 	

	 	 	 	 	

	 	 	 	

	 	 	 	 	 	 	 	

	 	 	

	 	 	 	 	

	 	 	 	 	

	 	 	

	 	

	 	

	 	

	 	 	 	 	 	 	

	 	

	 	 	 	 	 	

	 	 	 	 	

	 	 	 	

	 	

	 	 	 	 	 	 	 	 	 	

	 	 	 	 	 	

	 	 	 	 	 	 	 	 	 	 	

	 	

	 	 	 	 	 	 	 	 	 	

	 	

	 	 	 	

	 	

	 	 	 	 	 	

	 	 	 	

	 	 	 	 	

	 	 	

	 	

	 	

	 	

	 	 	 	 	

	 	 	 	 	

	 	

	 	 	

	 	 	

	 	

	 	

	 	 	 	 	 	 	 	 	 	

	 	 	

Federal Transit Administration SSO Audit Program 

State Safety Oversight Program TOC-MSC Transition Action Item List 

Due Date Action Item Relation	to	

Deliverable

CWP

Section

SubSection Resp. Party Approval Status Comments/Notes

Enabling	Legislation

11/6/2014 TOC	Executives meet to	select from provided	alternatives for MSC	

structure

Enabling

legislation 1 1 Executives Complete

2/11/15: TOC Executives	elected to

Implement a	fully	Independent	MSC

pursuant to	the TOC	Executive Meeting 11-

6-14

11/6/2014

Also review SSO program responsibilities	and statutory	requirements	

within the existing 49 CFR Part 659 program	that will meet MAP-21	

requirements

Enabling

legislation;

Program

Standard	and	

Procedures

4 1 Policy, MSC

Staff IP

2/23/15: Analysis	of Interim

Enhancements complete and	approved	by

TOC.

7/31/2015

Submit legal independence provisions to	FTA	along with	formal request

to approve TOC's approach to managing	MAP-21	legal Independence	

provisions

Enabling

legislation 1 2 FTA IP

2/11/15: Legal Independence	for the	TOC

will be covered by a Conflicts of Interest

Policy, under TOC Executive	review.

On-Going

TOC	staff and	policy personnel meet to	define Initial	MSC	objectives

and considerations	of each jurisdiction, and develop alternatives	for

TOC	Executives

Enabling

legislation 1 1 Policy,Counsel IP

2/11/15: TOC Is	currently updating	the	

MSC/MAP- 21	White	Paper to outline	goals	

and objectives	for the	MSC.

Within 12

months after

Final Rule

Based	on	the objectives above, the three Jurisdictions will develop	

legislation	and	will	work	to	secure	state/District	legislative	and

congressional approval.	Ensure	draft	legislative	provisions	referenced in

Section 1(1) submitted for FTA	review incorporate	all relevant FTA	

guidance	on legal Independence, Including	with respect to reporting	

relationships,	shared	board	members,	etc.

Enabling

legislation 1 1 Policy,Executives NS Release of Final Rule +1	year

Within 12	

months after

Final Rule

When the Final Rule is promulgated, ensure provisions described above

become part of draft legislation	through	process specified	In	Section	

1(1) above

Enabling

legislation 2 1 Policy NS Final Rule +1	year

Within 12

months after

Final Rule

Provide	draft legislation to FTA	for review and approval as	described In

Section	1(1) above

Enabling

legislation 2 1 FTA NS Final Rule+	1	Year and	60	days

Within 3

months after

Final Rule

TOC	counsel and	policy staff work to	produce relevant provisions for

future enabling legislation

Enabling

legislation 1 1 Policy,Counsel NS

2/11/15: The	Final Rule	Is	expected to be	

released In	2016.	Work	on	enabling

legislation	will	commence	upon	release	of	

the Final	Rule

Within 6

months after

Final Rule

Provisions	for the	enabling	legislation are	vetted and approved by	FTA	

Office of Safety and Security

Enabling

legislation 1 1 FTA NS Work on enabling legislation willcommence	upon release	or the	Final Rule

Within 6

months after

Final Rule

Review sample legislation	Included In	the	Technical	Assistance	Tabs

developed	by FTA and	In	relevant FTA circulars and	guidance

documents and	ensure relevant material Is Included	In	Section	1(1)

draft legislative provisions

Enabling

legislation 2 1 Policy NS 10/16/14: Due date to	be adjusted	in	lightof FTA Final Rule.

Within 6

months after

Final Rule

New requirement for annual reporting to	be included	In	the draft

legislation	referenced In	Section	1(1)	above	as	well	as	the	new	Program

Standard

Enabling

legislation 3 3 TOC	Members NS 10/16/14: Due	date	to be	adjusted In lightof draft FTA rule.

Federal Transit Administration June 17, 2015 Page | 40 
 

 

 

	 	

	 	

	 	 	 	 	 	

	 	 	 	 	 	

	 	 	

	 	

	 	

	 	 	 	 	 	 	

	 	 	 	 	 	 	 	

	 	 	 	

	 	 	 	 	

	 	 	

	 	

	 	 	 	 	 	 	 	

	 	 	 	

	 	

	 	 	 	 	 	 	 	

	 	 	

	 	 	 	 	

	 	 	 	 	

	 	 	 	

	 	 	 	 	 	

	 	 	

	 	 	 	 	 	 	 	 	 	 	

	 	 	 	 	 	 	 	 	

	 	

	 	 	 	 	 	 	

	 	 	 	 	 	

	 	 	 	 	 	 	

	 	 	 	 	 	 	

	 	

	 	 	 	 	 	

	 	 	 	 	 	

	 	 	 	 	

	 	 	 	 	

	 	 	 	 	

	 	 	 	

	 	

	 	 	 	 	 	 	

	 	 	 	

	 	 	 	

	 	

	 	 	 	 	 	 	 	 	 	 	 	 	 	

	 	

	 	 	 	 	

	 	 	 	 	

	 	

	 	 	

	 	 	 	 	 	 	 	 	 	 	

	 	 	 	 	 	 	 	

	 	

Federal Transit Administration SSO Audit Program 

State Safety Oversight Program TOC-MSC Transition Action Item List 

Due Date Action Item Relation	to	

Deliverable

CWP

Section

SubSection Resp. Party Approval Status Comments/Notes

Within 6

months after

Final Rule

Continue meeting with	legal counsel and	other policy personnel to

determine logistics, specific enforcement tools desired, and	to	review

the provisions or	FTA's Final	Rule.

Enabling

legislation,

Program

Standard

2 1 Policy,

Counsel NS 10/16/14: Draft FTA	rule	still outstanding.Waiting on FTA.

Within 6

months after

Final Rule

Ensure draft provisions referenced	In	Section	1(1) above submitted	for

FTA	review clearly specifies that MSC	retains the authority to	oversee

all aspects	of RFGPTS	safety, including	engineering, construction and

revenue	operations

Enabling

legislation,

Program

Standard

2 1 Policy NS 10/16/14: Due	date	to be	adjusted in light

of FTA Final Rule.

Funding	for	TOC and	Future MSC

6/16/2014 Review Federal Register notice for final 550	grant program

apportionment amount for FY	13	and FY	14 Funding for	MSC 4 1 Policy, MSCStaff Complete 6/5/14: Process	Is	underway

6/16/2014 Determination	by FTA whether grant can	go	to	all three Jurisdictions Funding for MSC 5 1 FTA Complete

7	/15/14: Jurisdictions	to contact MWCOG

to confirm their	concurrence with FTA's

plan. 6/5/14: Klara to	contact Annabelle

Boyd	to	follow up	on	earlier letter

4/30/2015 Finalize MOU	and	subgrantee agreement with	MWCOG. Funding for MSC 5 1

Policy, TOC

Members,

TRA

IP 2/11/15: Under review by Jurisdictions	and

MWCOG. Due date revised

4/30/2015

Obtain letter from the three Chief Executives to the appropriate FTA

Regional Administrator that Identifies the designated	recipient for the

SSO Formula	Grant Program funds.

Funding for MSC 5 1 Executives IP

2/11/15: Due	date	revised due	to change	

in	jurisdiction	leadership.	VA	has

submitted letter to FTA; MD and DC letters	

pending.

4/30/2015

Three jurisdictions jointly prepare a	letter for FRA	Regional

Administrator and FTA Associate	Administrator of Office	of Safety	and

Security committing to	an	independent funding match	at a	specified	

amount

Funding for MSC 5 2 Policy,

Executives IP

2/11/15: MWCOG is	the	grantee.

Jurisdictions	have	committed to	providing

the matching funds and are preparing

designation	letters.

4/30/2015

Review FTA’s Technical Assistance Tabs and	State’s Pre-Certification	

Submittal Results, and	the State’s response to	Section	3	above, to	

establish list of activities	that will be	performed in	the	program	using

FTA	FY	13	and	FY	14	funding

Funding for MSC,

Staffed	MSC 4 1 Policy, MSCStaff NS

10/16/14: This	will be	addressed through

the resource/needs assessment	FTA is

requiring	each	SSO to	perform.	The	results

will be used as part of the grant

application process. A	staffing	plan will

also be	developed in light of the	results	to

ensure	all activities	can be	carried out.

9/30/2015 Establish	final budget for each	jurisdiction’s SSO grant program

(including	State	match for	MAP-21	funds) Funding	for	MSC 4 1 Policy, MSCStaff IP 2/11/15: TOC is	working	with MWCOG onan MOU. Due	date	revised.

9/30/2015 Coordinate with	MWCOG	to	complete the grant application	process. Funding for MSC 5 1

Policy, TOC

Members,

TRA

IP 2/11/15: Due	date	revised. Must be done

by September 2015.

9/30/2015 Establish	requirements for personal identification	numbers and	

authorization codes	for using	FTA’s	electronic grants	system Funding for MSC 5 1 FTA NS Work with MWCOG to manage grant inthe Interim

9/30/2015 Deadline for submitting grant application	to	FTA Funding for MSC 5 1 Policy NS 10/16/14: Due	date	adjusted to 9/30/2015	

per FTA guidance

Federal Transit Administration June 17, 2015 Page | 41 
 

 

 

	 	 	 	 	 	 	

	 	

	 	

	 	 	 	 	 	 	 	 	 	 	 	 	 	

	 	 	 	 	 	

	 	 	 	

	 	 	 	 	 	

	 	

	 	 	 	 	 	 	 	 	 	 	 	

	 	 	 	 	 	

	 	

	 	 	 	

	 	 	 	 	 	 	 	 	 	 	

	 	

	 	 	 	 	 	 	 	 	 	 	 	

	 	

	 	 	 	 	 	 	 	 	 	 	 	 	

	 	

	 	 	 	 	

	 	 	

	 	 	 	 	 	 	

	 	 	 	 	 	 	

	 	 	

	 	 	 	 	 	

	 	

	 	 	 	 	 	 	

	 	 	 	 	

	 	 	 	 	 	 	 	 	

	 	

	 	 	 	 	 	

	 	 	 	

	 	 	 	 	

	 	 	

Federal Transit Administration SSO Audit Program 

State Safety Oversight Program TOC-MSC Transition Action Item List 

Due Date Action Item Relation	to	

Deliverable

CWP

Section

SubSection Resp. Party Approval Status Comments/Notes

9/30/2015 State certifies independence of funding source Funding for MSC 5 2 Policy,

Executives NS 10/16/14: Due	date adjusted.

Within 6

months after

Final Rule

Work closely with FTA to ensure new MSC will be able to meet FTA

grantee	requirements, including	with respect to issues	such as	

contracting	and procurement	rules.

Funding for MSC 5 1

Policy,

Executives,

FTA

NS

10/16/14: Waiting	for promulgation of FTA	

Final Rule and	MSC	set-up. Due date will

be adjusted	based	on	these items.

Within 6

months after

incorporation	of	

MSC

Work with its FTA Regional Office to determine what additional

activities	or information are	required for MSC to become	established as	

an FTA	recipient for this	program.

Funding for MSC 5 1 Policy, FTA NS Pending	the	creation of the	MSC.

MAP-21	Transition	Completion	/ Verification	for	FTA

6/30/2015 Submit a	copy of the report along with	a	cover letter to the	FTA for

verification

MAP-21	

Transition	

Completion

3 3 FTA NS 10/16/14: Due	date	adjusted.

Within 8

months after

incorporation	of	

MSC

MSC submits final adopted HM	procedure and a sample report to FTA

MAP-21	

Transition	

Completion

3 1 FTA NS Inc.	of	MSC + 8	months

Within 8

months after

incorporation	of	

MSC

MSC submits the final adopted HM	procedure and a sample report to

FTA

MAP-21	

Transition	

Completion

3 2 MSC Staff NS Inc.	of	MSC + 8	months

Within 18

months after

incorporation	of	

MSC

Submit letter requesting close-out to	FTA

MAP-21	

Transition	

Completion

2 1 MSC Staff NS Inc.	of	MSC +	18	months

Program Standard and Procedures

11/6/2014

Analyze existing TOC	SSO program – specifically	with regard to

corrective	action plans, hazard management oversight, and audit

procedures – to identify	areas of	current	or	achievable compliance with

MAP-21	standards	and provide	results	to policy staff and Executives	for

review	and	approval.	Implementation	will	await	the	receipt	of	FTA

grant funds.

Program

Standard	and	

Procedures

3 1, 2

TOC	

Members,

TRA, Policy,

Executives

IP 2/23/15: Analysis	complete	and accepted

by TOC

4/30/2015 TOC	staff will develop	the Interim enhanced	A/I procedure, and	submit

to Policy	and Executive personnel	for	review and approval

Program

Standard 3 1 Policy,Executives NS

10/16/14: Due	date	adjusted.

Implementation	will	await	the	receipt	of

FTA	grant funds.

4/30/2015

TOC	will take Interim steps to	enhance its existing SSO program

activities	to ensure	compliance	with MAP-21: These	will include	

reviewing	current	TOC	CAP	tracking	and	verification	practices to

determine areas of possible improvement or expanded	effort and	

reviewing	Technical	Assistance	Tabs	5-7	and coordinating	with

Metrorail to enhance CAP management processes

Program

Standard	and	

Procedures

3 1

TOC	

Members,

TRA

IP

2/11/15: TOC created an analysis	of

interim	enhancements to	TOC	procedures.	

TOC	is currently in	progress with	updating

its	Program	Standard	and	Procedures	and

Internal	TOC	Operations	Manual	to reflect	

the enhancements.

Federal Transit Administration June 17, 2015 Page | 42 
 

 

 

	 	 	 	 	 	 	

	 	 	 	 	 	 	 	

	 	

	 	

	 	 	 	 	

	 	 	

	 	 	 	

	 	 	 	 	 	 	

	 	 	 	 	 	 	

	 	 	 	 	 	 	 	

	 	 	 	 	

	 	 	

	 	 	 	 	 	 	

	 	 	 	 	

	 	 	 	 	

	 	 	

	 	

	 	 	

	 	 	 	 	 	 	 	 	 	 	 	

	 	 	 	 	 	 	

	 	 	

	 	 	 	 	 	

	 	 	 	 	 	 	 	 	

	 	 	 	 	 	

	 	 	 	 	 	 	

	 	 	 	 	

	 	 	 	 	 	 	

	 	

	 	 	

	 	 	 	

	 	 	 	 	 	 	 	 	 	 	

	 	 	 	 	 	 	 	

	 	 	 	 	 	 	

	 	 	 	 	 	

	 	 	 	 	 	 	 	 	 	

	 	 	 	 	 	 	 	 	 	

	 	 	 	 	

	 	 	

Federal Transit Administration SSO Audit Program 

State Safety Oversight Program TOC-MSC Transition Action Item List 

Due Date Action Item Relation	to	

Deliverable

CWP

Section

SubSection Resp. Party Approval Status Comments/Notes

4/30/2015

TOC	members review current practices with	respect to	oversight of

WMATA hazard management activities and establishes new policies

and procedures	for the	monitoring	of safety performance	and the	

identification,	reporting	and management of hazards

Program

Standard	and	

Procedures

3 1

TOC	

Members,

TRA

IP

2/11/15: TOC created an analysis	of

interim	enhancements to	TOC	procedures.	

TOC	is currently in	progress with	updating

its	Program	Standard	and	Procedures	and

Internal	TOC Operations Manual to reflect

the enhancements.

4/30/2015

TOC	staff will analyze current practices and	FTA	technical guidance to	

develop	new audit procedures encompassing both	the triennial audits

and other audits	of Metrorail safety and security plan, as circumstances	

may require.

Program

Standard	and	

Procedures

3 2 TOC	

Members IP

2/11/15: TOC created an analysis	of

interim	enhancements to	TOC	procedures.	

TOC	is currently in	progress with	updating

its	Program	Standard	and	Procedures	with

Internal	TOC	Operations	Manual	to	reflect	

the enhancements.

4/30/2015

TOC	will modify its Program Standards and	Procedures to	perform

additional enhanced activities	in compliance	with MAP-21: These	will

include	investigative	and	enforcement	authorities in a	revised,	standalone	TOC Accident/Incident Investigation procedure

Program

Standard	and	

Procedures

3 1 TOC	

Members IP

2/11/15: TOC completed an analysis	of

Interim	enhancements	and is	updating	its

Program Standard and Procedures	as	well

as	its	Internal TOC Operations	Manual

4/30/2015

Develop	an	interim enhanced	CAP reviewing, tracking, and	monitoring

procedure, and	submit to	Policy and	Executive personnel for review

and approval

Program

Standard	and	

Procedures

3 1

TOC	

Members,

TRA

NS

10/16/14: Due	date	adjusted.

Implementation will await the	receipt of

FTA	grant funds.

4/30/2015 TOC	members draft Interim enhanced	HM procedure and	submit it to	

Policy	Staff/Executives	for review and approval

Program

Standard	and	

Procedures

3 1

TOC	

Members,

TRA

NS

10/16/14: Due	date	adjusted.

Implementation	will	await	the	receipt	of

FTA	grant funds.

4/30/2015

New interim enhanced	audit procedures will be submitted	to	TOC	

policy staff for review and	approval. New TOC	audit procedures will

explicitly	include	the	ability	to conduct additional	audits in response to

accidents, etc., as	well as	to compel the	completion of corrective	

actions. The	procedures	will explicitly reference	TOC review and

approval of the	WMATA	Safety Plan and supporting	and referenced

procedures, and	include appropriate	checklists	and	sampling	plans	for	

the conduct	of	supporting tests and inspections.

Program

Standard	and	

Procedures

3 2 Policy NS

10/16/14: Due	date	adjusted.

Implementation	will	await	the	receipt	of

FTA	grant funds.

4/30/2015

TOC	will implement these	enhanced audit procedures	during	its	

ongoing triennial audit process, as well as other audits that the TOC	

may perform.

Program

Standard	and	

Procedures

3 2 TOC	

Members NS

10/16/14: Due	date	adjusted.

Implementation	will	await	the	receipt	of

FTA	grant funds.

4/30/2015

TOC	will update annual reporting procedure to	include the timeframes

and content of reports	to be	delivered to the	Chief Executives	of the	

three jurisdictions, FTA, and the WMATA Board of	Directors

Program

Standard	and	

Procedures	and

Internal	MSC

Operations

Manual

3 3

TOC	

Members,

Executives,

WMATA

NS 10/16/14: Due	date	adjusted.

4/30/2015

Based	upon	the results of the internal analysis of the current TOC	SSO

program, TOC	will adjust its Program Standard	and	Procedures, as well

as	other relevant	program	documents to	reflect	any	changes

Program

Standard	and	

Procedures,

Internal	MSC

Operations

Manual

3 1, 2

TOC	

Members,

TRA, Policy,

Executives

NS

10/16/14: New item added to the	

checklist.	TRA personnel have	begun the	

underlying analysis.

Federal Transit Administration June 17, 2015 Page | 43 
 

 

 

	 	 	 	 	

	 	 	 	 	 	 	 	 	

	 	 	 	 	 	 	 	 	

	 	

	 	 	 	

	 	

	 	 	 	 	

	 	 	 	 	

	 	 	 	 	 	 	 	 	

	 	

	 	

	 	

	 	

	 	 	 	 	 	 	 	

	 	

	 	 	 	 	 	

	 	 	 	 	 	 	 	

	 	

	 	 	 	 	 	 	 	 	 	 	 	

	 	

	 	 	 	

Federal Transit Administration SSO Audit Program 

State Safety Oversight Program TOC-MSC Transition Action Item List 

Due Date Action Item Relation	to	

Deliverable

CWP

Section

SubSection Resp. Party Approval Status Comments/Notes

5/31/2015 Interim	enhanced	A/I	procedure	will	be	submitted	to	FTA	for	review

and approval

Program

Standard	and	

Procedures	and

Internal	MSC

Operations

Manual

3 3 FTA NS 10/16/14: Due	date	adjusted.

5/31/2015 Interim	enhanced	A/I	procedure	will	be	submitted	to	FTA for review

and approval

Program

Standard	and	

Procedures	

3 1 FTA NS

10/16/14: Due	date	to be	adjusted.

Implementation	will	await	the	receipt	of

FTA	grant funds.

5/31/2015 Submit Interim enhanced	CAP tracking procedure to	FTA	for review and	

approval

Program

Standard	and	

Procedures	

3 1

TOC	

Members,

TRA

NS

10/16/14: Due	date	to be	adjusted.

Implementation	will	await	the	receipt	of

FTA	grant funds.

5/31/2015 Interim	enhanced	TOC	HM	procedure is	submitted	to	WMATA	for	

review	and	FTA	for	review and approval

Program

Standard	and	

Procedures	

3 1 WMATA, FTA NS 2/23/15: Due	date	adjusted

5/31/2015 Provide	approved, interim enhanced audit procedure	to FTA	for further

review	and	approval

Program

Standard	and	

Procedures	

3 2 FTA NS

10/16/14: Due	date adjusted.

Implementation	will	await	the	receipt	of

FTA	grant funds.

6/30/2015

TOC	conducts workshop	with	WMATA	safety, operations and	

maintenance leadership regarding hazard management program	and

proposed	new approach

Program

Standard	and	

Procedures	

3 1

TOC	

Members,

TRA

NS

10/16/14: Due	date	to be	adjusted.

Implementation	will	await	the	receipt	of

FTA	grant funds.

6/30/2015

TOC	works with	WMATA	to	implement the new HM procedure to	

enhance	the	collection and analysis	of safety, operations and	

maintenance data and information to identify hazards and monitor

safety	performance	in keeping	with new procedure

Program

Standard	and	

Procedures	

3 1

TOC	

Members,

WMATA

NS

Within 6

months after

incorporation	of	

MSC

MSC will develop	new Accident/Incident Investigation	procedures,

forms and processes to gradually	facilitate its independent	

investigation	of	accidents,	incidents	and	hazards	on	the	Metrorail	

system

Program

Standard	and	

Procedures	

3 1 MSC Staff NS Inc.	of	MSC +	6 months

Within 8

months after

incorporation	of	

MSC

The MSC	coordinates this new/revised	A/I process with	WMATA, and	

briefs the WMATA Board	of Directors and	GM on	the new process

Program

Standard	and	

Procedures	

3 1 MSC Staff NS Inc.	of	MSC + 8	months

Within 8

months after

incorporation	of	

MSC

MSC submits final adopted CAP procedure and sample close-out report

to FTA

Program

Standard	and	

Procedures	

3 1 MSC Staff NS Inc.	of	MSC + 8	months

Within 10

months after

incorporation	of	

MSC

The MSC	submits its new/revised	A/I procedures to	FTA

Program

Standard	and	

Procedures	

3 1 MSC Staff NS Inc.	of	MSC +	10	months

Federal Transit Administration June 17, 2015 Page | 44 
 

 

 

	 	

	 	

	 	 	 	 	 	 	 	 	 	

	 	

	 	 	

	 	

	 	 	 	 	 	 	

	 	 	 	

	 	

	 	 	 	 	 	 	

	 	

	 	

	 	

	 	 	 	 	

	 	

	 	 	 	 	

	 	 	

	 	

	 	 	 	 	

	 	

	 	 	 	 	 	

	 	

	 	 	 	 	 	 	 	 	 	 	

	 	 	 	

	 	 	 	 	 	 	

	 	

	 	 	 	 	

	 	 	 	 	 	 	

	 	

	 	 	 	 	 	 	 	 	 	

	 	 	 	 	 	

	 	

	 	

Federal Transit Administration SSO Audit Program 

State Safety Oversight Program TOC-MSC Transition Action Item List 

Due Date Action Item Relation	to	

Deliverable

CWP

Section

SubSection Resp. Party Approval Status Comments/Notes

Within 12

months after

incorporation	of	

MSC

MSC personnel will develop policies and procedures governing both its

pre-revenue	and	revenue	service activities, and specifying	notification

and documentation requirements	for Metrorail system extensions	or

improvements

Program

Standard	and	

Procedures	

2 1 MSC Staff NS Inc.	of	MSC + 1	year

Within 12

months after

incorporation	of	

MSC

Establish	State requirements for overseeing and	enforcing WMATA

safety	through a	new MSC Program Standard

Program

Standard	and	

Procedures

2 1 MSC Staff NS Inc.	of	MSC + 1	Year

Within 12

months after

incorporation	of	

MSC

Develop	new	MSC procedures, policies, organization	charts, proposed

recusal	forms	or	annual	affidavits	for	legal	independence	and	submit	

FTA	for review and	approval

Program

Standard	and	

Internal	MSC

Operations

Manual

1 2 MSC Staff,

FTA NS Inc.	MSC + 1	Year

Within 14

months after

incorporation	of	

MSC

Establish	State requirements for safety certification	for RFGPTS	in	

engineering	and construction: See	FTA’s	Guidance	Circular 5800.1,

Safety and	Security Management Guidance for Major Capital Projects

Program

Standard	and	

Procedures

2 1 MSC Staff NS Inc.	of MSC + 14 months

Within 16

months after

incorporation	of	

MSC

Submit to	FTA	for review and	approval

Program

Standard	and	

Procedures

2 1 FTA NS Inc.	of	MSC + 1	Year	and	120	days

Within 22

months after

incorporation	of	

MSC

Conduct a workshop	with	WMATA	to	outline proposed	approach

Program

Standard	and	

Procedures

2 1 MSC Staff,

WMATA NS Inc.	of	MSC + 1	Year	and	300	days

Within 24

months after

incorporation	of	

MSC

Modify proposals as warranted based on feedback from WMATA;

resubmit	the	package	of	policies and procedures	to FTA

Program

Standard	and	

Procedures

2 1 MSC Staff NS Inc.	of	MSC + 2	Years

Staffing	and	Training

5/30/2015

Establish	a	work breakdown	structure (a	detailed	task-by-task	

evaluation and analysis)	of actual full-time equivalent	(FTE)	position	

requirements	for	the	MSC to	operate	the	SSO	program,	and	for	the	TOC

to continue to operate in the interim period.

Staffed	MSC 4 1 Policy, MSC

Staff NS 2/11/15: Due	date	updated.

5/30/2015 Complete the work breakdown	structure and	recommend	appropriate	

staffing	levels Staffed	MSC 4 1 Policy, MSCStaff NS 2/11/15: Due	date	updated.

6/30/2015 Submit work breakdown	structure to	FTA	for review and	approval Staffed	MSC 4 1 Policy, MSC

Staff NS 2/11/15: Due	date	updated.

Within 6

months after

incorporation	of	

MSC

Processes	required to stand up MSC are	implemented and personnel

are	hired and/or retained in accordance	with statutory provisions	and

the Staffing Plan

Staffed	MSC 1 1

Policy,

Counsel,

Executives

NS Passage	of Legislation +180	days

Federal Transit Administration June 17, 2015 Page | 45 
 

 

 

	 	

	 	 	 	 	 	 	 	 	 	

	 	 	 	 	 	

	 	

	 	

	 	 	 	 	 	 	

	 	 	 	

	 	

	 	 	 	 	 	

	 	 	 	 	 	 	

	 	 	 	

	 	

	 	 	 	 	 	

	 	

	 	 	 	 	 	 	

	 	 	 	

	 	

	 	

	 	

	 	

	 	 	 	 	 	 	

	 	 	 	

	 	

	 	

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	

	 	

	 	 	 	 	 	 	

	 	 	 	 	

	 	

	 	 	 	 	 	 	 	 	

	 	

	 	

	 	

	 	 	 	 	

	 	 	 	 	 	 	

	 	 	 	 	 	 	 	 	

	 	

	 	 	 	 	 	 	

	 	 	 	 	 	 	 	 	

	 	 	 	

	 	

	 	 	 	 	

	 	 	 	

	 	

	 	 	 	 	

	 	 	 	 	 	 	

Federal Transit Administration SSO Audit Program 

State Safety Oversight Program TOC-MSC Transition Action Item List 

Due Date Action Item Relation	to	

Deliverable

CWP

Section

SubSection Resp. Party Approval Status Comments/Notes

Within 6

months after

incorporation	of	

MSC

Using results of the work breakdown	structure, develop	a staffing plan	

for	the MSC to document	identified positions, required qualifications,

and roles	and responsibilities	of State	employees	and contractors

Staffed MSC 4 1 Policy, MSC

Staff NS

Assumes availability of grant funds to use

toward staffing levels established by	

recommended	FTEs	from	work	breakdown

structure/resource	needs	assessment

Within 6

months after

incorporation	of	

MSC

Develop	formal job	descriptions for MSC	staff Staffed	MSC 4 1 Policy, MSC

Staff NS

Assumes availability of grant funds to use

toward staffing levels established by	

recommended	FTEs	from	work	breakdown

structure/resource	needs	assessment

Within 6

months after

incorporation of

MSC

Develop	MSC staffing budget Staffed	MSC;

Funding for MSC 4 1 Policy, MSCStaff NS

Assumes availability of grant funds to use

toward staffing levels established by	

recommended	FTEs	from	work	breakdown

structure/resource	needs	assessment

Within 6

months after

incorporation	of	

MSC

Submit MSC	staffing plan	and	budget to	FTA Staffed	MSC;

Funding for MSC 4 1 Policy, MSCStaff NS

Assumes availability of grant funds to use

toward staffing levels established by	

recommended	FTEs	from	work	breakdown

structure/resource needs assessment

Within 9

months after

incorporation	of	

MSC

Start process of acquiring personnel resources, either in-house or

contract	support, commensurate	with newly	established staffing	levels Staffed	MSC 4 1 Policy, MSCStaff NS Passage of enabling legislation	+ 9 months

Within 9

months after

incorporation	of	

MSC

Establish	technical qualifications as part of future advertised	MSC	job	

positions (see item 1 in	Section	4 above) Staffed	MSC 4 2 MSC Staff NS Passage	of enabling	legislation +	9	months

Within 9

months after

incorporation	of	

MSC

Established	technical qualifications for contractors as part of future

solicitations	for service Staffed	MSC 4 2 MSC Staff NS Passage	of enabling	legislation +	9	months

Within 9

months after

incorporation of

MSC

Establish	technical training and/or certification	or mentoring

opportunities for MSC	operations personnel in	specific rail transit

disciplines with	the RFGPTS, another SSO agency, or through	the State’s

FTA	Participation	Program

Staffed	MSC;

Internal MSC	

Operations

Manual

4 2 MSC Staff NS Passage	of enabling	legislation +	9	months

Within 9

months after

incorporation	of	

MSC

Identify	long-term strategy	for	ensuring access to technical	expertise in

areas	of rail transit vehicles, track, signals	and train control, traction

power, rail grade crossings, and	operations/maintenance practices

Staffed	MSC;

Internal	MSC

Operations

Manual

4 2 MSC Staff NS Passage	of enabling	legislation +	9	months

Within 9

months after

incorporation	of	

MSC

Specify participation	in	and	successful completion	of FTA’s training

program as a term and	condition	of employment

Staffed	MSC;

Internal	MSC

Operations

Manual

4 3 MSC Staff NS Passage	of enabling	legislation +	9	months

Within 9

months after

incorporation	of	

Specify participation	in	and	successful completion	of FTA’s training

program as a requirement in	any solicitation	for contract services

Staffed	MSC;

Internal	MSC

Operations

4 3 MSC Staff NS Passage	of enabling	legislation +	9	months

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Federal Transit Administration SSO Audit Program 

State Safety Oversight Program TOC-MSC Transition Action Item List 

Due Date Action Item Relation	to	

Deliverable

CWP

Section

SubSection Resp. Party Approval Status Comments/Notes

MSC Manual

Within 9

months after

incorporation	of	

MSC

Establish	individual training plans for each	SSO program employee

Staffed	MSC;

Internal	MSC

Operations

Manual

4 3 MSC Staff NS Passage	of enabling	legislation +	9	months

Within 9

months after

incorporation	of	

MSC

Submit sample	employee	training	plans	to FTA

Staffed	MSC;

Internal	MSC

Operations

Manual

4 3 FTA NS Passage	of enabling	legislation +	9	months

Within 12

months after

incorporation	of	

MSC

Train	up	existing TOC	staff to	meet these qualifications Staffed	MSC 4 2 MSC	Staff NS Passage	of enabling	legislation +	12	

months

Miscellaneous Tasks

6/30/2014 Meeting with WMATA GM	to discuss actions required by FTA to

transition to the MSC and the new SSO program

N/A N/A

Policy,

Executives,

FTA, WMATA

Complete 6/5/14: Meeting scheduled for June 20 @	

2:30p.m.

On-Going TOC	to	continue Quarterly Briefings with	the WMATA	Board	of

Directors during Board	Meetings

Quarterly Report

to WMATA Board 3 3

TOC	

Members,

WMATA

Board

IP Ongoing

Federal Transit Administration June 17, 2015 Page | 47