Federal Register / Vol. 88, No. 219 / Wednesday, November 15, 2023 / Proposed Rules 78269 

Authority: 49 U.S.C. 106(f), 106(g); 40103, 

40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 

1959–1963 Comp., p. 389. 

§ 71.1 [Amended] 

■ 2. The incorporation by reference in 

14 CFR 71.1 of FAA Order JO 7400.11H, 

Airspace Designations and Reporting 

Points, dated August 11, 2023, and 

effective September 15, 2023, is 

amended as follows: 

Paragraph 6009 Colored Federal Airways 

* * * * * 

B–9 [Removed] 

* * * * * 

Issued in Washington, DC, on November 9, 

2023. 

Karen L. Chiodini, 

Acting Manager, Rules and Regulations 

Group. 

[FR Doc. 2023–25166 Filed 11–14–23; 8:45 am] 

BILLING CODE 4910–13–P 

DEPARTMENT OF TRANSPORTATION 

Federal Transit Administration 

49 CFR Part 674 

[Docket No. FTA–2023–0008] 

RIN 2132–AB42 

State Safety Oversight 

AGENCY: Federal Transit Administration 

(FTA), Department of Transportation 

(DOT). 

ACTION: Notice of proposed rulemaking 

(NPRM). 

SUMMARY: The Federal Transit 

Administration (FTA) is proposing 

revisions to the State Safety Oversight 

(SSO) regulation to implement new 

requirements of the Bipartisan 

Infrastructure Law (enacted as the 

Infrastructure Investment and Jobs Act 

(IIJA)), remove outdated references, and 

simplify notification requirements. 

DATES: Comments should be filed by 

January 16, 2024. FTA will consider 

comments received after that date to the 

extent practicable. 

ADDRESSES: You may send comments, 

identified by docket number FTA– 

2023–0008, by any of the following 

methods: 

• Federal eRulemaking Portal: 

https://www.regulations.gov. Follow the 

instructions for sending comments. 

• Fax: (202) 493–2251. 

• Mail: Docket Management Facility, 

U.S. Department of Transportation, 1200 

New Jersey Avenue SE, West Building 

Ground Floor, Room W12–140, 

Washington, DC 20590–0001. 

• Hand Delivery/Courier: West 

Building Ground Floor, Room W12–140, 

1200 New Jersey Avenue SE, 

Washington, DC, between 9 a.m. and 5 

p.m. ET, Monday through Friday, except 

Federal holidays. 

Instructions: All submissions received 

must include the agency name and 

docket number or Regulatory 

Information Number (RIN) for this 

rulemaking. All comments received will 

be posted without change to https://

www.regulations.gov, including any 

personal information provided. For 

detailed instructions on sending 

comments and additional information 

on the rulemaking process, see the 

‘‘Public Participation’’ heading of the 

SUPPLEMENTARY INFORMATION section of 

this document. 

Docket: To access the docket and read 

background documents or comments 

received, go to: https://

www.regulations.gov. Background 

documents and comments received may 

also be viewed at the U.S. Department 

of Transportation, 1200 New Jersey Ave. 

SE, Docket Operations, M–30, West 

Building Ground Floor, Room W12–140, 

Washington, DC 20590–0001, between 9 

a.m. and 5 p.m. EST, Monday through 

Friday, except Federal holidays. 

FOR FURTHER INFORMATION CONTACT: For 

program matters, contact Loretta 

Bomgardner, Office of Transit Safety 

and Oversight, FTA, telephone (202) 

577–5896 or loretta.bomgardner@

dot.gov. For legal matters, contact 

Richard Wong, Office of the Chief 

Counsel, telephone (202) 366–4011 or 

richard.wong@dot.gov. Office hours are 

from 8:30 a.m. to 5 p.m., Monday 

through Friday, except Federal holidays. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Executive Summary 

A. Purpose of Regulatory Action 

B. Statutory Authority 

C. Summary of Major Provisions 

D. Benefits and Costs 

II. Section-by-Section Analysis 

III. Regulatory Analyses and Notices 

1. Executive Summary 

A. Purpose of Regulatory Action 

This proposed rulemaking will update 

the existing regulations for state safety 

oversight of rail fixed guideway public 

transportation systems. In the Moving 

Ahead for Progress in the 21st Century 

Act (MAP–21) (Pub. L. 112–141, July 6, 

2012), Congress directed FTA to 

establish a comprehensive public 

transportation safety program, one 

element of which is the State Safety 

Oversight (SSO) Program. (See 49 U.S.C. 

5329). Section 30012 of the Bipartisan 

Infrastructure Law (BIL), enacted as the 

Infrastructure Investment and Jobs Act 

(IIJA), established new requirements for 

FTA’s Public Transportation Safety 

Program. FTA is proposing revisions to 

49 CFR part 674 to address requirements 

related to the BIL, remove requirements 

related to the initial establishment of 

this part, and clarify requirements of the 

existing part. 

B. Statutory Authority 

Section 5329 of Title 49, United States 

Code, includes several provisions that 

require FTA to establish a 

comprehensive public transportation 

safety program, the elements of which 

include a National Public 

Transportation Safety Plan; a training 

and certification program for Federal, 

state, and local transportation agency 

employees with safety responsibilities; 

Public Transportation Agency Safety 

Plans; and a strengthened State Safety 

Oversight Program. 

C. Summary of Major Provisions 

This NPRM proposes to make the 

following changes to strengthen the 

existing SSO program: 

• Updating terminology to reflect 

current use across programs. 

• Clarifying existing requirements 

consistent with FTA expectations. 

• Removing language relating to the 

period of transition from 49 CFR part 

659, FTA’s previous SSO regulation, to 

49 CFR part 674, the current SSO 

regulation. 

• Addressing BIL requirements. 

D. Benefits and Costs 

The proposed rule would result in 

additional oversight of safety-related 

activities of rail transit agencies (RTAs) 

by state safety oversight agencies 

(SSOAs). The effects of the increased 

oversight are unknown and 

unquantified. The proposed rule also 

would result in additional costs for 

SSOAs and RTAs to comply with the 

requirements. The requirements of the 

proposed rule have estimated costs of 

$12.6 million (in 2022 dollars) for the 

first year and annual costs of $10.7 

million for later years. The largest 

annual costs are for SSOA oversight 

($7.9 million), which includes new riskbased inspection activities, and RTA 

activities ($2.0 million), which include 

investigations and reporting for a larger 

number of safety events. 

Table 1 summarizes the economic 

effects of the proposed rule over the first 

ten years of the proposed rule from 

2023—the assumed effective date of the 

rule—to 2033 in 2022 dollars. On an 

annualized basis, the proposed rule 

would have costs of $11.7 million at a 

7 percent discount rate (discounted to 

2023) and $11.3 million at 3 percent. 


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78270 Federal Register / Vol. 88, No. 219 / Wednesday, November 15, 2023 / Proposed Rules 

TABLE 1—SUMMARY OF ECONOMIC EFFECTS, 2023–2033 

[$2022, discounted to 2023] 

Item Total, 

2023–2033 

Annualized 

(7%) 

Annualized 

(3%) 

Benefits ........................................................................................................................................ Unquantified ........................ ........................

Costs: 

SSOA documentation of enforcement authority ................................................................... $118,140 $16,820 $13,850 

SSOA oversight .................................................................................................................... 80,338,058 8,659,910 8,300,458 

SSOA safety event tracking ................................................................................................. 183,879 19,675 18,940 

SSOA investigations ............................................................................................................. 7,355,168 787,003 757,582 

SSOA annual reporting to FTA ............................................................................................ 609,755 65,244 62,805 

RTA investigations and reporting ......................................................................................... 20,456,560 2,188,852 2,107,026 

Total costs ..................................................................................................................... 109,061,560 11,737,504 11,260,660 

Net benefits .................................................................................................................................. Unquantified ........................ ........................

Totals may not sum due to rounding. 

II. Section-by-Section Analysis 

Subpart A—General Provisions 

Section 674.1 Purpose 

This section explains that the purpose 

of these regulations is to carry out the 

mandate of 49 U.S.C. 5329 for States to 

perform oversight of rail fixed guideway 

public transportation systems within 

their jurisdictions. This represents an 

expansion from the purpose stated in 

the existing § 674.1, ‘‘this part carries 

out the mandate of 49 U.S.C. 5329(e).’’ 

The removal of ‘‘(e)’’ acknowledges the 

additional obligations for inspections 

and data collection required by SSO 

Agencies in section 5329(k), as amended 

by the BIL, and better reflects the 

connection among all elements of the 

FTA’s public transportation safety 

program. 

Section 674.3 Applicability 

FTA is not proposing changes to this 

section. 

Section 674.5 Policy 

This section proposes removing the 

term ‘‘sufficient’’ in paragraph (a) to 

eliminate subjectivity regarding the 

requirements for SSOA authorities. FTA 

is also proposing to remove the first 

sentence in paragraph (b), as the 

availability of funding is addressed in 

the existing language in § 674.17(a). 

Section 674.7 Definitions 

This section proposes replacing the 

terms ‘‘accident,’’ ‘‘incident,’’ 

‘‘occurrence,’’ and ‘‘event’’ with the 

inclusive term ‘‘safety event,’’ which 

includes events such as collisions, 

derailments, fires, and unintended train 

movements for purposes of meeting the 

two-hour notification requirement in 

§ 674.33. The definition of ‘‘safety 

event’’ excludes general criminal 

actions but includes intentional events 

that result in a collision with a transit 

vehicle, such as an assault, homicide, or 

suicide. 

FTA also proposes removing the 

definition of ‘‘serious injury.’’ These 

revisions are consistent with changes 

that FTA proposed in the PTASP NPRM 

(88 FR 25336) and are intended to 

simplify requirements related to safety 

event notifications and investigations. 

This section proposes new terms and 

definitions for ‘‘collision,’’ 

‘‘derailment,’’ ‘‘evacuation for life safety 

reasons,’’ ‘‘fatality,’’ ‘‘injury,’’ ‘‘public 

transportation,’’ ‘‘rail transit vehicle,’’ 

‘‘revenue vehicle,’’ and ‘‘unintended 

train movement,’’ and the removal of 

the general term ‘‘vehicle’’ in 

recognition of these new definitions, 

which will be consistent with FTA’s 

NTD reporting manuals and support the 

notification and investigation thresholds 

FTA is proposing in sections 674.33 and 

674.35. FTA’s proposed definition of 

‘‘injury’’ restores the threshold under 

FTA’s previous part 659 regulation and 

is consistent with the aforementioned 

NTD reporting manuals. The definition 

of ‘‘injury’’ includes damage or harm to 

persons that requires immediate 

medical attention away from the scene. 

An individual who declines 

transportation away from the scene for 

medical attention should not be counted 

as an ‘‘injury’’ for two-hour notification 

purposes. This proposed definition 

allows for an immediate, on scene 

determination of injuries by the RTA 

without the need to await a formal 

diagnosis or determination from an offsite medical professional. 

FTA also proposes a new definition 

for ‘‘disabling damage’’ to support the 

proposed notification and investigation 

thresholds. ‘‘Disabling damage’’ is 

limited to damage resulting from a 

collision that physically prevents a 

vehicle or train from operating under its 

own power. Disabling damage does not 

include mechanical failures or other 

malfunctions that may impact 

operations. 

FTA proposes new terms and 

definitions for ‘‘potential consequence,’’ 

‘‘safety committee,’’ ‘‘safety risk,’’ and 

‘‘safety risk mitigation’’ as well as 

revised definitions of ‘‘Accountable 

Executive’’ and ‘‘safety risk 

management’’ for consistency with 

definitions proposed in the PTASP 

NPRM. 

This section proposes revising the 

definition of ‘‘investigation’’ to reflect 

the replacement of the terms ‘‘accident’’ 

and ‘‘incident’’ with ‘‘safety event’’ as 

described above. 

This section proposes new terms and 

definitions for ‘‘inspection’’ and ‘‘riskbased inspection program’’ to support 

new SSOA requirements mandated by 

the BIL. 

This section proposes revising the 

definition of ‘‘Public Transportation 

Agency Safety Plan’’ to remove 

reference to the transition from the 

requirements under 49 CFR part 659, 

the previous State Safety Oversight 

regulation, to the present requirements 

under 49 CFR part 674. This revision is 

consistent with the end of the transition 

period, which occurred in early 2019, 

and FTA’s subsequent rescission of part 

659 (87 FR 6783). 

This section proposes revising the 

definition of ‘‘Public Transportation 

Safety Certification Training Program’’ 

to remove reference to the interim 

provisions for this program. This section 

also proposes adding a new term and 

definition for ‘‘designated personnel’’ to 

recognize individuals subject to the 

Public Transportation Safety 

Certification Training Program 

regulation (49 CFR 672). 

This section proposes reordering the 

clauses in the definition of ‘‘rail fixed 

guideway public transportation system’’ 

for clarity. This change aligns with the 

definition that FTA proposed in the 

PTASP NPRM and does not reflect a 


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change in FTA’s implementation or 

interpretation. 

FTA proposes a minor revision to the 

definition of ‘‘State Safety Oversight 

Agency’’ to add a citation referencing 

the SSOA inspection requirement in 49 

U.S.C. 5329(k), which was added by the 

BIL. 

Section 674.9 Reserved 

FTA proposes removing and reserving 

this section. Previously, this section 

provided requirements for the transition 

from 49 CFR part 659, the previous State 

Safety Oversight regulation, to part 674. 

This removal acknowledges the end of 

the transition period, which occurred in 

early 2019, and FTA’s subsequent 

rescission of part 659. 

Subpart B—Role of the State 

Section 674.11 State Safety Oversight 

Program 

FTA proposes eliminating the 

deadlines established for States’ initial 

compliance with the requirement, as all 

States must have an FTA-approved SSO 

program for rail transit agencies in their 

State to be eligible for FTA financial 

assistance. This initial compliance date, 

which was three years of April 15, 

2016,’’ has already passed. FTA is also 

making a minor technical correction to 

the statutory citation regarding FTA 

triennial audits of SSO programs. 

Section 674.13 Designation of 

Oversight Agency 

FTA proposes revising the statutory 

citation in § 674.13(a) to reflect new 

statutory requirements. In § 674.13(a)(5), 

FTA proposes including inspection 

authorities to the list of authorities an 

SSOA must have, reflecting the new 

requirements in 49 U.S.C. 5329(k) that 

SSOAs must conduct risk-based 

inspections of the rail fixed guideway 

public transportation systems that the 

SSOA oversees. 

In §§ 674.13(a)(4) and (a)(6), FTA 

proposes a new reference to 49 CFR part 

673, Public Transportation Agency 

Safety Plans, which did not exist when 

FTA published the current part 674 in 

2016. 

Section 674.15 Designation of 

Oversight Agency for Multi-State System 

FTA is not proposing changes to this 

section. 

Section 674.17 Use of Federal 

Financial Assistance 

FTA is proposing to delete the term 

‘‘parts’’ as superfluous. 

Section 674.19 Certification of a State 

Safety Oversight Program 

FTA proposes removing ‘‘(e)’’ from 

‘‘5329(e)’’ in this section for the reasons 

mentioned above and adding language 

in § 674.19(d) to clarify the 

Administrator’s determination to issue a 

certification or a denial of certification 

for an SSO program. This does not 

reflect a change in FTA’s application of 

the statutory and regulatory criteria. 

Section 674.21 Withholding of Federal 

Financial Assistance for 

Noncompliance 

When FTA published its final rule in 

2016, States with existing rail fixed 

guideway public transportation systems 

were provided a three-year transition 

period. Now that the transition period 

has expired, FTA proposes updating 

§ 674.21(b) to adopt FTA current 

practice, which is to require a State to 

establish an SSO program and have that 

program approved by the FTA 

Administrator prior to a new rail fixed 

guideway public transportation system 

entering the engineering or construction 

phase of development. FTA also 

proposes replacing the word 

‘‘apportioned’’ with ‘‘authorized’’ for 

accuracy. 

Section 674.23 Confidentiality of 

Information 

FTA is not proposing changes to this 

section. 

Subpart C—State Safety Oversight 

Agencies 

Section 674.25 Role of the State Safety 

Oversight Agency 

In § 674.25, FTA proposes to add a 

new paragraph (c) to explicitly 

acknowledge an SSOA’s authority to 

provide safety oversight of projects in 

the engineering or construction phase of 

development. This parallels the 

statutory language in 49 U.S.C. 

5329(e)(2)(B) and clarifies FTA’s intent 

that SSOAs take an active oversight role 

during a project’s pre-revenue phases. 

FTA also proposes to move from the 

current paragraph (b) into a new 

paragraph (d) the requirement that 

SSOAs ensure that a PTASP meets the 

requirements of 49 U.S.C. 5329(d) and 

part 673, a non-substantive change that 

will provide clarity and improve 

readability. Consequently, FTA 

proposes to redesignate existing 

paragraphs 674.24(c) through (f) as 

paragraphs (e) through (h). 

In addition, FTA is proposing minor 

conforming edits in these paragraphs to 

reflect the proposed definitions in 

§ 674.7 as discussed above and to 

remove references to 49 U.S.C. 5330, 

which has been repealed. 

Section 674.27 State Safety Oversight 

Program Standards 

In § 674.27, FTA proposes a new 

paragraph (a)(3) to require an SSOA to 

develop a process to address comments 

from an RTA regarding an SSO program 

standard. This reflects industry 

concerns that some SSOAs do not 

formally respond to RTA comments. 

This addition requires SSOs to establish 

a process by which SSOAs will address 

RTA comments regarding the program 

standard. Because of the proposed 

addition of paragraph (a)(3), the 

remaining paragraphs are being 

renumbered. 

FTA proposes expanding the 

renumbered § 674.27(a)(5) to include 

specific requirements for SSOA 

oversight of RTA internal safety 

reviews. Internal safety reviews are 

distinct from the existing annual review 

and update requirement in 49 CFR 

673.11(a)(5). Internal safety reviews 

monitor the actual implementation of 

the PTASP. However, the results of the 

internal safety reviews may inform the 

RTA’s annual PTASP document review 

and update process. The previous 49 

CFR 659.19 included explicit 

requirements for these internal safety 

reviews; however, Part 674 removed the 

prescriptive requirements in § 659.19 

with the expectation that they would be 

addressed in the PTASP final rule. The 

PTASP final rule did not address 

internal safety reviews, prompting some 

RTAs to ask whether they were no 

longer required by FTA, even though 

SSOAs continued to require them under 

their State program standards. To 

provide clarity, the proposed language 

confirms the requirement that the 

State’s program standard must define 

internal safety review requirements, 

which are addressed in § 673.27(d)(iii) 

of the PTASP NPRM (88 FR 25336, at 

25351). The proposed language 

establishes minimum requirements for 

internal safety reviews, including the 

requirement that RTAs must verify the 

implementation of all elements of the 

PTASP over a three-year period, with 

the expectation that RTAs will be 

conducting internal safety reviews on an 

ongoing basis. Further, the RTA must 

notify the SSOA thirty days before it 

conducts an internal safety review of 

any aspect of the rail fixed guideway 

public transportation system and 

provide any checklists or procedures it 

will use during the review. Finally, the 

RTA must submit a report to the SSOA 

annually documenting the internal 

safety review activities and the status of 


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78272 Federal Register / Vol. 88, No. 219 / Wednesday, November 15, 2023 / Proposed Rules 

subsequent findings and corrective 

actions. 

A new § 674.27(a)(6) relating to the 

oversight of safety risk mitigations 

proposes requirements for the SSOA to 

define the process it will use to oversee 

an RTA’s development, implementation, 

and monitoring of safety risk 

mitigations. The program standard must 

specify the frequency and format for 

how the SSOA will receive and review 

information about an RTA’s safety risk 

mitigation status and effectiveness. 

Although 49 CFR part 673 established 

specific requirements for safety 

management, including the 

development, implementation and 

monitoring of safety risk mitigations, 

part 674 was published prior to part 673 

and did not include specific oversight 

requirements related to safety risk 

mitigation. Therefore, FTA is proposing 

these requirements to ensure that 

SSOAs have a documented process to 

oversee the safety risk mitigation 

processes required of RTAs. 

A new § 674.27(a)(7) regarding 

oversight of the safety certification 

training program proposes that the 

SSOA will review and approve RTA 

designations of individuals directly 

responsible for safety oversight and the 

RTA’s identification of refresher 

training as required under the Public 

Safety Certification Training Program 

regulation (49 CFR 672). This role was 

not made explicit in the current part 674 

and this new language clarifies FTA’s 

expectation that SSOAs oversee RTA 

compliance with 49 CFR 672 

requirements. 

The renumbered § 674.27(a)(9) is also 

renamed from ‘‘Accident notification’’ 

to ‘‘Safety event notification,’’ 

consistent with the discussion above in 

§ 674.7, where FTA proposes replacing 

the term ‘‘accident’’ with the term 

‘‘safety event’’ and proposes conforming 

edits in the renumbered § 674.27(a)(10). 

FTA also proposes requiring the SSO 

program standard to establish 

requirements for RTAs to notify the 

SSOA and FTA of safety events to 

ensure that the notification requirement 

in § 674.33 is addressed in an RTA’s 

PTASP, as the current paragraph 

omitted any reference to FTA. 

In the renumbered § 674.27(a)(11), 

FTA is inserting the term ‘‘SSO’’ before 

‘‘program standard’’ for consistency 

with the rest of this section. 

FTA proposes adding a new 

§ 674.27(a)(12), ‘‘Inspections,’’ to 

incorporate the requirement that SSOAs 

conduct risk-based inspections of the 

RTAs they oversee. On October 21, 

2022, FTA issued Special Directives to 

each SSOA directing them to develop 

and implement a risk-based inspection 

program as required by the BIL. The 

Special Directives require SSOAs to 

include policies and procedures for 

Risk-Based Inspection in their Program 

Standards and develop and begin 

implementing their Risk-Based 

Inspection program by October 21, 2024. 

FTA proposes adding a new 

§ 674.27(a)(13), ‘‘Vehicle maintenance 

and testing,’’ requiring SSOAs to amend 

their program standard to include a new 

requirement that SSOAs ensure that rail 

transit agencies conduct maintenance 

and testing procedures of braking 

systems, consistent with NTSB 

Recommendation R–17–004 (https://

data.ntsb.gov/carol-main-public/srdetails/R-17-004). 

Finally, a new § 674.27(a)(14), ‘‘Data 

collection,’’ proposes specific data 

collection requirements for collecting 

data that the RTA uses when identifying 

hazards and assessing safety risk. This 

responds to industry feedback regarding 

the role of the SSOA in overseeing 

safety risk management of the RTAs 

under their jurisdiction. 

Section 674.29 Public Transportation 

Agency Safety Plans: General 

Requirements 

In § 674.29, FTA proposes the 

addition of a reference to 49 U.S.C. 

5329(d) and 49 CFR part 673 in 

paragraph (a) for clarity and the removal 

of paragraph (b). Because part 674 was 

published prior to part 673, FTA 

provided a list of the expected PTASP 

elements in paragraph (b) as an interim 

measure to guide SSOAs. With the 

publication of part 673 in 2018, the list 

is no longer necessary. Consistent with 

the removal of the current paragraph (b), 

FTA proposes to renumber paragraph (c) 

as paragraph (b). 

Section 674.31 Triennial Audits: 

General Requirements 

In § 674.31, FTA proposes to clarify 

that SSOAs which elect to audit an 

RTA’s compliance with its Public 

Transportation Agency Safety Plan on 

an ongoing basis must issue interim 

audit reports at least annually. This 

clarification does not reflect a change in 

FTA’s current implementation of this 

requirement. 

Section 674.33 Notifications of Safety 

Events 

In § 674.33, FTA proposes to replace 

the term ‘‘accident’’ with ‘‘safety event.’’ 

This replacement streamlines 

definitions used in requirements related 

to event notification and investigation. 

This section proposes specific 

notification criteria that replace the 

Appendix in the current part 674. This 

replacement text clarifies FTA’s 

minimum requirements for two-hour 

notifications to FTA and SSOAs and 

reflects changes to reporting thresholds 

suggested by SSOAs and RTAs, who 

found it difficult to quickly determine 

the scope of one’s ‘‘serious injuries’’ as 

defined in the Appendix within two 

hours of a safety event, specifically, 

injuries resulting in bone fractures, 

nerve or muscle damage, injuries to 

internal organs, or hospitalizations 

exceeding 48 hours. The proposed 

notification requirements exclude 

general crimes but include intentional 

events resulting in a collision with a 

transit vehicle, such as an assault, 

homicide, or suicide. Additionally, FTA 

proposes to remove paragraph (b) that 

requires RTAs to notify FTA and SSOAs 

of safety events triggering FRA’s 

notification requirements under 49 CFR 

part 225, as notification on FRAregulated trackage is already reported to 

the USDOT and received by FTA via the 

National Response Center. 

Section 674.35 Investigations 

In § 674.35, FTA proposes replacing 

the term ‘‘accident’’ with ‘‘safety event,’’ 

and clarifying that this includes any 

safety event that meets one or more 

thresholds in § 674.33. FTA also 

proposes dividing the requirements in 

§ 674.35(a) into a new § 674.35(a) and 

§ 674.35(b) for clarity. These changes do 

not reflect a change in the 

implementation of the current 

requirements. 

Section 674.37 Corrective Action Plans 

In § 674.37, FTA proposes a new 

paragraph (a) and redesignating 

paragraphs (a) through (c) as paragraphs 

(b) through (d). 

The new paragraph (a) proposes 

language clarifying the basis for the 

development of a corrective action plan 

(CAP). The proposed language requires 

the development of a CAP to address 

investigations that determined causal or 

contributing factors require corrective 

actions, findings of non-compliance 

from safety reviews and inspections 

performed by the SSOA, or findings of 

non-compliance from internal safety 

reviews performed by the RTA. These 

proposals do not reflect a change in 

current practice. 

In the renumbered § 674.37(c), FTA 

proposes language clarifying CAP 

requirements to ensure alignment with 

Safety Management System 

terminology. In the renumbered 

674.37(d), FTA proposes adding ‘‘FTA’’ 

as an agency authorized to conduct 

investigations, reflecting FTA’s 

authority to investigate public 

transportation accidents and incidents 

under 49 U.S.C. 5329(f)(5), with the 


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1Federal Transit Administration. August 3, 2022. 

‘‘State Safety Oversight Contacts.’’ https://

www.transit.dot.gov/regulations-and-guidance/ 

safety/state-safety-oversight-contacts. 

2Average events calculated using FTA’s State 

Safety Oversight Reporting system. 

SSOA expected to evaluate whether the 

findings or recommendations by FTA or 

the NTSB require a CAP by the RTA. 

Section 674.39 State Safety Oversight 

Agency Annual Reporting to FTA 

In § 674.39(a)(2), FTA proposes 

clarifying language regarding 

‘‘designated personnel’’ for consistency 

with the Public Transportation Safety 

Certification Training Program in 49 

CFR part 672 and does not reflect a 

change in purpose or intent. 

In § 674.39(a)(3), FTA proposes 

replacing the term ‘‘accident’’ with 

‘‘safety event,’’ consistent with the 

explanation provided above. Section 

674.39(a)(4) proposes specifying that 

SSOAs must submit final investigation 

reports as part of their annual reporting 

to FTA. This reporting is already 

required through the current reporting 

process and this language does not 

reflect a change in FTA’s practice. 

In § 674.39(a)(5), FTA proposes 

specifying that SSOAs must provide a 

summary of the internal safety reviews 

conducted by RTAs during the previous 

12 months and RTA progress in carrying 

out CAPs arising from the SSOA’s 

oversight of RTA ASPs and any related 

safety reviews. This reporting is already 

required through the current reporting 

process and this language does not 

reflect a change in FTA’s practice. 

Section 674.41 Conflicts of Interest 

FTA is not proposing changes to this 

section. 

Removed: Appendix to Part 674— 

Notification and Reporting of Accidents, 

Incidents, and Occurrences 

FTA proposes removing the table 

addressing the notification and 

reporting requirements for accidents, 

incidents, and occurrences, as FTA is 

proposing to address this requirement in 

§ 674.33. 

III. Regulatory Analyses and Notices 

Executive Order 12866 (Regulatory 

Planning and Review), Executive Order 

13563 (Improving Regulation and 

Regulatory Review), and Department of 

Transportation (DOT) Regulatory 

Policies and Procedures 

Executive Order 12866 (‘‘Regulatory 

Planning and Review’’), as 

supplemented by Executive Order 

13563 (‘‘Improving Regulation and 

Regulatory Review’’), directs Federal 

agencies to assess the benefits and costs 

of regulations, to select regulatory 

approaches that maximize net benefits 

when possible, and to consider 

economic, environmental, and 

distributional effects. It also directs the 

Office of Management and Budget 

(OMB) to review significant regulatory 

actions, including regulations with 

annual economic effects of $100 million 

or more. OMB has determined that the 

proposed rule is not significant within 

the meaning of Executive Order 12866 

and has not reviewed it under that 

order. 

Overview 

The proposed rule, which implements 

amendments made by the Bipartisan 

Infrastructure Law, would add 

requirements for state safety oversight 

agencies (SSOAs) and the rail transit 

agencies (RTAs) they oversee. The 

proposed rule will require SSOAs to 

conduct risk-based inspections, oversee 

safety risk mitigations, and investigate a 

larger number of safety events than they 

currently investigate. The proposed rule 

will also require RTAs to conduct 

additional accident investigations and 

prepare additional reports. Finally, the 

proposed rule will clarify existing 

requirements, update terminology, and 

remove interim provisions that no 

longer apply. 

Benefits 

The proposed rule would lead to 

increased oversight of RTA safetyrelated activities, although the effects of 

the oversight are unknown and 

unquantified in the analysis. The 

proposed rule may also benefit SSOAs 

and rail transit agencies by clarifying 

requirements and reducing costs to 

ensure compliance. 

Costs 

SSOAs and RTAs would incur 

economic costs to meet the new 

oversight and increased reporting 

requirements of the proposed rule. To 

estimate the costs of meeting the new 

requirements, FTA estimated the 

number of entities affected, the number 

and type of staff involved, and the time 

needed. The new oversight 

requirements would affect 31 SSOAs in 

operation as of March 1, 2023 (table 2).1

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

Requirement Staff Annual hours Total hours 

SSOA documentation of enforcement authority (first year only) 31 SSOA staff .................................................. 40 1,240 

SSOA oversight (first year): 

Establish disposition process ............................................. 31 SSOA staff .................................................. 80 2,480 

Define requirements for internal safety reviews ................ 31 SSOA staff .................................................. 80 2,480 

Document oversight of safety risk mitigations ................... 31 SSOA staff .................................................. 80 2,480 

Document oversight of RTA training compliance .............. 31 SSOA staff .................................................. 20 620 

Develop risk-based inspection programs ........................... 62 SSOA staff (2 staff per SSOA) .................. 160 9,920 

Establish thresholds for safety event notifications ............. 31 SSOA staff .................................................. 10 310 

Document data collection procedures with RTAs .............. 31 SSOA staff .................................................. 20 620 

SSOA oversight (annual): 

Oversee safety risk mitigations .......................................... 31 SSOA staff .................................................. 500 15,500 

Oversee RTA training compliance ..................................... 31 SSOA staff .................................................. 20 620 

Source: FTA analysis. 

Under the current thresholds for 

reporting safety events, RTAs had an 

average of 618 reportable events per 

year from 2017 to 2021.2 Under the 

proposed thresholds, the number would 

increase to 811 reportable events per 

year (an increase of 193 reports) and 

result in additional reporting costs for 

SSOA and RTA employees (table 3). 


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3Bureau of Labor Statistics. 2023. ‘‘May 2022 

National Occupational Employment and Wage 

Estimates: United States.’’ https://www.bls.gov/oes/ 

2022/may/oes_nat.htm. 

4Multiplier derived using Bureau of Labor 

Statistics data on employer costs for employee 

compensation in December 22 (https://www.bls.gov/ 

news.release/ecec.htm). Employer costs for state 

and local government workers averaged $57.60 an 

hour, with $35.69 for wages and $21.95 for benefit 

costs. To estimate full costs from wages, one would 

use a multiplier of $57.60/$21.95, or 1.62. 

TABLE 3—STAFF AND HOURS NEEDED FOR SSOAS AND RTAS TO MEET REPORTING REQUIREMENTS

Requirement Staff Annual hours Total hours 

SSOA safety event tracking (annual) ........................... SSOA staff; 193 reports ............................................... 1 193 

SSOA safety event investigations (annual): 

Prepare investigation reports ................................ SSOA safety event investigators; 193 reports ............. 22 4,246 

Review and approve reports ................................. SSOA safety event investigators; 193 reports ............. 10 1,930 

SSOA reporting to FTA (annual): 

Submit investigation reports .................................. SSOA staff; 193 reports ............................................... 5 320 

Submit summary of internal safety reviews .......... SSOA staff; 193 reports ............................................... 5 320 

Investigation and reporting (annual): 

Conduct accident investigations ............................ RTA safety event investigators; 193 reports ................ 47 9,071 

Prepare event investigation reports ...................... RTA safety event investigators; 193 reports ................ 30 5,790 

Make submissions to SSOA .................................. RTA safety event investigators; 193 reports ................ 12 2,316 

Source: FTA analysis. 

To estimate the value of staff time 

spent on the requirements, FTA used 

occupational wage data from the Bureau 

of Labor Statistics as of May 2022 (table 

2).3 For general SSOA and trail transit 

agency staff, the closest occupational 

category is ‘‘General and Operations 

Managers’’ (code 11–1021) in the 

‘‘Transit and Ground Passenger 

Transportation’’ industry (North 

American Industry Classification 

System code 485000). FTA used median 

hourly wages as a basis for the 

estimates, multiplied by 1.62 to account 

for employer benefits, for a cost estimate 

of $95.27 per hour.4 For safety event 

investigators, who do not have a close 

analogue in the occupational wage data, 

FTA assumed a 25 percent wage and 

benefit premium for a cost estimate of 

$119.09 per hour. 

TABLE 4—OCCUPATIONAL CATEGORIES AND WAGES USED TO VALUE STAFF TIME

[$2022] 

Staff Occupational category Code Median hourly 

wage 

Wage with 

benefits 

SSOA and RTA general staff ......................... General and Operations Managers ............... 11–1021 $59.07 $95.27 

SSOA and RTA safety event investigators .... N/A ................................................................. ........................ 73.84 119.09 

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

The requirements of the proposed rule 

have estimated costs of $12.6 million (in 

2022 dollars) for the first year and 

annual costs of $10.7 million for later 

years (table 5). The largest annual costs 

are for SSOA oversight ($7.9 million), 

which includes risk-based inspection 

activities, and RTA activities ($2.0 

million), which include investigations 

and reporting for a larger number of 

safety events. 

TABLE 5—FIRST-YEAR AND ANNUAL COSTS FOR PROPOSED RULE REQUIREMENTS

[$2022] 

Requirement First-year 

costs Annual costs 

SSOA documentation of enforcement authority ...................................................................................................... $118,140 ........................

SSOA oversight ....................................................................................................................................................... 9,655,277 $7,853,642 

SSOA safety event tracking .................................................................................................................................... 18,388 18,388 

SSOA investigations ................................................................................................................................................ 735,517 735,517 

SSOA annual reporting to FTA ............................................................................................................................... 60,975 60,975 

RTA investigations and reporting ............................................................................................................................ 2,045,656 2,045,656 

Total .................................................................................................................................................................. 12,633,954 10,714,179 

Totals may not sum due to rounding. 

Summary 

Table 6 summarizes the economic 

effects of the proposed rule over the first 

ten years of the proposed rule from 

2023—the assumed effective date of the 

rule—to 2032 in 2022 dollars. On an 

annualized basis, the proposed rule 

would have net costs of $11.7 million at 

a 7 percent discount rate (discounted to 

2023) and $11.3 million at 3 percent. 


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TABLE 6—SUMMARY OF ECONOMIC EFFECTS, 2023–2033 

[$2022, discounted to 2023] 

Item Total, 

2023–2033 

Annualized 

(7%) 

Annualized 

(3%) 

Benefits ........................................................................................................................................ Unquantified ... ........................ ........................

Costs: 

SSOA documentation of enforcement authority .................................................................. $118,140 ........ $16,820 $13,850 

SSOA oversight .................................................................................................................... 80,338,058 ..... 8,659,910 8,300,458 

SSOA safety event tracking ................................................................................................. 183,879 .......... 19,675 18,940 

SSOA investigations ............................................................................................................. 7,355,168 ....... 787,003 757,582 

SSOA annual reporting to FTA ............................................................................................ 609,755 .......... 65,244 62,805 

RTA investigations and reporting ......................................................................................... 20,456,560 ..... 2,188,852 2,107,026 

Total costs ..................................................................................................................... 109,061,560 ... 11,737,504 11,260,660 

Net benefits ................................................................................................................................. Unquantified ... ........................ ........................

Totals may not sum due to rounding. 

Regulatory Flexibility Act 

The Regulatory Flexibility Act of 1980 

(RFA) (5 U.S.C. 601 et seq.) requires 

Federal agencies to assess the impact of 

a regulation on small entities unless the 

agency determines that the regulation is 

not expected to have a significant 

economic impact on a substantial 

number of small entities. 

The proposed rule would require state 

safety oversight agencies to meet 

additional reporting and administrative 

requirements. Under the Regulatory 

Flexibility Act, governments and other 

public-sector organizations qualify as 

small entities if they serve a population 

of less than 50,000. State agencies do 

not qualify because they serve 

populations greater than 50,000. FTA 

has therefore determined that the 

proposed rule would not have a 

significant effect on a substantial 

number of small entities. 

Unfunded Mandates Reform Act of 1995 

FTA has determined that this 

rulemaking does not require a written 

statement under the Unfunded 

Mandates Reform Act of 1995 (2 U.S.C. 

1532) because it does not impose a 

Federal mandate that may result in the 

expenditure of $100 million or more in 

any 1 year (when adjusted annually for 

inflation using the base year of 1995) for 

either State, local, and tribal 

governments in the aggregate, or by the 

private sector. 

Executive Order 13132 (Federalism 

Assessment) 

Executive Order 13132 requires 

agencies to assure meaningful and 

timely input by State and local officials 

in the development of regulatory 

policies that may have a substantial 

direct effect on the States, on the 

relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. This action has 

been analyzed in accordance with the 

principles and criteria contained in 

Executive Order 13132 (August 4, 1999), 

and FTA determined this action will not 

have a substantial direct effect or 

sufficient federalism implications on the 

States. FTA also determined this action 

will not preempt any State law or 

regulation or affect the States’ ability to 

discharge traditional State governmental 

functions. 

Executive Order 12372 

(Intergovernmental Review) 

The regulations implementing 

Executive Order 12372 regarding 

intergovernmental consultation on 

Federal programs and activities apply to 

this program. 

Paperwork Reduction Act 

In compliance with the Paperwork 

Reduction Act of 1995 (PRA) (44 U.S.C. 

3501 et seq.), and the White House 

Office of Management and Budget’s 

(OMB) implementing regulation at 5 

CFR 1320.8(d), FTA is seeking approval 

from OMB for a currently approved 

information collection (OMB Control 

Number 2132–0558) that is associated 

with this Notice of Proposed 

Rulemaking. The information collection 

(IC) was previously approved on April 

7, 2023. However, this submission 

includes changes in requirements 

applicable to the SSO program affecting 

various respondents. 

National Environmental Policy Act 

Federal agencies are required to adopt 

implementing procedures for the 

National Environmental Policy Act 

(NEPA) that establish specific criteria 

for, and identification of, three classes 

of actions: (1) Those that normally 

require preparation of an Environmental 

Impact Statement, (2) those that 

normally require preparation of an 

Environmental Assessment, and (3) 

those that are categorically excluded 

from further NEPA review (40 CFR 

1507.3(b)). This rulemaking qualifies for 

categorical exclusions under 23 CFR 

771.118(c)(4) (planning and 

administrative activities that do not 

involve or lead directly to construction). 

FTA has evaluated whether the 

rulemaking will involve unusual or 

extraordinary circumstances and has 

determined that it will not. 

Executive Order 12630 (Taking of 

Private Property) 

FTA has analyzed this rulemaking 

under Executive Order 12630, 

Governmental Actions and Interference 

with Constitutionally Protected Property 

Rights. FTA does not believe this 

rulemaking affects a taking of private 

property or otherwise has taking 

implications under Executive Order 

12630. 

Executive Order 12988 (Civil Justice 

Reform) 

This rulemaking meets applicable 

standards in sections 3(a) and 3(b)(2) of 

Executive Order 12988, Civil Justice 

Reform, to minimize litigation, 

eliminate ambiguity, and reduce 

burden. 

Executive Order 13045 (Protection of 

Children) 

FTA has analyzed this rulemaking 

under Executive Order 13045, 

Protection of Children from 

Environmental Health Risks and Safety 

Risks. FTA certifies that this action will 

not cause an environmental risk to 

health or safety that might 

disproportionately affect children. 

Executive Order 13175 (Tribal 

Consultation) 

FTA has analyzed this rulemaking 

under Executive Order 13175, dated 

November 6, 2000, and believes that it 


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will not have substantial direct effects 

on one or more Indian tribes; will not 

impose substantial direct compliance 

costs on Indian tribal governments; and 

will not preempt tribal laws. Therefore, 

a tribal summary impact statement is 

not required. 

Executive Order 13211 (Energy Effects) 

FTA has analyzed this rulemaking 

under Executive Order 13211, Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use. FTA has 

determined that this action is not a 

significant energy action under that 

order and is not likely to have a 

significant adverse effect on the supply, 

distribution, or use of energy. Therefore, 

a Statement of Energy Effects is not 

required. 

Executive Order 12898 (Environmental 

Justice) 

Executive Order 12898 (Federal 

Actions to Address Environmental 

Justice in Minority Populations and 

Low-Income Populations) and DOT 

Order 5610.2(a) (https://

www.transportation.gov/transportationpolicy/environmental-justice/ 

department-transportation-order56102a) require DOT agencies to 

achieve Environmental Justice (EJ) as 

part of their mission by identifying and 

addressing, as appropriate, 

disproportionately high and adverse 

human health or environmental effects, 

including interrelated social and 

economic effects, of their programs, 

policies, and activities on minority and 

low-income populations. All DOT 

agencies must address compliance with 

Executive Order 12898 and the DOT 

Order in all rulemaking activities. On 

August 15, 2012, FTA’s Circular 4703.1 

became effective, which contains 

guidance for recipients of FTA financial 

assistance to incorporate EJ principles 

into plans, projects, and activities 

(http://www.fta.dot.gov/documents/ 

FTA_EJ_Circular_7.14-12_FINAL.pdf). 

FTA has evaluated this rulemaking 

under Executive Order 12898, the DOT 

Order, and the FTA Circular, and FTA 

has determined that this action will not 

cause disproportionately high and 

adverse human health and 

environmental effects on minority or 

low-income populations. 

Regulation Identifier Number 

A Regulation Identifier Number (RIN) 

is assigned to each regulatory action 

listed in the Unified Agenda of Federal 

Regulations. The Regulatory Information 

Service Center publishes the Unified 

Agenda in April and October of each 

year. The RIN number contained in the 

heading of this document can be used 

to cross-reference this rulemaking with 

the Unified Agenda. 

List of Subjects in 49 CFR Part 674 

Grant program—transportation, Mass 

transportation, Reporting and 

recordkeeping requirements, Safety. 

Nuria I. Fernandez, 

Administrator. 

■ For the reasons stated in the preamble, 

and under the authority of 49 U.S.C. 

5329 and the delegation of authority at 

49 CFR 1.91, the Federal Transit 

Administration proposes to revise 49 

CFR part 674 to read as follows: 

Title 49—Transportation 

PART 674—STATE SAFETY 

OVERSIGHT 

Sec. 

Subpart A—General Provisions 

674.1 Purpose. 

674.3 Applicability. 

674.5 Policy. 

674.7 Definitions. 

674.9 [Reserved] 

Subpart B—Role of the State 

674.11 State Safety Oversight Program. 

674.13 Designation of oversight agency. 

674.15 Designation of oversight agency for 

multi-state system. 

674.17 Use of Federal financial assistance. 

674.19 Certification of a State Safety 

Oversight Program. 

674.21 Withholding of Federal financial 

assistance for noncompliance. 

674.23 Confidentiality of information. 

Subpart C—State Safety Oversight 

Agencies 

674.25 Role of the State safety oversight 

agency. 

674.27 State safety oversight program 

standards. 

674.29 Public Transportation Agency Safety 

Plans: General requirements. 

674.31 Triennial audits: General 

requirements. 

674.33 Notification of safety events. 

674.35 Investigations. 

674.37 Corrective action plans. 

674.39 State Safety Oversight Agency 

annual reporting to FTA. 

674.41 Conflicts of interest. 

Authority: 49 U.S.C. 5329; 49 CFR 1.91. 

49 CFR Part 674 

Subpart A—General Provisions 

§ 674.1 Purpose. 

This part carries out the mandate of 

49 U.S.C. 5329 for State safety oversight 

of rail fixed guideway public 

transportation systems. 

§ 674.3 Applicability. 

This part applies to States with rail 

fixed guideway public transportation 

systems; State safety oversight agencies 

that oversee the safety of rail fixed 

guideway public transportation systems; 

and entities that own or operate rail 

fixed guideway public transportation 

systems with Federal financial 

assistance authorized under 49 U.S.C. 

Chapter 53. 

§ 674.5 Policy. 

(a) In accordance with 49 U.S.C. 5329, 

a State that has a rail fixed guideway 

public transportation system within the 

State has primary responsibility for 

overseeing the safety of that rail fixed 

guideway public transportation system. 

A State safety oversight agency must 

have the authority, resources, and 

qualified personnel to oversee the 

number, size, and complexity of rail 

fixed guideway public transportation 

systems that operate within a State. 

(b) FTA will certify whether a State 

safety oversight program meets the 

requirements of 49 U.S.C. 5329 and is 

adequate to promote the purposes of the 

public transportation safety programs 

codified at 49 U.S.C. 5329. 

§ 674.7 Definitions. 

As used in this part: 

Accountable Executive means a 

single, identifiable person who has 

ultimate responsibility for carrying out 

the Public Transportation Agency Safety 

Plan of a transit agency; responsibility 

for carrying out the transit agency’s 

Transit Asset Management Plan; and 

control or direction over the human and 

capital resources needed to develop and 

maintain both the transit agency’s 

Public Transportation Agency Safety 

Plan, in accordance with 49 U.S.C. 

5329(d), and the transit agency’s Transit 

Asset Management Plan in accordance 

with 49 U.S.C. 5326. 

Administrator means the Federal 

Transit Administrator or the 

Administrator’s designee. 

Collision means any impact between 

a rail transit vehicle and any other 

vehicle, object, or any person. 

Contractor means an entity that 

performs tasks on behalf of FTA, a State 

Safety Oversight Agency, or a Rail 

Transit Agency, through contract or 

other agreement. 

Corrective action plan means a plan 

developed by a Rail Transit Agency that 

describes the actions the Rail Transit 

Agency will take to minimize, control, 

correct, or eliminate risks and hazards, 

and the schedule for taking those 

actions. Either a State Safety Oversight 

Agency or FTA may require a Rail 


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Transit Agency to develop and carry out 

a corrective action plan. 

Derailment for the purposes of this 

part means an event in which one or 

more wheels of a rail transit vehicle 

unintentionally leaves the rails. 

Designated personnel means: 

(1) Employees and contractors 

identified by a recipient whose job 

functions are directly responsible for 

safety oversight of the public 

transportation system of the public 

transportation agency; or 

(2) Employees and contractors of a 

State Safety Oversight Agency whose 

job functions require them to conduct 

reviews, inspections, examinations, and 

other safety oversight activities of the 

rail fixed guideway public 

transportation systems subject to the 

jurisdiction of the agency. 

Disabling Damage means damage to a 

rail transit vehicle resulting from a 

collision and preventing the vehicle 

from operating under its own power. 

Evacuation for Life Safety Reasons 

means a condition that occurs when 

persons depart from transit vehicles or 

facilities for life safety reasons, 

including self-evacuation. A life safety 

reason may include a situation such as 

a fire, the presence of smoke or noxious 

fumes, a fuel leak from any source, an 

electrical hazard, or other hazard to any 

person. An evacuation of passengers 

into the rail right of way (not at a 

platform or station) for any reason is 

presumed to be an evacuation for life 

safety reasons. 

Fatality means a death confirmed 

within 30 days of an event. Fatalities 

include suicides, but do not include 

deaths in or on transit property that are 

a result of drug overdose, exposure to 

the elements, illness, or natural causes. 

FRA means the Federal Railroad 

Administration, an operating 

administration within the United States 

Department of Transportation. 

FTA means the Federal Transit 

Administration, an operating 

administration within the United States 

Department of Transportation. 

Hazard means any real or potential 

condition that can cause injury, illness, 

or death; damage to or loss of the 

facilities, equipment, rolling stock, or 

infrastructure; or damage to the 

environment. 

Injury means any harm to persons as 

a result of an event that requires 

immediate medical attention away from 

the scene. Does not include harm 

resulting from a drug overdose, 

exposure to the elements, illness, 

natural causes, or occupational safety 

events occurring in administrative 

buildings. 

Inspection means a physical 

observation of equipment, facilities, 

rolling stock, operations, or records for 

the purpose of gathering or analyzing 

facts or information. 

Investigation means the process of 

determining the causal and contributing 

factors of a safety event or hazard, for 

the purpose of preventing recurrence 

and mitigating safety risk. 

National Public Transportation Safety 

Plan means the plan to improve the 

safety of all public transportation 

systems that receive Federal financial 

assistance under 49 U.S.C. Chapter 53. 

NTSB means the National 

Transportation Safety Board, an 

independent Federal agency. 

Person means a passenger, employee, 

contractor, volunteer, official worker, 

pedestrian, trespasser, or any other 

individual on the property of a rail fixed 

guideway public transportation system 

or associated infrastructure. 

Potential Consequence means the 

effect of a hazard. 

Public transportation has the meaning 

found in 49 U.S.C. 5302. 

Public Transportation Agency Safety 

Plan (PTASP) means the documented 

comprehensive agency safety plan for a 

transit agency that is required by 49 

U.S.C. 5329 and part 673 of this chapter. 

Public Transportation Safety 

Certification Training Program 

(PTSCTP) means the certification 

training program that is required by 49 

U.S.C. 5329(c) and part 672 of this 

chapter. 

Rail fixed guideway public 

transportation system means any fixed 

guideway system, or any such system in 

engineering or construction, that uses 

rail, is operated for public 

transportation, is within the jurisdiction 

of a State, and is not subject to the 

jurisdiction of the Federal Railroad 

Administration. These include but are 

not limited to rapid rail, heavy rail, light 

rail, monorail, trolley, inclined plane, 

funicular, and automated guideway. 

Rail Transit Agency (RTA) means any 

entity that provides services on a rail 

fixed guideway public transportation 

system. 

Rail transit vehicle means any rolling 

stock used on a rail fixed guideway 

public transportation system, including 

but not limited to passenger and 

maintenance vehicles. 

Revenue vehicle means a rail transit 

vehicle used to provide revenue service 

for passengers. This includes providing 

fare free service. 

Risk-based inspection program means 

an inspection program that uses 

qualitative and quantitative data 

analysis to inform ongoing inspection 

activities. Risk-based inspection 

programs are designed to prioritize 

inspections to address safety concerns 

and hazards associated with the highest 

levels of safety risk. 

Safety Committee means the formal 

joint labor-management committee on 

issues related to safety that is required 

by 49 U.S.C. 5329 and part 673 of this 

chapter. 

Safety event means an unexpected 

outcome resulting in injury or death; 

damage to or loss of the facilities, 

equipment, rolling stock, or 

infrastructure of a public transportation 

system; or damage to the environment. 

Safety risk means the composite of 

predicted severity and likelihood of a 

potential consequence of a hazard. 

Safety Risk Management means a 

process within a transit agency’s Public 

Transportation Agency Safety Plan for 

identifying hazards and analyzing, 

assessing, and mitigating the safety risk 

of their potential consequences. 

Safety risk mitigation means a method 

or methods to eliminate or reduce the 

severity and/or likelihood of a potential 

consequence of a hazard. 

State means a State of the United 

States, the District of Columbia, Puerto 

Rico, the Northern Mariana Islands, 

Guam, American Samoa, and the Virgin 

Islands. 

State Safety Oversight Agency (SSOA) 

means an agency established by a State 

that meets the requirements and 

performs the functions specified by 49 

U.S.C. 5329(e) and (k) and the 

regulations set forth in this part. 

Unintended train movement means 

any instance where a revenue vehicle is 

moving and is not under the control of 

a driver (whether or not the operator is 

physically on the vehicle at the time). 

This applies regardless of whether the 

event occurred in revenue service. 

§ 674.9 [Reserved] 

Subpart B—Role of the State 

§ 674.11 State Safety Oversight Program. 

Every State that has a rail fixed 

guideway public transportation system 

must have a State Safety Oversight 

(SSO) program that has been approved 

by the Administrator. FTA will audit 

each State’s compliance at least 

triennially, consistent with 49 U.S.C. 

5329(e)(10). At minimum, an SSO 

program must: 

(a) Explicitly acknowledge the State’s 

responsibility for overseeing the safety 

of the rail fixed guideway public 

transportation systems within the State; 

(b) Demonstrate the State’s ability to 

adopt and enforce Federal and relevant 

State law for safety in rail fixed 

guideway public transportation systems; 


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(c) Establish a State safety oversight 

agency, by State law, in accordance with 

the requirements of 49 U.S.C. 5329 and 

this part; 

(d) Demonstrate that the State has 

determined an appropriate staffing level 

for the State safety oversight agency 

commensurate with the number, size, 

and complexity of the rail fixed 

guideway public transportation systems 

in the State, and that the State has 

consulted with the Administrator for 

that purpose; 

(e) Demonstrate that the employees 

and other personnel of the State safety 

oversight agency who are responsible 

for the oversight of rail fixed guideway 

public transportation systems are 

qualified to perform their functions, 

based on appropriate training, including 

substantial progress toward or 

completion of the Public Transportation 

Safety Certification Training Program; 

and 

(f) Demonstrate that by law, the State 

prohibits any public transportation 

agency in the State from providing 

funds to the SSOA. 

§ 674.13 Designation of oversight agency. 

(a) Every State that must establish a 

State Safety Oversight program in 

accordance with 49 U.S.C. 5329 must 

also establish a SSOA for the purpose of 

overseeing the safety of rail fixed 

guideway public transportation systems 

within that State. Further, the State 

must ensure that: 

(1) The SSOA is financially and 

legally independent from any public 

transportation agency the SSOA is 

obliged to oversee; 

(2) The SSOA does not directly 

provide public transportation services 

in an area with a rail fixed guideway 

public transportation system the SSOA 

is obliged to oversee; 

(3) The SSOA does not employ any 

individual who is also responsible for 

administering a rail fixed guideway 

public transportation system the SSOA 

is obliged to oversee; 

(4) The SSOA has authority to review, 

approve, oversee, and enforce the Public 

Transportation Agency Safety Plan for a 

rail fixed guideway public 

transportation system required by 49 

U.S.C. 5329(d) and part 673 of this 

chapter; 

(5) The SSOA has investigative, 

inspection, and enforcement authority 

with respect to the safety of all rail fixed 

guideway public transportation systems 

within the State; 

(6) At least once every three years, the 

SSOA audits every rail fixed guideway 

public transportation system’s 

compliance with the Public 

Transportation Agency Safety Plan 

required by 49 U.S.C. 5329(d) and part 

673 of this chapter; and 

(7) At least once a year, the SSOA 

reports the status of the safety of each 

rail fixed guideway public 

transportation system to the Governor, 

the FTA, and the board of directors, or 

equivalent entity, of the rail fixed 

guideway public transportation system. 

(b) At the request of the Governor of 

a State, the Administrator may waive 

the requirements for financial and legal 

independence and the prohibitions on 

employee conflicts of interest under 

paragraphs (a)(1) and (3) of this section, 

if the rail fixed guideway public 

transportation systems in design, 

construction, or revenue operations in 

the State have fewer than one million 

combined actual and projected rail fixed 

guideway revenue miles per year or 

provide fewer than ten million 

combined actual and projected unlinked 

passenger trips per year. However: 

(1) If a State shares jurisdiction over 

one or more rail fixed guideway public 

transportation systems with another 

State, and has one or more rail fixed 

guideway public transportation systems 

that are not shared with another State, 

the revenue miles and unlinked 

passenger trips of the rail fixed 

guideway public transportation system 

under shared jurisdiction will not be 

counted in the Administrator’s decision 

whether to issue a waiver. 

(2) The Administrator will rescind a 

waiver issued under this subsection if 

the number of revenue miles per year or 

unlinked passenger trips per year 

increases beyond the thresholds 

specified in this subsection. 

§ 674.15 Designation of oversight agency 

for multi-state system. 

In an instance of a rail fixed guideway 

public transportation system that 

operates in more than one State, all 

States in which that rail fixed guideway 

public transportation system operates 

must either: 

(a) Ensure that uniform safety 

standards and procedures in compliance 

with 49 U.S.C. 5329 are applied to that 

rail fixed guideway public 

transportation system, through an SSO 

program that has been approved by the 

Administrator; or 

(b) Designate a single entity that meets 

the requirements for an SSOA to serve 

as the SSOA for that rail fixed guideway 

public transportation system, through 

an SSO program that has been approved 

by the Administrator. 

§ 674.17 Use of Federal financial 

assistance. 

(a) In accordance with 49 U.S.C. 

5329(e)(6), FTA will make grants of 

Federal financial assistance to eligible 

States to help the States develop and 

carry out their SSO programs. This 

Federal financial assistance may be used 

for reimbursement of both the 

operational and administrative expenses 

of SSO programs, consistent with the 

uniform administrative requirements for 

grants to States under 2 CFR parts 200 

and 1201. The expenses eligible for 

reimbursement include, specifically, the 

expense of employee training and the 

expense of establishing and maintaining 

a SSOA in compliance with 49 U.S.C. 

5329. 

(b) The apportionments of available 

Federal financial assistance to eligible 

States will be made in accordance with 

a formula, established by the 

Administrator, following opportunity 

for public notice and comment. The 

formula will take into account fixed 

guideway vehicle revenue miles, fixed 

guideway route miles, and fixed 

guideway vehicle passenger miles 

attributable to all rail fixed guideway 

systems within each eligible State not 

subject to the jurisdiction of the FRA. 

(c) The grants of Federal financial 

assistance for State safety oversight shall 

be subject to terms and conditions as the 

Administrator deems appropriate. 

(d) The Federal share of the expenses 

eligible for reimbursement under a grant 

for State safety oversight activities shall 

be eighty percent of the reasonable costs 

incurred under that grant. 

(e) The non-Federal share of the 

expenses eligible for reimbursement 

under a grant for State safety oversight 

activities may not be comprised of 

Federal funds, any funds received from 

a public transportation agency, or any 

revenues earned by a public 

transportation agency. 

§ 674.19 Certification of a State Safety 

Oversight Program. 

(a) The Administrator must determine 

whether a State’s SSO program meets 

the requirements of 49 U.S.C. 5329. 

Also, the Administrator must determine 

whether a SSO program is adequate to 

promote the purposes of 49 U.S.C. 5329, 

including, but not limited to, the 

National Public Transportation Safety 

Plan, the Public Transportation Safety 

Certification Training Program, and the 

Public Transportation Agency Safety 

Plans. 

(b) The Administrator must issue a 

certification to a State whose SSO 

program meets the requirements of 49 

U.S.C. 5329. The Administrator must 

issue a denial of certification to a State 

whose SSO program does not meet the 

requirements of 49 U.S.C. 5329. 

(c) In an instance in which the 

Administrator issues a denial of 


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certification to a State whose SSO 

program does not meet the requirements 

of 49 U.S.C. 5329, the Administrator 

must provide a written explanation, and 

allow the State an opportunity to 

modify and resubmit its SSO program 

for the Administrator’s approval. In the 

event the State is unable to modify its 

SSO program to merit the 

Administrator’s issuance of a 

certification, the Administrator must 

notify the Governor of that fact, and 

must ask the Governor to take all 

possible actions to correct the 

deficiencies that are precluding the 

issuance of a certification for the SSO 

program. In his or her discretion, the 

Administrator may also impose 

financial penalties as authorized by 49 

U.S.C. 5329(e), which may include: 

(1) Withholding SSO grant funds from 

the State; 

(2) Withholding up to five percent of 

the 49 U.S.C. 5307 Urbanized Area 

formula funds appropriated for use in 

the State or urbanized area in the State, 

until such time as the SSO program can 

be certified; or 

(3) Requiring all rail fixed guideway 

public transportation systems governed 

by the SSO program to spend up to 100 

percent of their Federal funding under 

49 U.S.C. chapter 53 only for safetyrelated improvements on their systems, 

until such time as the SSO program can 

be certified. 

(d) When determining whether to 

issue a certification or a denial of 

certification for a SSO program, the 

Administrator must evaluate whether 

the cognizant SSOA has the authority, 

resources, and expertise to oversee the 

number, size, and complexity of the rail 

fixed guideway public transportation 

systems that operate within the State, or 

will attain the necessary authority, 

resources, and expertise in accordance 

with a developmental plan and 

schedule. 

§ 674.21 Withholding of Federal financial 

assistance for noncompliance. 

(a) In making a decision to impose 

financial penalties as authorized by 49 

U.S.C. 5329(e) and determining the 

nature and amount of the financial 

penalties, the Administrator shall 

consider the extent and circumstances 

of the noncompliance; the operating 

budgets of the SSOA and the rail fixed 

guideway public transportation systems 

that will be affected by the financial 

penalties; and such other matters as 

justice may require. 

(b) If a State fails to establish an SSO 

program that has been approved by the 

Administrator prior to a rail fixed 

guideway public transportation system 

entering the engineering or construction 

phase of development, FTA will be 

prohibited from obligating Federal 

financial assistance authorized under 49 

U.S.C. 5338 to any entity in the State 

that is otherwise eligible to receive that 

Federal financial assistance, in 

accordance with 49 U.S.C. 5329(e)(3). 

§ 674.23 Confidentiality of information. 

(a) A State, an SSOA, or an RTA may 

withhold an investigation report 

prepared or adopted in accordance with 

these regulations from being admitted as 

evidence or used in a civil action for 

damages resulting from a matter 

mentioned in the report. 

(b) This part does not require public 

availability of any data, information, or 

procedures pertaining to the security of 

a rail fixed guideway public 

transportation system or its passenger 

operations. 

Subpart C—State Safety Oversight 

Agencies 

§ 674.25 Role of the State safety oversight 

agency. 

(a) An SSOA must establish minimum 

standards for the safety of all rail fixed 

guideway public transportation systems 

within its oversight. These minimum 

standards must be consistent with the 

National Public Transportation Safety 

Plan, the Public Transportation Safety 

Certification Training Program, the rules 

for Public Transportation Agency Safety 

Plans and all applicable Federal and 

State law. 

(b) An SSOA must review and 

approve the Public Transportation 

Agency Safety Plan for every rail fixed 

guideway public transportation system 

within its oversight. An SSOA must 

oversee an RTA’s execution of its Public 

Transportation Agency Safety Plan. An 

SSOA must enforce the execution of a 

Public Transportation Agency Safety 

Plan, through an order of a corrective 

action plan or any other means, as 

necessary or appropriate. 

(c) An SSOA has the responsibility to 

provide safety oversight of an RTA’s 

project(s) in the engineering or 

construction phase to verify compliance 

with all applicable Federal and State 

safety requirements. 

(d) An SSOA must ensure that a 

Public Transportation Agency Safety 

Plan meets the requirements at 49 

U.S.C. 5329(d) and part 673 of this 

chapter. 

(e) An SSOA has primary 

responsibility for the investigation of 

any allegation of noncompliance with a 

Public Transportation Agency Safety 

Plan. These responsibilities do not 

preclude the Administrator from 

exercising their authority under 49 

U.S.C. 5329(f). 

(f) An SSOA has primary 

responsibility for the investigation of a 

safety event on a rail fixed guideway 

public transportation system. This 

responsibility does not preclude the 

Administrator from exercising his or her 

authority under 49 U.S.C. 5329(f). 

(g) An SSOA may enter into an 

agreement with a contractor for 

assistance in overseeing safety event 

investigations and performing 

independent safety event investigations; 

and for expertise the SSOA does not 

have within its own organization. 

(h) All personnel and contractors 

employed by an SSOA must comply 

with the requirements of the Public 

Transportation Safety Certification 

Training Program as applicable. 

§ 674.27 State safety oversight program 

standards. 

(a) An SSOA must adopt and 

distribute a written SSO program 

standard, consistent with the National 

Public Transportation Safety Plan and 

the rules for Public Transportation 

Agency Safety Plans. This SSO program 

standard must identify the processes 

and procedures that govern the 

activities of the SSOA. Also, the SSO 

program standard must identify the 

processes and procedures an RTA must 

have in place to comply with the 

standard. At minimum, the program 

standard must meet the following 

requirements: 

(1) Program management. The SSO 

program standard must explain the 

authority of the SSOA to oversee the 

safety of rail fixed guideway public 

transportation systems; the policies that 

govern the activities of the SSOA; the 

reporting requirements that govern both 

the SSOA and the rail fixed guideway 

public transportation systems; and the 

steps the SSOA will take to ensure 

open, on-going communication between 

the SSOA and every rail fixed guideway 

public transportation system within its 

oversight. 

(2) Program standard development. 

The SSO program standard must 

explain the SSOA’s process for 

developing, reviewing, adopting, and 

revising its minimum standards for 

safety, and distributing those standards 

to the rail fixed guideway public 

transportation systems. 

(3) Disposition of RTA comments. The 

SSO program standard must establish a 

disposition process that defines how the 

SSOA will address any comments the 

RTA makes with respect to the SSO 

program standard. 

(4) Program policy and objectives. The 

SSO program standard must set an 

explicit policy and objectives for safety 


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in rail fixed guideway public 

transportation throughout the State. 

(5) Oversight of RTA Public 

Transportation Agency Safety Plans and 

internal safety reviews. The SSO 

program standard must explain the role 

of the SSOA in overseeing an RTA’s 

execution of its Public Transportation 

Agency Safety Plan and any related 

safety reviews of the RTA’s fixed 

guideway public transportation system. 

The SSO program standard must 

describe the process whereby the SSOA 

will receive and evaluate all material 

submitted under the signature of an 

RTA’s accountable executive. The SSO 

program standard must define baseline 

RTA internal safety review requirements 

including, at a minimum, the following 

requirements: 

(i) The RTA must develop and 

document an ongoing internal safety 

review process to ensure that all 

elements of an RTA’s Public 

Transportation Agency Safety Plan are 

performing and being implemented as 

intended. 

(ii) The RTA’s internal safety review 

process must ensure that the 

implementation of all elements of its 

Public Transportation Agency Safety 

Plan are reviewed within a three-year 

period. 

(iii) The RTA must notify the SSOA 

at least thirty (30) days before the RTA 

conducts an internal safety review of 

any aspect of the rail fixed guideway 

public transportation system and 

provide any checklists or procedures it 

will use during the review. 

(iv) The RTA must submit a report to 

the SSOA annually documenting the 

internal safety review activities and the 

status of subsequent findings and 

corrective actions. 

(6) Oversight of safety risk 

mitigations. The SSO program standard 

must explain the role of the SSOA in 

overseeing an RTA’s development, 

implementation, and monitoring of 

safety risk mitigations related to rail 

fixed guideway transportation, 

including how the SSOA will track RTA 

safety risk mitigations. The SSO 

program standard must specify the 

frequency and format whereby the 

SSOA will receive and review 

information on RTA safety risk 

mitigation status and effectiveness. 

(7) Oversight of RTA compliance with 

the Public Transportation Safety 

Certification Training Program. The 

SSOA must review and approve the 

RTA’s designated personnel. The SSOA 

must review and approve the refresher 

training defined by the RTA to satisfy 

the requirements of the Public 

Transportation Safety Certification 

Training Program. 

(8) Triennial SSOA audits of RTA 

Public Transportation Agency Safety 

Plans. The SSO program standard must 

explain the process the SSOA will 

follow and the criteria the SSOA will 

apply in conducting a complete audit of 

the RTA’s compliance with its Public 

Transportation Agency Safety Plan at 

least once every three years, in 

accordance with 49 U.S.C. 5329. 

Alternatively, the SSOA and RTA may 

agree that the SSOA will conduct its 

audit on an on-going basis over the 

three-year timeframe. The program 

standard must establish a procedure the 

SSOA and RTA will follow to manage 

findings and recommendations arising 

from the triennial audit. 

(9) Safety event notifications. The 

SSO program standard must establish 

requirements for RTA notifications of 

safety events occurring on the RTA’s rail 

fixed guideway public transportation 

system, including notifications to the 

SSOA and to FTA. SSOA safety event 

notification requirements must address, 

specifically, the time limits for 

notification, methods of notification, 

and the nature of the information the 

RTA must submit to the SSOA. 

(10) Investigations. The SSO program 

standard must identify safety events that 

require an RTA to conduct an 

investigation. Also, the program 

standard must address how the SSOA 

will oversee an RTA’s own internal 

investigation; the role of the SSOA in 

supporting any investigation conducted 

or findings and recommendations made 

by the NTSB or FTA; and procedures for 

protecting the confidentiality of the 

investigation reports. 

(11) Corrective actions. The program 

standard must explain the process and 

criteria by which the SSOA may order 

an RTA to develop and carry out a 

corrective action plan (CAP), and a 

procedure for the SSOA to review and 

approve a CAP. Also, the program 

standard must explain the SSOA’s 

policy and practice for tracking and 

verifying an RTA’s compliance with the 

CAP and managing any conflicts 

between the SSOA and RTA relating 

either to the development or execution 

of the CAP or the findings of an 

investigation. 

(12) Inspections. The SSO program 

standard must include or incorporate by 

reference a risk-based inspection 

program that: 

(i) is commensurate with the number, 

size, and complexity of the rail fixed 

guideway public transportation systems 

that the State safety oversight agency 

oversees; 

(ii) provides the SSOA with the 

authority and capability to enter the 

facilities of each rail fixed guideway 

public transportation system that the 

SSOA oversees to inspect infrastructure, 

equipment, records, personnel, and 

data, including the data that the RTA 

collects when identifying and 

evaluating safety risks; and 

(iii) include policies and procedures 

regarding the access of the SSOA to 

conduct inspections of the rail fixed 

guideway public transportation system, 

including access for inspections that 

occur without advance notice to the 

RTA. 

(13) Vehicle maintenance and testing. 

The SSO program standard must 

include the process by which the SSOA 

will review an RTA’s rail transit vehicle 

maintenance program, including 

periodic testing of rail transit vehicle 

braking systems, to ensure performance, 

and to detect potential latent system 

failures. 

(14) Data collection. The program 

standard must include policies and 

procedures for collecting and reviewing 

data that the RTA uses when identifying 

hazards and assessing safety risk. The 

frequency of collection shall be 

commensurate with the size and 

complexity of the rail fixed guideway 

public transportation system. 

(b) At least once a year an SSOA must 

submit its SSO program standard and 

any referenced program procedures to 

FTA, with an indication of any revisions 

made to the program standard since the 

last annual submittal. FTA will evaluate 

the SSOA’s program standard as part of 

its continuous evaluation of the State 

Safety Oversight Program, and in 

preparing FTA’s report to Congress on 

the certification status of that State 

Safety Oversight Program, in accordance 

with 49 U.S.C. 5329. 

§ 674.29 Public Transportation Agency 

Safety Plans: General requirements. 

(a) In determining whether to approve 

a Public Transportation Agency Safety 

Plan for a rail fixed guideway public 

transportation system, an SSOA must 

evaluate whether the Public 

Transportation Agency Safety Plan is 

compliant with 49 U.S.C. 5329(d) and 

part 673 of this chapter; is consistent 

with the National Public Transportation 

Safety Plan; and is in compliance with 

the SSO program standard set by the 

SSOA. 

(b) In an instance in which an SSOA 

does not approve a Public 

Transportation Agency Safety Plan, the 

SSOA must provide a written 

explanation and allow the RTA an 

opportunity to modify and resubmit its 

Public Transportation Agency Safety 

Plan for the SSOA’s approval. 


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§ 674.31 Triennial audits: General 

requirements. 

At least once every three years, an 

SSOA must conduct a complete audit of 

an RTA’s compliance with its Public 

Transportation Agency Safety Plan. 

Alternatively, an SSOA may conduct 

the audit on an on-going basis over the 

three-year timeframe. If an SSOA audits 

an RTA’s compliance on an ongoing 

basis, the SSOA shall issue interim 

audit reports at least annually. At the 

conclusion of the three-year audit cycle, 

the SSOA shall issue a report with 

findings and recommendations arising 

from the triennial or ongoing audit, 

which must include, at minimum, an 

analysis of the effectiveness of the 

Public Transportation Agency Safety 

Plan, recommendations for 

improvements, and a corrective action 

plan, if necessary or appropriate. The 

RTA must be given an opportunity to 

comment on the findings and 

recommendations. 

§ 674.33 Notifications of safety events. 

An RTA must notify FTA and the 

SSOA within two hours of any safety 

event occurring on a rail fixed guideway 

public transportation system that results 

in one or more of the following: 

(a) Fatality 

(b) Two or more injuries 

(c) Derailment 

(d) Collision resulting in one or more 

injuries 

(e) Collision between two rail transit 

vehicles 

(f) Collision resulting in disabling 

damage to a rail transit vehicle 

(g) Evacuation for life safety reasons 

(h) Unintended train movement. 

§ 674.35 Investigations. 

(a) An SSOA must investigate or 

require an investigation of any safety 

event that requires notification under 

§ 674.33. 

(b) The SSOA is ultimately 

responsible for the sufficiency and 

thoroughness of all investigations, 

whether conducted by the SSOA or 

RTA. If an SSOA requires an RTA to 

investigate a safety event, the SSOA 

must conduct an independent review of 

the RTA’s findings of causation. In any 

instance in which an RTA is conducting 

its own internal investigation of the 

safety event, the SSOA and the RTA 

must coordinate their investigations in 

accordance with the SSO program 

standard and any agreements in effect. 

(c) Within a reasonable time, an SSOA 

must issue a written report on its 

investigation of a safety event or review 

of an RTA’s safety event investigation in 

accordance with the reporting 

requirements established by the SSOA. 

The report must describe the 

investigation activities; identify the 

factors that caused or contributed to the 

safety event; and set forth a corrective 

action plan, as necessary or appropriate. 

The SSOA must formally adopt the 

report of a safety event and transmit that 

report to the RTA for review and 

concurrence. If the RTA does not concur 

with an SSOA’s report, the SSOA may 

allow the RTA to submit a written 

dissent from the report, which may be 

included in the report, at the discretion 

of the SSOA. 

(d) All personnel and contractors that 

conduct investigations on behalf of an 

SSOA must be trained to perform their 

functions in accordance with the Public 

Transportation Safety Certification 

Training Program. 

(e) The Administrator may conduct an 

independent investigation of any safety 

event or an independent review of an 

SSOA’s or an RTA’s findings of 

causation of a safety event. 

§ 674.37 Corrective action plans. 

(a) The SSOA must, at a minimum, 

require the development of a CAP for 

the following: 

(1) Results from investigations, in 

which the RTA or SSOA determined 

that causal or contributing factors 

require corrective action; 

(2) Findings of non-compliance from 

safety reviews and inspections 

performed by the SSOA; or 

(3) Findings of non-compliance from 

internal safety reviews performed by the 

RTA. 

(b) In any instance in which an RTA 

must develop and carry out a CAP, the 

SSOA must review and approve the 

CAP before the RTA carries out the 

plan. However, an exception may be 

made for immediate or emergency 

corrective actions that must be taken to 

ensure immediate safety, provided that 

the SSOA has been given timely 

notification, and the SSOA provides 

subsequent review and approval. 

(c) A CAP must describe, specifically, 

the actions the RTA will take to correct 

the deficiency identified by the CAP, 

the schedule for taking those actions, 

and the individuals responsible for 

taking those actions. The RTA must 

periodically report to the SSOA on its 

progress in carrying out the CAP. The 

SSOA may monitor the RTA’s progress 

in carrying out the CAP through 

unannounced, on-site inspections, or 

any other means the SSOA deems 

necessary or appropriate. 

(d) In any instance in which a safety 

event on the RTA’s rail fixed guideway 

public transportation system is the 

subject of an investigation by the NTSB 

or FTA, the SSOA must evaluate 

whether the findings or 

recommendations by the NTSB or FTA 

require a CAP by the RTA, and if so, the 

SSOA must order the RTA to develop 

and carry out a CAP. 

§ 674.39 State Safety Oversight Agency 

annual reporting to FTA. 

(a) On or before March 15 of each 

year, an SSOA must submit the 

following material to FTA: 

(1) The SSO program standard 

adopted in accordance with § 674.27, 

with an indication of any changes to the 

SSO program standard during the 

preceding twelve months; 

(2) Evidence that its designated 

personnel have completed the 

requirements of the Public 

Transportation Safety Certification 

Training Program, or, if in progress, the 

anticipated completion date of the 

training; 

(3) A publicly available report that 

summarizes its oversight activities for 

the preceding twelve months, describes 

the causal factors of safety events 

identified through investigation, and 

identifies the status of corrective 

actions, changes to Public 

Transportation Agency Safety Plans, 

and the level of effort by the SSOA in 

carrying out its oversight activities; 

(4) Final investigation reports for all 

safety events meeting one or more of the 

criteria specified at § 674.33; 

(5) A summary of the internal safety 

reviews conducted by RTAs during the 

previous twelve months, and the RTA’s 

progress in carrying out CAPs arising 

under § 674.37(a)(3); 

(6) A summary of the triennial audits 

completed during the preceding twelve 

months, and the RTAs’ progress in 

carrying out CAPs arising from triennial 

audits conducted in accordance with 

§ 674.31; 

(7) Evidence that the SSOA has 

reviewed and approved any changes to 

the Public Transportation Agency Safety 

Plans during the preceding twelve 

months; and 

(8) A certification that the SSOA is in 

compliance with the requirements of 

this part. 

(b) These materials must be submitted 

electronically through a reporting 

system specified by FTA. 

§ 674.41 Conflicts of interest. 

(a) An SSOA must be financially and 

legally independent from any rail fixed 

guideway public transportation system 

under the oversight of the SSOA, unless 

the Administrator has issued a waiver of 

this requirement in accordance with 

§ 674.13(b). 

(b) An SSOA may not employ any 

individual who provides services to a 


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rail fixed guideway public 

transportation system under the 

oversight of the SSOA, unless the 

Administrator has issued a waiver of 

this requirement in accordance with 

§ 674.13(b). 

(c) A contractor may not provide 

services to both an SSOA and a rail 

fixed guideway public transportation 

system under the oversight of that 

SSOA, unless the Administrator has 

issued a waiver of this prohibition. 

[FR Doc. 2023–25186 Filed 11–14–23; 8:45 am] 

BILLING CODE 4910–57–P 


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