Federal Register / Vol. 80, No. 39 / Friday, February 27, 2015 / Rules and Regulations 10619 

154(i), 154(j), 154(o), 155(c), 218, 219, 301, 

303(g), 303(j), 303(r), 332, 403, 621(b)(3), and 

621(d), unless otherwise noted 

■ 2. Amend § 12.4 by revising the first 

sentence in paragraph (d)(1) to read as 

follows: 

§ 12.4 Reliability of covered 911 service 

providers 

* * * * * 

(d) * * * 

(1) Initial reliability certification. One 

year after October 15, 2014, a certifying 

official of every covered 911 service 

provider shall certify to the Commission 

that it has made substantial progress 

toward meeting the standards of the 

annual reliability certification described 

in paragraph (c) of this section. * * * 

* * * * * 

Federal Communications Commission. 

Marlene H. Dortch, 

Secretary. 

[FR Doc. 2015–03433 Filed 2–26–15; 8:45 am] 

BILLING CODE 6712–01–P 

DEPARTMENT OF TRANSPORTATION 

Federal Transit Administration 

49 CFR Chapter VI 

[Docket No. FTA–2014–0012] 

RIN 2132–ZA02 

Interim Safety Certification Training 

Program Provisions 

AGENCY: Federal Transit Administration 

(FTA), DOT. 

ACTION: Notice of Final Interim Safety 

Certification Training Provisions. 

SUMMARY: This document announces 

interim safety certification training 

provisions for Federal and State Safety 

Oversight Agency personnel and their 

contractor support who conduct safety 

audits and examinations of public 

transportation systems not otherwise 

regulated by another Federal agency. 

This document also announces interim 

safety certification training provisions 

for public transportation agency 

personnel who are directly responsible 

for safety oversight of public 

transportation systems that receive 

Federal transit funding. Additionally, 

the document outlines voluntary, 

scalable training available to personnel 

of State Departments of Transportation 

and personnel directly responsible for 

safety oversight of urban and rural bus 

transit systems. 

DATES: The interim provisions are 

effective May 28, 2015. 

FOR FURTHER INFORMATION CONTACT: For 

program issues, contact Ruth Lyons, 

FTA, Office of Safety and Oversight, 

1200 New Jersey Avenue SE., 

Washington, DC 20590 (telephone: 202– 

366–2233 or email: Ruth.Lyons@

dot.gov). For legal issues, contact Bruce 

Walker, FTA, Office of Chief Counsel, 

same address as above, (telephone: 202– 

366–9109 or email: Bruce.Walker@

dot.gov). Office hours are Monday 

through Friday from 8 a.m. to 6 p.m. 

(EST), except Federal holidays. 

SUPPLEMENTARY INFORMATION: 

I. Overview 

II. Public Comments to the Proposed Interim 

Safety Certification Training 

Provisions Federal Register Notice and 

FTA’s Response to Public Comments 

III. Purpose 

IV. Applicability 

V. Interim Safety Certification and Training 

Components—Revised 

1. Safety Management System Training 

Component (all participants) 

2. Technical Training Component (FTA/

SSOA/contractor support) 

VI. Paper Reduction Act 

VII. Next Steps 

I. Overview 

On October 1, 2012, the Moving 

Ahead for Progress in the 21st Century 

Act (MAP–21) (Pub. L. 112–141) 

authorized the Federal Transit 

Administration (FTA) to develop 

interim safety certification training 

provisions (interim program) for: 1) FTA 

and State agency personnel and their 

contractor support who conduct safety 

audits and examinations of public 

transportation systems; and 2) public 

transportation agency personnel who 

are directly responsible for safety 

oversight. A notification announcing 

FTA’s proposed implementation of the 

interim program and request for 

comments was published in the Federal 

Register on April 30, 2014. (See 79 FR 

24363). 

In that document, FTA stated that the 

focus of the interim program would be 

directed primarily towards requirements 

for Federal and State Safety Oversight 

Agency (SSOA) personnel and their 

contractor support while designated 

safety oversight personnel of both rail 

and non-rail transit agencies that receive 

FTA funding would be voluntary 

participants. FTA received comments 

from nineteen entities regarding its 

proposed implementation of the interim 

program. This document addresses 

comments received and explains 

changes FTA has made to implement 

the interim program in response to those 

comments. 

Summary of Changes to the Proposed 

Interim Program 

The primary focus for the interim 

program remains on the training 

requirements for Federal personnel and 

their contractor support who conduct 

safety audits and examinations of public 

transportation systems, and SSOA 

personnel and their contractor support 

who conduct safety audits and 

examinations of rail transit systems. 

However, as recommended by 

commenters, FTA is expanding the 

interim program pursuant to 49 U.S.C. 

5329(c)(2), to also require rail transit 

agency employees who are directly 

responsible for safety oversight as 

mandatory instead of voluntary 

participants. Compliance with the 

interim program will remain a grant 

condition for applicable recipients of 

Federal transit funding. 

Additionally, as a result of comments 

received, FTA has revised the interim 

program to recognize the experience and 

training of those safety professionals 

who have already completed the 

curriculum for the Transit Safety 

Security Program (TSSP) certificate 

program. These participants will only be 

required to complete specific Safety 

Management System (SMS) courses and 

applicable technical training in 

accordance with section V of this 

document. For those who have not yet 

completed the TSSP program, FTA is 

updating the curriculum to include an 

emphasis on SMS tools and techniques 

to promote the development, 

implementation and oversight of SMS 

safety policies, risk management, safety 

assurance, and safety promotion 

programs and initiatives. The revised 

curriculum will continue to support the 

requirements of 49 CFR part 659, by also 

providing for organization-wide safety 

policy, formal methods of identifying 

hazards and controlling their potential 

consequences, continual assessment of 

safety risk, and an effective employee 

safety reporting system. 

Recognizing that safety enhancement 

and promotion is of universal interest to 

the public transportation industry, FTA 

continues to encourage recipients with 

both bus and rail transit systems, as well 

as bus-only systems, to voluntarily 

participate in appropriate components 

of the interim provisions and to 

continue to avail themselves of FTAsponsored voluntary bus safety training 

programs. 

As a reminder, pursuant to 49 U.S.C. 

5329(c)(1), FTA will establish the 

permanent Public Transportation Safety 

Certification Training Program 

(PTSCTP) through the rulemaking 

process. To that end, FTA issued an 

Advance Notice of Proposed 

Rulemaking (ANPRM) on all aspects of 

FTA’s safety authority, including the 

training program, which was published 

in the Federal Register on October 3, 


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2013. (78 FR 61251, available at: 

http://www.gpo.gov/fdsys/pkg/FR-2013- 

10-03/pdf/2013-23921.pdf). FTA is 

reviewing the comments received on the 

ANPRM and is developing, among other 

proposals, a notice of proposed 

rulemaking for the PTSCTP. 

Until the PTSCTP final rule is 

promulgated, the interim program will 

be in effect. In the meantime, FTA 

periodically may revise the interim 

program following an opportunity for 

public notice and comment. 

II. Public Comments on the Proposed 

Interim Safety Certification Training 

Provisions and FTA’s Response 

On April 30, 2014, FTA published a 

Federal Register document requesting 

public comment on its proposed 

implementation of the interim safety 

certification training provisions of 

MAP–21 (see 79 FR 24363). FTA 

received comments from nineteen 

entities, including trade associations, 

State Departments of Transportation 

(State DOTs) public transportation 

providers, and individuals. This 

document addresses the comments 

received and discusses changes FTA has 

made to the interim safety certification 

training provisions in response to public 

comments. 

FTA initially proposed that the 

interim program contain distinct 

mandatory and voluntary components. 

Each mandatory participant was to 

complete a series of training on SMS 

principles, tools and techniques. The 

proposed curriculum for the interim 

program would be organized around a 

series of competencies and basic skills 

that supported training gaps indicated 

through a review of National 

Transportation Safety Board (NTSB) 

accident investigations, SSOA audits, 

FTA’s Program Oversight reviews, 

annual reports submitted by SSOAs, 

FTA’s National Transit Database (NTD) 

assessments and special studies. 

In addition, FTA proposed that 

Federal and SSOA personnel and their 

respective contractor support would be 

required to develop technical training 

plans to address the competency areas 

specific to the rail transit system(s) for 

which they exercised safety oversight 

responsibility (e.g., track inspections, 

safety systems and technologies, 

traction power, etc.). FTA proposed that 

both voluntary and mandatory 

participants would be able to complete 

the interim program requirements, on 

average within three years from initial 

enrollment, and annual recertification 

thereafter. Relative to cost, FTA noted 

that a majority of the cost to participate 

in the proposed interim program would 

be an eligible expenditure of Federal 

financial assistance provided under 

sections 5307, 5311, and 5329 grants. 

Below are the questions FTA posed 

for public comment in the Federal 

Register document, the public’s 

response to those questions, and FTA’s 

response and revisions to the interim 

program as a result of the public 

comments: 

1. Are there existing safety 

certification programs other than those 

described in this document that FTA 

should consider for personnel with 

direct safety oversight of transit 

systems? 

Fourteen entities responded to this 

question noting the existence of other 

safety certification programs that 

address SMS principles that FTA 

should consider. Specific reference was 

made to the National Safety Council, 

World Safety Organization, 

Transportation Safety Institute, the 

American Society of Safety Engineers, 

Board of Certified Safety Professionals, 

National Association of Safety 

Professionals, Federal Railroad 

Administration (FRA), NTSB, vehicle 

manufacturer training and certification 

programs, and safety classes offered 

through colleges, universities, and 

technical schools. 

Commenters recommended that FTA 

provide ‘transfer credit’ for those who 

have completed the appropriate 

certification requirements from these or 

similar programs. Some commenters 

indicated that FTA’s proposed 

implementation was unreasonable 

because it did not leverage the existing 

TSSP Certificate program. They noted 

that over 700 transit industry personnel 

have received certificates through the 

TSSP program. These commenters 

indicated that the TSSP curriculum 

already covers a significant number of 

the competencies that FTA listed in the 

Appendix to the Federal Register 

document. 

FTA Response: Upon further review 

and evaluation of existing FTAsponsored safety training, FTA concurs 

with the commenters who 

recommended that FTA leverage its 

existing TSSP Certificate programs for 

the interim program. To that end, FTA 

is revising the interim safety 

certification training provisions to 

include credit for those safety 

professionals who already have 

completed the requirements for a TSSP 

Certificate. These participants will need 

only complete the supplemental SMS 

courses noted in Section V of this 

document within three years of the 

effective date of the interim program. In 

addition, SSOA personnel and their 

respective contractor support will be 

required to complete the technical 

training requirement. 

FTA also agrees that the existing 

TSSP Certificate curriculum should be 

revised to incorporate the SMS 

principles FTA has adopted, rather than 

FTA creating an entirely new 

curriculum for the interim program. 

Thus, the training required for 

participants who have not completed 

TSSP Certificate training will be very 

similar to the current TSSP Certificate 

curriculum, except that the curriculum 

will be modified to also include SMS 

principles. These participants would 

also need to complete the applicable 

technical training. Similarly, safety 

professionals who have begun, but not 

yet completed, the requirements for a 

TSSP certificate only will need to 

complete the remaining revised TSSP 

courses and the supplemental SMS 

courses noted in Section V. As with the 

current TSSP program, the revised TSSP 

program and the additional courses may 

be completed within three years of the 

date of enrollment in the TSSP 

Certificate program. 

Although commenters identified other 

non-FTA-sponsored SMS safety 

certification training programs for 

consideration, at this time FTA will not 

evaluate non-FTA-sponsored training 

for credit under the interim program. 

Credit for this type of training will be 

evaluated for consideration as FTA 

develops requirements for the proposed 

rule for the PTSCTP. However, as 

recommended by commenters, SSOAs 

will be able to include non-FTAsponsored technical training as part of 

the technical training plan they will 

provide to FTA for evaluation as 

discussed in Section V of this 

document. 

2. How should FTA consider such 

additional training and certification 

programs in finalizing the interim 

provisions? 

Twelve of the fourteen entities who 

commented on this question indicated 

that FTA should allow experienced 

personnel who have already completed 

safety training requirements to be 

‘grandfathered’ from the requirements of 

the interim program and receive credit 

for their certifications and experience. A 

few commenters noted that some of 

these safety professionals often are 

utilized as instructors for FTAsponsored training. Two of the 

commenters indicated that FTA should 

not attempt to implement the interim 

program with significantly new and 

different requirements because SSO 

programs must continue to comply with 

49 CFR part 659 until three years after 

the final SSOA rule becomes effective. 


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FTA Response: As noted in the 

response to Question 1 above, FTA 

agrees in part that credit for existing 

safety certification and training should 

be granted for the interim program. As 

noted in Section V of this document, 

FTA has revised the training 

requirements for all participants who 

have obtained a TSSP Certificate. 

However, as stated above, FTA will not 

evaluate and provide credit for 

alternative certification programs 

offered through other non-FTAsponsored programs. As the final rule 

for the PTSCTP is developed, FTA will 

revisit this recommendation. 

FTA disagrees with those commenters 

who suggested that the interim program 

should not include significantly new 

and different requirements at this time. 

FTA recognizes that 49 CFR part 659 

remains in effect for the near-term and 

that the TSSP curriculum for rail 

certification was developed to support 

the systems management requirements 

of part 659. However, the current TSSP 

curriculum is not fully adaptable to the 

SMS framework FTA has adopted. FTA 

believes the revised TSSP curriculum 

and the SMS training noted in Section 

V of this document aligns systems 

management and SMS training while 

addressing those gaps identified with 

the current TSSP curriculum. 

3. FTA sought comment on the 

proposal to require Federal and SSOA 

personnel and their contractor support 

to participate in the interim program but 

allow the voluntary participation of 

public transportation personnel with 

direct safety oversight responsibilities. 

FTA received comments from 

eighteen entities regarding this 

proposal. Five commenters indicated 

that all public transportation safety 

personnel with direct oversight 

responsibility should be required to 

participate in the interim program. 

Eleven commenters specifically 

recommended that personnel directly 

responsible for safety oversight of rail 

transit systems should be required to 

participate in the interim program. 

Three commenters indicated that 

personnel directly responsible for bus 

safety on the State level or rural bus 

transit systems should not be required 

participants in the interim program. One 

of these commenters noted that the bus 

transit systems operating within its 

State were small, rural providers that do 

not have the resources to participate in 

the proposed voluntary curriculum of 

the interim program. 

A number of the commenters 

indicated that both SSOA personnel and 

rail transit personnel should receive the 

same SMS-centric training. These 

commenters suggested that if rail transit 

personnel are not required to participate 

in the interim program, it could result 

in disjointed implementation of the 

SMS safety requirements that FTA is 

introducing across the rail transit 

industry. These commenters noted that 

rail transit agency safety oversight 

personnel should have a strong 

understanding of both SMS principles 

and the technical components of their 

systems which lead to more effective 

safety management. 

Five commenters also noted that 

voluntary training requirements for rail 

transit personnel could result in a lack 

of participation by these safety partners. 

They indicated that voluntary 

participation could be a disincentive for 

public transit systems to host such 

training. Commenters noted that FTA’s 

current training delivery model relies on 

local public transportation systems to 

host FTA-sponsored training events and 

voluntary participation could 

inadvertently increase the costs 

associated with the training. Three 

commenters also noted that joint SSOA 

and rail transit system participation in 

the interim program could facilitate 

cooperative relationships between State 

regulators and the regulated community. 

One commenter suggested that at a 

minimum, the Chief Safety Officer (or 

equivalent) of rail transit agencies and 

their staff should be required to obtain 

certification. Other commenters 

indicated that FTA should determine 

which rail transit personnel should be 

designated directly responsible for 

safety oversight, including the chief 

executive and board of directors. Lastly, 

one commenter indicated that the 

interim program should include 

personnel involved with the design and 

construction of rail transit systems. 

FTA Response: FTA concurs with the 

commenters who recommended that rail 

transit system personnel with direct 

safety oversight responsibility should be 

required participants in the interim 

safety certification training program. 

FTA agrees with those who noted that 

both SSOA personnel and rail transit 

system personnel should receive the 

same or similar training in order to more 

effectively implement safety 

management principles. To that end, 

pursuant to the authority of 49 U.S.C. 

5329(c)(2), the interim requirements 

noted in Section V also will apply to rail 

transit system personnel who are 

directly responsible for safety oversight. 

However, rail transit systems will not be 

required to submit technical training 

plans to FTA. 

On the other hand, FTA does not 

concur with the recommendation that 

FTA should determine which specific 

persons or positions within a rail transit 

system should be designated as having 

direct responsibility for safety oversight. 

Similar to the designation of safety 

sensitive personnel noted in the FTA 

Drug and Alcohol regulations, 49 CFR 

part 655, FTA believes that each rail 

transit system is in a better position to 

determine which of its personnel has 

direct responsibility for safety oversight. 

FTA understands that the unique 

organizational framework of each rail 

transit system does not allow for 

uniform designation of the same 

position or function as having direct 

responsibility for safety oversight. For 

this reason, each rail transit system will 

designate its personnel who are required 

to participate in the interim program 

based on the function(s) of their 

position. 

For those commenters who indicated 

that bus recipients should not be 

required participants, FTA reiterates 

that since one of the initial objectives of 

the interim program is to develop the 

technical proficiency of rail transit 

personnel with direct safety oversight 

responsibility, at this time, non-rail 

safety oversight personnel are not 

mandatory participants in the interim 

program. FTA encourages State DOT 

personnel and bus transit system 

personnel who are directly responsible 

for safety oversight of bus transit 

systems to voluntarily participate in the 

interim program. We further emphasize 

that participation by small rural busonly transit providers in any component 

of the interim program will be strictly 

voluntary. Hence, the scale and level of 

participation will be left to the 

discretion of these entities. 

In response to the comment to expand 

required participants to include 

personnel involved with the design and 

construction of rail transit operating 

systems, FTA notes that MAP–21 does 

not require their participation in the 

interim program. Hence, FTA will not 

require their participation in the interim 

program. 

4. Are there segments of the existing 

TSSP program that might be utilized to 

address the gaps and proposed 

competencies identified by FTA? 

FTA received comments from twelve 

entities on this question. Two 

commenters indicated that FTA did not 

present sufficient information in the 

Federal Register document to support 

its assertion that gaps exist between the 

TSSP program and the competencies 

listed in Appendix A that supported the 

curriculum for the interim program. 

Two other commenters noted that FTA 

has not published MAP–21 regulatory 

safety requirements; therefore, FTA is 

not yet able to determine what 

deficiencies exist. They indicated that 


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10622 Federal Register / Vol. 80, No. 39 / Friday, February 27, 2015 / Rules and Regulations 

FTA had not presented sufficient 

evidence to warrant significant 

departure from the current FTAsponsored training. 

Ten of the commenters suggested that 

FTA take another look at the TSSP 

curriculum and other FTA-sponsored 

training before implementing a new and 

untested training regime. Two of these 

commenters noted that FTA should wait 

until it has gained sufficient knowledge 

and experience, and developed the 

internal capacity before implementing 

an extensive new safety certification 

training program. 

One commenter noted that SMS 

should not replace current FTAsponsored training which is based in 

part on Military Standard 882 series, the 

military’s system safety program. Two 

commenters also noted that the allhazards training in the TSSP program is 

complementary to the SMS-framework 

that FTA wishes to advance through the 

interim program. 

FTA Response: As noted in our 

response in Questions 1 and 2, FTA 

concurs with the commenters who 

indicated that requirements for the 

interim program should include credit 

for those who have already completed 

the requirements for a TSSP Certificate. 

To that end, as reflected in Section V of 

this document, FTA has revised the 

interim program to incorporate this 

recommendation. We also reiterate that 

FTA recognizes the benefit of the 

systems-based all-hazards training of the 

TSSP Certificate program and will retain 

those provisions in the TSSP 

curriculum as it is revised. 

Responding to those commenters who 

indicated FTA has not provided 

evidence to support the interim 

program, we note that as stated in the 

April 30, 2014 Federal Register 

document, FTA identified training gaps 

based on review of SSOA audits, FTA 

program oversight reviews, annual 

reports submitted by SSOAs, special 

studies, and FTA’s NTD assessments, as 

well as investigations conducted by the 

NTSB, and Government Accountability 

Office reports. FTA continues to find 

that these references sufficiently 

document support for the competencies 

and curriculum developed for the 

interim program. That review indicated 

gaps relative to the TSSP curriculum 

and the SMS framework FTA has 

adopted for its safety programs. 

However, based on the recommendation 

of commenters, FTA reassessed the 

TSSP Certificate curriculum and agrees 

with those commenters who noted that 

it sufficiently reflects a number of SMS 

principles and should be included in 

the interim program. To that end, FTA 

determined that those who have already 

completed the TSSP Certificate program 

will be required to complete only the 

supplemental SMS courses noted in 

Section V of this document. FTA 

believes this revised approach to the 

interim program reasonably responds to 

those commenters who indicated that 

the program, as initially proposed, 

failed to consider the extensive 

experience and training already 

achieved by transit safety professionals. 

In response to the commenter who 

indicated that FTA should not replace 

the current training program for 49 CFR 

part 659, which is in part based on the 

Military Standard 882 series, FTA notes 

that the revised interim program 

includes the TSSP Certificate 

curriculum that was developed to 

support part 659. Therefore, FTA will 

proceed with implementing the interim 

program in accordance with 49 U.S.C. 

5329(c)(2). 

5. Is it possible to reduce the time 

commitment or other burdens 

associated with the proposed interim 

provisions, while still providing the 

necessary SMS and technical training? 

What additional or alternative training 

should be considered, and why? 

FTA received comments from 

seventeen entities on this question. 

Many of these commenters 

recommended that FTA leverage the 

TSSP Certificate program with webbased SMS training as a more 

appropriate course of action for 

implementing interim safety 

certification training, and include a testout option for those capable of 

demonstrating proficiency in the 

relevant training competencies. 

Three commenters noted that FTA 

should reevaluate the need for 144 

hours of SMS-related training that was 

initially proposed. Other commenters 

indicated that the three-year timeframe 

proposed for completing the interim 

program was impractical based on the 

timeline between introducing the 

interim program and implementing the 

PTSCTP requirements. Three 

commenters noted that the proposed 

annual recertification for the interim 

program would not be realistic and 

would be an unnecessary administrative 

compliance burden. Two of the 

commenters indicated that FTA should 

provide more specific information 

regarding recertification/refresher 

training. 

Several commenters also 

recommended that FTA develop all of 

the training and host both technical and 

classroom training at various rail transit 

systems across the country. Three 

commenters suggested that FTA adopt 

the web-based training model used by 

the Pipeline and Hazardous Materials 

Safety Administration (PHMSA). 

One commenter suggested that 

training requirements for rural and 

tribal bus transit providers should focus 

on driver training, drug and alcohol 

compliance, vehicle maintenance and 

standards, and the outcome data 

reported to the NTD. Another 

commenter recommended that FTA use 

a ‘‘train-the-trainer’’ approach for 

training delivery as a means of reducing 

cost and increasing convenience by 

expanding the availability of training 

sites. Lastly, other commenters 

indicated that FTA should cover the 

costs associated with the interim 

program. 

FTA Response: As noted in Section V 

of this document, the revised 

curriculum for the interim program 

adopts the recommendation to reduce 

the administrative burden for required 

participants by providing some of the 

SMS training in a web-based format. 

Additionally, FTA will grant credit for 

those participants who have completed 

the TSSP Certificate program. This 

action will reduce the administrative 

burden associated with achieving 

certification for personnel who have 

completed the TSSP program from 144 

hours over a three-year period to 

approximately 36 hours per person 

across a three-year timeframe. FTA has 

determined that this reduction will not 

compromise safety because the targeted 

safety professionals have already 

achieved much of the requisite safety 

training through the TSSP Certificate 

program and any gaps relative to SMS 

principles will be remediated through 

participation in the SMS training 

requirements noted in Section V of this 

document. 

FTA recognizes that requiring the 

participation of rail transit system 

personnel who are directly responsible 

for safety oversight increases the 

number of required participants. 

However, as noted in the April 30, 2014 

Federal Register notification, FTA’s 

records show that over 800 industry 

personnel have already completed the 

TSSP Certificate program. As a result, 

many will only need to complete the 

supplemental SMS courses and webbased training. FTA believes the revised 

program strikes an appropriate balance 

for those experienced professionals who 

have already received a TSSP 

Certificate, while providing a solid 

foundation for new safety oversight 

professionals who will participate in 

future FTA-sponsored safety training. 

Additionally, FTA concurs with the 

commenters who indicated that annual 

refresher training for the interim 

program would be an unnecessary 


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Federal Register / Vol. 80, No. 39 / Friday, February 27, 2015 / Rules and Regulations 10623 

burden since the PTSCTP rule will 

likely be in effect by the time most 

participants have completed the 

requirements of the interim program. To 

address this concern, recertification will 

be required two years after the initial 

certification instead of one year as 

initially proposed. FTA continues to 

find that it is reasonable that the initial 

requirements of the interim program be 

completed within a three-year 

timeframe. 

Regarding training delivery, FTA 

believes its current training delivery 

model of allowing public transportation 

systems to host FTA-sponsored training 

onsite is effective for the transit 

industry. FTA believes this practice 

increases participation and provides a 

training environment that is relevant to 

the subject matter. FTA notes that the 

PHMSA web-based training delivery 

model cannot fully cross-walk to the 

training objectives of the interim 

program because many of the FTAsponsored courses require in-person 

delivery. However, FTA recognizes the 

benefits associated with web-based 

training and has revised some of the 

interim program curriculum to include 

web-based training. As the PTSCTP rule 

is developed, FTA will look to 

incorporate additional web-based 

training where practical. 

In response to the recommendation 

for the focus of rural bus training 

requirements, FTA notes that the 

interim program does not preclude any 

rural or tribal bus transit agency from 

continuing to focus on the training 

needs most relevant to its organization. 

It is important to note that much of this 

training is already supported through 

FTA-sponsored programs for bus safety 

and technical assistance. 

FTA also supports the 

recommendation that the interim 

program adopt a train-the-trainer 

process. While it is not feasible to 

develop and implement a train-thetrainer process for the interim program, 

FTA will consider this recommendation 

as the agency develops the proposed 

rule for the PTSCTP. 

With regard to the recommendation 

that FTA fully fund all costs associated 

with the interim program, FTA notes 

that Congress specifically authorized 

recipients of funds under 49 U.S.C. 5307 

and 5311 to use up to 0.5 percent of 

their Federal formula funds to cover up 

to 80 percent of the cost of participation 

by an employee with direct safety 

oversight responsibility. The FTA 

ELearning courses are free to public 

agency staff and the FTA sponsored inperson training charges a small 

materials fee but does not charge tuition 

to public agency staff. In addition, 

recipients of funds pursuant to 49 

U.S.C. 5329 are authorized to use grant 

funds to pay for up to 80 percent of the 

cost of participation by an SSOA 

employee. Therefore, FTA is statutorily 

precluded from funding more than 80 

percent of the cost for participating in 

the interim program. 

6. Is it possible to reduce the time 

commitment or other burdens 

associated with the proposed technical 

training requirements proposed for 

SSOA personnel and their contractors? 

Is there additional or alternative 

technical training that should be 

considered, and why? 

Fifteen entities responded to this 

question. Seven commenters suggested 

that FTA develop the technical training 

component for the interim program 

instead of the SSOAs. Three 

commenters recommended that FTA 

reinstate the annual SSO training 

conference and workshop which would 

assist FTA in delivering training to the 

SSOAs. Another commenter 

recommended that SSOAs and rail 

transit agencies form partnerships with 

other subject matter experts to conduct 

technical training best suited for their 

respective systems. 

Commenters also suggested that credit 

should be given for existing training and 

experience, including allowing credit 

for technical knowledge gained during 

audits and review of transit 

maintenance and inspection activities, 

and that the SSOA should determine the 

time required for conducting technical 

training. One commenter also 

recommended that FTA provide 

guidance on the level of proficiency 

expected for the technical program. 

Two commenters requested 

clarification regarding the training 

requirements for SSOAs that are 

responsible for transit systems in 

multiple jurisdictions. Two other 

commenters indicated that FTA should 

take responsibility for determining the 

appropriate certification requirements 

for SSOA contractor support with a 

national certification process. One 

commenter also noted that the State 

should be allowed to determine the 

length of initial and refresher technical 

training required for its SSOA 

personnel. Lastly, two commenters 

suggested that FTA should fund the cost 

of the interim program beyond the 

Federal funds provided for under 

section 5329 grants. 

FTA Response: As indicated by a 

number of commenters, the SSOAs and 

rail transit systems already are engaged 

in activities that promote technical 

training competencies. Based on public 

comment, FTA has reviewed the 

proposed process for developing and 

conducting technical training 

requirements for the interim program. 

Recognizing that more enhanced 

technical training of FTA, SSOA, and 

rail transit personnel is an objective of 

MAP–21, FTA continues to believe that 

technical training should be tailored to 

the rail transit system(s) under the 

SSOA’s jurisdiction. With that in mind, 

FTA concurs with commenters who 

indicated that each SSOA should 

determine the specific number of hours 

of initial and refresher technical training 

that should be performed by its safety 

oversight personnel and contractor 

support. 

However, FTA does not agree that 

FTA should develop and deliver the 

technical training for the interim 

program. In the April 30, 2014 Federal 

Register document, FTA identified 

specific competencies common to rail 

transit systems. FTA believes each 

SSOA is in a better position to 

determine how it plans to train to those 

competency areas. The SSOA is better 

situated to determine the specifics of its 

technical training requirements based 

on the characteristics of the rail systems 

under its jurisdiction. This approach 

will allow the SSOA and the rail transit 

system to collaborate on training issues 

specific to the physical and operational 

characteristics of the rail systems and to 

align training plans with the 

competency areas identified by FTA. 

With regard to developing the SSOA 

training plan, FTA notes that one 

objective of the technical training plan 

is to align the technical training with 

the SSO certification work plans that 

most States have submitted to FTA as 

part of the requirements under 49 U.S.C. 

5329(e). In the technical training plan, 

the SSOA will identify how its 

personnel and contractor support will 

train to the competencies of the 

technical training component in Section 

V of this document. Those SSOA’s with 

rail transit systems in multiple 

jurisdictions will have the option of 

developing a consolidated technical 

training plan or preparing separate 

plans for each rail transit system. FTA 

will provide technical assistance to the 

SSOAs in developing the technical 

training plan and provide a web-based 

template to assist with this process. 

In addition, FTA concurs with those 

commenters who indicated that credit 

should be granted for prior technical 

training and experience including 

technical knowledge gained through 

audits and examinations. FTA also 

concurs that some of the technical 

training competencies may be achieved 

through web-based training. To that 

end, SSOAs may leverage such training 

as they develop their technical training 


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10624 Federal Register / Vol. 80, No. 39 / Friday, February 27, 2015 / Rules and Regulations 

1FTA anticipates that this category will include 

approximately 40 FTA personnel and contractors. 

2FTA anticipates that this category will include 

approximately 70 to 120 SSOA personnel and 

contractors. 

3FTA anticipates that this category will include 

approximately 340 rail transit agency personnel. 

4FTA anticipates that this will include 

approximately 2000 personnel. 

plan. FTA also will look to develop 

technical training courses for e-learning 

delivery. As these courses come online 

they can be incorporated in the 

technical training plan. Also, FTA will 

consider reconvening the SSOA 

workshops which could provide 

opportunities to conduct technical 

training. 

In response to the recommendation 

that FTA provide a national certification 

for contractors who support SSOAs with 

conducting audits and examinations, 

FTA notes that the SSOA is responsible 

for ensuring that its contractors are 

qualified to perform the requirements of 

their respective contracts. Contractor 

personnel performing safety audits and 

examinations for the SSOA will be 

required to participate in the same 

interim safety certification training 

program noted in Section V as SSOA 

personnel; therefore, no additional 

certification process is required. 

Regarding the issue of FTA funding 

all costs associated with training for the 

SSO program, FTA notes that Congress 

has provided for cost-sharing with the 

States for section 5329 funding for the 

SSO program. Specifically, Congress has 

limited the Government share of 

funding to 80 percent of the cost; 

therefore, FTA is precluded from 

funding all of an SSOA’s costs for 

participating in the interim program. 

III. Purpose 

The interim safety certification 

training provisions are designed to 

advance FTA’s proposed adoption of 

SMS to improve the safety of public 

transportation. (See FTA Dear Colleague 

letter dated May 13, 2013, available at: 

http://www.fta.dot.gov/newsroom/

12910_15391.html). The interim 

provisions consist of: (1) A required 

training program promoting SMS and 

ensuring technical competencies for 

FTA personnel and contractors who 

conduct safety audits and examinations 

and SSOA personnel and contractors 

who conduct safety audits and 

examinations of rail transit systems not 

subject to FRA regulation; (2) a required 

training program that includes 

promoting the adoption of SMS for 

designated rail transit systems 

employees who are directly responsible 

for safety oversight; and (3) a voluntary 

component for personnel who are 

directly responsible for safety oversight 

of non-rail transit systems (e.g., 

passenger ferry, bus, bus rapid transit, 

and community transportation 

providers). 

IV. Applicability 

Pursuant to 49 U.S.C. 5329(c)(2), the 

interim safety certification training 

provisions will apply to the following 

covered personnel and will be effective 

until FTA issues a final rule for the 

PTSCTP: 

(1) FTA personnel and contractors 

who conduct safety audits and 

examinations of public transportation 

systems; 1

(2) SSOA personnel and contractors 

who conduct safety audits and 

examinations of rail fixed guideway 

public transportation systems not 

subject to FRA regulation. In accordance 

with 49 U.S.C. 5329(e)(3)(E), each SSOA 

will designate its covered personnel or 

positions responsible for conducting the 

applicable safety audits and 

examinations and identify them in its 

annual FTA certification reporting 

requirements; 2

(3) Designated employees of re-cip-ients with rail transit systems subject to 

49 CFR part 659 who are directly 

responsible for safety oversight.3

(a) Each recipient will designate its 

covered personnel who are directly 

responsible for safety oversight of its rail 

transit system. 

(b) At a minimum, covered personnel 

should include the Chief Safety Officer 

and the primary staff directly 

responsible for safety oversight of the 

recipient’s rail transit system. Directly 

responsible means safety staff who 

participate in the development, 

implementation or maintenance of the 

requirements of the oversight agency’s 

program standard. 

(4) The following personnel may 

voluntarily participate in the applicable 

interim safety certification training 

provisions: 4

(a) Personnel employed by recipients 

of Federal transit funds who are directly 

responsible for safety oversight of nonrail transit systems (e.g., passenger ferry, 

bus, bus rapid transit, and community 

transportation providers); and 

(b) Personnel of State DOTs or other 

State entities that receive Federal transit 

funds, who are directly responsible for 

safety oversight of non-rail transit 

systems such as passenger ferry, bus, 

bus rapid transit, and community 

transportation providers. 

V. Interim Safety Certification and 

Training Requirements 

A. Required Curriculum Over a ThreeYear Period 

• FTA/SSOA personnel and contractor 

support, and rail transit agency 

personnel with direct responsibility 

for safety oversight of rail transit 

systems not subject to FRA regulation: 

Æ One (1) hour course on SMS 

Awareness—e-learning delivery (all 

required participants) 

Æ Two (2) hour course on Safety 

Assurance—e-learning delivery (all 

required participants) 

Æ Two (2) hour SMS Gap course (elearning for existing TSSP 

Certificate holders) 

Æ SMS Principles for Rail Transit (2 

days—all required participants) 

Æ SMS Principles for SSO Programs 

(2 days—FTA/SSOA/contractor 

support personnel only) 

Æ Revised TSSP with SMS Principles 

Integration (not required of current 

TSSP Certificate holders—17.5 days 

for all other covered personnel) 

Æ Rail System Safety 

Æ Effectively Managing Transit 

Emergencies 

Æ Transit System Security 

Æ Rail Incident Investigation 

• FTA/SSOA/contractor support 

personnel (technical training 

component): 

Each SSOA shall develop a technical 

training plan for covered personnel and 

contractor support personnel who 

perform safety audits and examinations. 

The SSOA will submit its proposed 

technical training plan to FTA for 

review and evaluation as part of the 

SSOA certification program in 

accordance with 49 U.S.C. 5329Ö(7). 

This review and approval process will 

support the consultation required 

between FTA and SSOAs regarding the 

staffing and qualification of the SSOAs’ 

employees and other designated 

personnel in accordance with 49 U.S.C. 

5329Ö(3)(D). 

SSOA’s should submit their technical 

training plan to FTA via the following 

Web site: safety.fta.dot.gov no later than 

May 28, 2015. FTA will provide 

technical assistance on a one-on-one 

basis after the technical training plans 

are submitted and reviewed. 

Recognizing that each rail fixed 

guideway public transportation system 

has unique characteristics, each SSOA 

will identify the tasks related to 

inspections, examinations, and audits, 

and all activities requiring sign-off, 

which must be performed by the SSOA 

to carry out its safety oversight 

requirements, and identify the skills and 


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Federal Register / Vol. 80, No. 39 / Friday, February 27, 2015 / Rules and Regulations 10625 

knowledge necessary to perform each 

task at that system. 

At a minimum, the technical training 

plan will describe the process for 

receiving technical training from the rail 

transit agencies in the following 

competency areas appropriate to the 

specific rail fixed guideway system(s) 

for which safety audits and 

examinations are conducted: 

• Agency organizational structure 

• System Safety Program Plan and 

Security Program Plan 

• Knowledge of agency: 

Æ Territory and revenue service 

schedules 

Æ Current bulletins, general orders, 

and other associated directives that 

ensure safe operations 

Æ Operations and maintenance rule 

books 

Æ Safety rules 

Æ Standard Operating Procedures 

Æ Roadway Worker Protection 

Æ Employee Hours of Service and 

Fatigue Management program 

Æ Employee Observation and Testing 

Program (Efficiency Testing) 

Æ Employee training and certification 

requirements 

Æ Vehicle inspection and 

maintenance programs, schedules 

and records 

Æ Track inspection and maintenance 

programs, schedules and records 

Æ Tunnels, bridges, and other 

structures inspection and 

maintenance programs, schedules 

and records 

Æ Traction power (substation, 

overhead catenary system, and third 

rail), load dispatching, inspection 

and maintenance programs, 

schedules and records 

Æ Signal and train control inspection 

and maintenance programs, 

schedules and records 

The SSOA will determine the length 

of time for the technical training based 

on the skill level of the covered 

personnel relative to the applicable rail 

transit agency(s). FTA will provide a 

template on its Web site to assist the 

SSOA with preparing and monitoring its 

technical training plan and will provide 

technical assistance as requested. Each 

SSOA technical training plan that is 

submitted to FTA for review will: 

Æ Require covered personnel to 

successfully: 

D Complete training that covers the 

skills and knowledge the covered 

personnel will need to effectively 

perform his or her tasks. 

D Pass a written and/or oral 

examination covering the skills and 

knowledge required for the covered 

personnel to effectively perform his 

or her tasks. 

D Demonstrate hands-on capability to 

perform his or her tasks to the 

satisfaction of the appropriate 

SSOA supervisor or designated 

instructor. 

Æ Establish equivalencies or written and 

oral examinations to allow covered 

personnel to demonstrate that they 

possess the skill and qualification 

required to perform their tasks. 

Æ Require biennial refresher training to 

maintain technical skills and abilities 

which includes classroom and handson training, as well as testing. 

Observation and evaluation of actual 

performance of duties may be used to 

meet the hands-on portion of this 

requirement, provided that such 

testing is documented. 

Æ Require that training records be 

maintained to demonstrate the current 

qualification status of covered 

personnel assigned to carry out the 

oversight program. Records may be 

maintained either electronically or in 

writing and must be provided to FTA 

upon request. 

Æ Records must include the following 

information concerning each covered 

personnel: 

D Name; 

D The title and date each training 

course was completed and the 

proficiency test score(s) where 

applicable; 

D The content of each training course 

successfully completed; 

D A description of the covered 

personnel’s hands-on performance 

applying the skills and knowledge 

required to perform the tasks that the 

employee will be responsible for 

performing and the factual basis 

supporting the determination; 

D The tasks the covered personnel is 

deemed qualified to perform; and 

D Provide the date that the covered 

personnel’s status as qualified to 

perform the tasks expires, and the date 

in which biennial refresher training is 

due. 

Æ Ensure the qualification of 

contractors performing oversight 

activities. SSOAs may use 

demonstrations, previous training and 

education, and written and oral 

examinations to determine if contractors 

possess the skill and qualification 

required to perform their tasks. 

Æ Periodically assess the effectiveness 

of the technical training. One method of 

validation and assessment could be 

through the use of efficiency tests or 

periodic review of employee 

performance. 

B. Voluntary Curriculum 

• Bus transit system personnel with 

direct safety oversight responsibility 

and State DOTs overseeing safety 

programs for 5311 sub-recipients 

Æ FTA-sponsored Bus Safety 

Programs 

Æ One (1) hour course on SMS 

Awareness—e-learning delivery 

Æ SMS for Bus Operations 

Æ TSSP Certificate (Bus) 

VI. Paperwork Reduction Act 

In February 2014, in compliance with 

the Paperwork Reduction Act of 1995 

(PRA) (44 U.S.C. 3501 et seq.) and the 

Office of Management and Budget 

(OMB) implementing regulation at 5 

CFR 1320.13, FTA received approval 

from OMB for an Information Collection 

for the State Safety Oversight Program 

(Information Collection number 2132– 

0558). The recordkeeping necessary to 

comply with the interim program would 

be consistent with the recordkeeping 

required for SSOA and rail fixed 

guideway public transportation agency 

training in the approved information 

collection. 

VII. Next Steps 

1. FTA will host an informational 

webinar discussing the interim training 

program on or about 45 days after 

publication. 

2. Covered personnel will be able to 

log-in to FTA’s Web site 

safety.fta.dot.gov and establish a user ID 

and password (the Web site link 

provided will be live at least 30 days 

after publication, periodic updates will 

be provided on the landing page for 

users). Once this is completed, each 

participant will be provided with a 

curriculum which is associated with 

their category. The dates that 

registration will open for courses listed 

in each participant’s profile will be 

provided with the learning profile. 

Participants will be notified by email 

when there has been an update to their 

profile. Once the Web site registration 

process is completed, users will be able 

to register for available classroom 

training, participate in e-learning 

opportunities and track their progress 

towards completion of their 

requirements. If a participant has 

previously completed a course that is 

listed in their profile (e.g., TSSP), they 

may upload a copy of the certificate to 

their profile at safety.fta.dot.gov. 


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10626 Federal Register / Vol. 80, No. 39 / Friday, February 27, 2015 / Rules and Regulations 

3. FTA will provide technical 

assistance to SSOAs at 

safety.fta.dot.gov. Each SSOA should 

submit their technical training plan to 

FTA via the following Web site: safety.fta.dot.gov no later than May 28, 

2015. 

Therese McMillan, 

Acting Administrator. 

[FR Doc. 2015–03842 Filed 2–26–15; 8:45 am] 

BILLING CODE P 


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