Are the SSOA and RFGPTS separate legal agencies? Do the SSOA and RFGPTS have separate reporting relationships? Do the SSOA and RFGPTS have shared board members, shared activities or shared reporting streams? Does the SSOA have a vested legal or organizational interest in the success of the RFGPTS or any of its activities, events or projects? Conflicts Involving Financial Independence Financial independence means that there are no monetary dependencies or connections between the SSOA and the RFGPTS. The SSOA is not financially vested in the RFGPTS and its success, and the RFGPTS does not fund the SSOA or direct its budget or activities in any way. Financial independence that Involved Persons and their actions cannot be controlled or limited by the financial resources supplied by the RFGPTS or by pressures emanating from the SSOA’s vested interest in the success of the RFGPTS or its projects or activities. Financial independence also means that the SSO program budget and other resources cannot be subverted or re-directed toward programs designed to fund, support or enhance public transportation in the State. The SSOA and RFGPTS recognize that they may encounter many different circumstances or combinations of circumstances that could create a financial conflict of interest between the Parties. Although it may be difficult to identify every situation that could result in a financial conflict of interest, the following questions can help identify potential financial conflicts of interest: Does the SSOA receive funding from the RFGPTS to conduct the SSO program? Does the SSO program office, or the State agency within which the SSO program office is housed, fund the RFGPTS through grants, assistance, subsidies or other programs or activities? Does the SSO program office, or the agency within which the SSO program office is housed, fund public transportation in the State, including non-rail modes, such as bus, community transportation, and other forms of public transportation? Does the SSO program office or the larger agency approve the budget or capital projects for the RFGPTS in its program, or for public transportation agencies in the State?
Federal Railroad Administration (FRA): (See Section 9 -- FRA Safety Reporting) Auditing and Safety Assurance: Federal Transit Administration: Rail Safety and Standards Board (RSSB) Handbook Series: Corrective Action Plan (CAP) Management The below contains the minimum CAP requirements specified in 49 CFR Part 659 and most existing rail transit agency System Safety Program Plans (SSPPs), as well as potential enhancements for States to include in their SSO programs now while they are working toward full enforcement authority under the new Moving Ahead for Progress in the 21st Century Act program. SAMPLE Enhancements to SSO Program Corrective Action Plan Management Plan Specifications 49 CFR Part 659 Minimum Requirements MAP-21 INTERIM ENHANCEMENTS (In Addition to the Minimum Requirements) CAP criteria (Specify CAPs to track) Factors of Investigations (Accident and Hazards) Three-year State Oversight Agency (SOA) Reviews NTSB recommendations CAPs required and tracked for all findings from Internal Safety Reviews conducted by the RTA SOA recommendations resulting from inspections require CAPs Complaints (internally, externally, general public) are closed through formal CAPs capital projects (PHA, TVA) items are addressed through formal CAPs FTA/SSO reviews and audit findings (as applicable) Data / analysis (accidents, hazards, etc.) Specify SOA CAP review and approval SOA must review and formally approve of CAPs Timeframe for SOA approval of new CAPs (30-days)
meetings, following up as required on critical issues. Participate in discussions and reviews regarding new capital projects and rehabilitation activities planned for the rail transit agency. Conduct safety certification program adherence reviews for RTA major capital projects and rehabilitation projects Observe RTA emergency preparedness and safety & security drills and exercises Review and monitor RTA compliance with their own hours of service and fatigue management program; follow up on and further investigate hours of service violations Review and monitor RTA implementation of their medical qualification programs, including specific programs developed to address sleep apnea; follow up on and further investigate as warranted Review and monitor RTA implementation of their roadway worker protection programs, follow up on and further investigate as warranted HAZARD MANAGEMENT PROGRAM AND ACCIDENT INVESTIGATION Develop formal hazard management procedure to begin collecting and analyzing data now with the RTA. Monitor identified hazards; receive and review reports; review and track hazard corrective plans to completion Develop monthly monitoring program tracking program for hazards, incidents and unusual occurrences; briefing RTA CEO and Board of Directors Update SSO program accident investigation procedures Organize, lead, & conduct investigations of accidents, incidents and hazards at the RTA; coordinate activities &
Payments to utilities are made for such resources as gas, water, sewer, electricity, radio repeater service, telephone service, Internet service, etc. LIABILITY AND CASUALTY COSTS. Payments for insurance programs that protect the State agency from losses incurred or caused by the SSO program; payments to others for their losses attributed to the SSO program. TAXES. Freight charges and sales tax (unless purchasing agency is tax exempt). OTHER PURCHASED SERVICES. Payments made to other organizations for services that support the SSO agency. Other purchased services could include maintenance of vehicles or other related equipment; professional and technical services such as legal services, printing, custodial services, temporary help, and accounting and auditing. TRAINING EXPENSES. This cost includes expenses for approved training. Training expenses include supplies, tuition, and other costs associated with training identified in Individual Training Plans (ITPs) approved by FTA for SSO employees. TRAVEL. This cost includes the expenses of transportation, meals, out-of-town lodging and related expenses, such as parking and mileage placed on personal vehicles, which are incurred by employees and other designated individuals as authorized by the SSO agency. Travel is allowed for: training and conferences identified in Individual Training Plans (ITPs) approved by FTA for SSO employees, official SSO activities conducted onsite at the Rail Fixed Guideway Public Transportation System (RFGPTS) or FTA Regional Office or Headquarters Office, participation in FTA-sponsored or recommended events, and official SSO activities conducted in partnership with other Federal, State or Local partners, such as investigations, hearings or the presentation of testimony. INTEREST. Interest on money borrowed over a short term (one year or less) for operating expenses or over a long term (more than one year) for equipment purchases used to support the Federal (SSO) project. ADVERTISING. Cost of such as newspapers, magazines, newsletters, radio, television, direct mailing, posters, handouts, etc. The subject of advertising may include the recruitment of personnel, solicitation of bids for goods and services, announcement of public hearings or findings, and contact persons for communication with the public regarding rail transit safety issues.
SSO Data Analyst State DOT Supervisor Overtime Expense Operating Expenses General Services & Supplies SSO Vehicles Mandated Training Expense Personal Protective Equipment DOJ Legal Services Computer Equipment Vehicle Fuel & Maintenance Outside Contractor Expense Contracted Internal Support Financing Sources Estimated FTA Section 5329 SSO Program Allocation State Matching Funds DOT Finance Department 50% FTE for State DOT Supervisor Estimated @ 300 hours total Covered in 44.69% overhead rate Two vehicles required for travel Mandated SSO Certification training For fieldwork safety for SSO staff Required legal review services Upgrade of SSO unit computers Pool costs for required travel For expert contractor resources as identified in workload assessment For contracted Rail Safety & Crossing inspection services TOTAL RESOURCE REQUIREMENTS: 80% Federal Funding Required 20% Local Match Contribution TOTAL FINANCING SOURCES: $127,157 $90,507 $16,300 $-0– $50,000 $21,600 $2,000 $120,000 $4,000 $15,000 $100,000 $23,998 $1,034,012 $827,210 $206,802 ____________ $1,034,012 TAB 9: SAMPLE State Safety Oversight Program (SSOP) Job Descriptions