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Fixed Guideway Transportation Systems State Safety Oversight Program Activities:
Biannual Report
January 1, 2015 through June 30, 2015
Victor Wiley, CPM
Transit Safety Programs Manager, Florida Department of Transportation (FDOT)
Ashley Porter, In-House Consultant to the FDOT State Safety Oversight Program, Transportation
Resource Associates, Inc.
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Background and Federal Regulations
The Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) required the
Federal Transit Administration (FTA) to create a state-managed oversight program to improve
rail transit safety and security (49 U.S.C. § 5330). On December 27, 1995, the FTA published
“Rail Fixed Guideway Systems; State Safety Oversight; Final Rule” (codified at 49 CFR Part 659),
now referred to as Part 659 or the State Oversight Rule. This rule governs light, heavy, or rapid
rail, monorail, inclined plane, funicular, trolley or automated guideway systems that receive
specific funding and are not regulated by the Federal Railroad Administration (FRA).
On July 6, 2012 President Obama signed into law a new transportation authorization,
Moving Ahead for Progress in the 21st Century (MAP-21). MAP-21 grants the FTA the authority
to establish and enforce a new comprehensive framework to oversee the safety of public
transportation throughout the United States. MAP-21, under 49 U.S.C. Section 5329(e), requires
each State to assume responsibility for overseeing rail fixed guideway public transportation
safety; to adopt and enforce Federal and relevant State laws on rail fixed guideway public
transportation safety; if not already, to establish a State Safety Oversight Agency (SSOA); to
determine, in consultation with the FTA, an appropriate staffing level for the SSOA that is
commensurate with the number, size, and complexity of the rail fixed guideway public
transportation systems in the eligible State.
Each eligible state, including the State of Florida, must establish a SSOA that— (i) is
financially and legally independent from any public transportation entity that the SSOA
oversees; (ii) does not directly provide public transportation services in an area with a rail fixed
guideway public transportation system subject to the requirements of this section; (iii) does not
employ any individual who is also responsible for the administration of rail fixed guideway
public transportation programs subject to the requirements of this section; (iv) has the
authority to review, approve, oversee, and enforce the implementation by the rail fixed
guideway public transportation agency of the public transportation agency safety plan required
under subsection (d); (v) has investigative and enforcement authority with respect to the safety
of rail fixed guideway public transportation systems of the eligible State; (vi) audits, at least
once triennially, the compliance of the rail fixed guideway public transportation systems in the
eligible State subject to this subsection with the public transportation agency safety plan
required under subsection (d); and (vii) provides, at least once annually, a status report on the
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safety of the rail fixed guideway public transportation systems the SSOA oversees to— (I) the
FTA; (II) the Governor of the State; and (III) the board of directors of the transit agencies or
equivalent.
State Authority
Section 341.061(1), Florida Statutes (F.S.), designates the Florida Department of
Transportation (FDOT) as the SSOA with the responsibility for the implementation and the
enforcement of safety standards for fixed guideway transportation systems (FGTSs). Section
341.061(1), F.S., requires that FDOT establish minimum safety standards for all governmentally
owned FGTSs and privately owned or operated FGTSs operating in the State of Florida which
are financed wholly or partly by state funds, and provides the authority for the Safety and
Security Oversight (SSO) Program Standards Manual for Fixed Guideway Transportation Systems
(SSO Manual). The SSO Manual is adopted by reference into Rule 14-15.017, Florida
Administrative Code (F.A.C.) and incorporated into the Rules of the Department.
The SSO Manual establishes system safety and security criteria for FGTSs operating in
Florida. It describes FGTS and FDOT responsibilities to implement Section 341.061(1) F.S., and
ensures ongoing communication between FDOT and each FGTS in the state, and ensures FDOT
communication with the FTA, including annual and periodic submissions.
The SSO Manual distinguishes between FGTSs that are subject to Federal and state
safety oversight (Part 659 and Section 341.061(1), F.S. requirements), and FGTSs that are
subject only to State safety oversight (Section 341.061(1), F.S. requirements). This report
addresses the FGTSs that are subject to both State and Federal oversight. A more detailed
explanation of how the FGTSs are differentiated can be found on pages 6 and 7.
SSOA Contacts
The SSOA is housed within FDOT’s Central Office in the Office of Freight, Logistics and
Passenger Operations in Tallahassee. Table 1 depicts FDOT’s SSOA contacts.
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Table 1. FDOT SSOA Contacts
Contact: Name, Title, and Phone
Victor Wiley, Transit Safety Programs Manager/State Safety Oversight Agency Manager 850-414-4525
Robert Westbrook, Transit Operations and Safety Administrator/SSOA Alternate 850-414-4533
Ed Coven, State Transit Manager/SSOA Alternate 850-414-4522
SSOA Support Team
FDOT contracts with AECOM Technical Services, Inc. to sub-contract the support
services of Transportation Resource Associates, Inc. (TRA). TRA provides support services
related to safety and security oversight for Florida’s FGTSs that are subject to both Part 659 and
Section 341.061(1), F.S. TRA is a professional consulting firm established in 1990 to serve clients
in the public and private passenger transportation sectors. TRA’s personnel provide technical
and management consulting services in the areas of system safety; security and emergency
preparedness; accident and incident investigation; transit and railway operations; maintenance
and operations analysis; transportation legislation and standards; transportation planning;
labor relations/human resources; and alternative transit services. TRA offers professional
services to state safety oversight (SSO) programs, transportation agencies, industry advocacy
groups, engineering and planning consultants, regulatory bodies, law enforcement
organizations, and others. For more information, please visit TRA’s website at
www.traonline.com. Table 2 depicts the TRA contractors that work most closely with Florida’s
SSOA.
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Table 2. TRA Support Team Working with the SSOA
Consultant and Phone Number Summary of Responsibilities
Christopher Wallgren, Vice President, Project Principal- TRA Project Lead 212-300-4287
Provides technical assistance to the FGTSs, provides analysis of accidents and incidents at the FGTSs, reviews and tracks corrective actions taken by FGTSs, ensures that the FGTSs comply with reporting requirements, reviews updates to the FGTSs system safety program plans, reviews internal safety review assessments, Performs onsite reviews of the FGTSs, holds reoccurring teleconferences with the FGTSs and FDOT.
Anthony Ferraro, Project Manager 813-513-4335
See responsibilities listed above.
Ashley Porter, In-House Consultant 850-414-4070
Assists with the collection, reviewing, and analyzing of relevant data, issues and state and Federal regulations to develop policy recommendations as the SSOA implements new provisions consistent with Federal requirements, communicates the new requirements, and develops training related to new requirements.
Florida’s FGTS
FGTS subject to regulation under Part 659 include systems that:
Are light, heavy, or rapid rail, monorail, inclined plane, funicular, trolley or automated
guideway that are not regulated by the FRA, and
Included in the FTA’s calculation of fixed guideway route miles; or
Receive funding under FTA’s formula program for urbanized areas, or
Have submitted documentation to the FTA indicating the intent to be included in the
FTA’s calculation of fixed guideway route miles to receive funding under the FTA’s
formula program for urbanized areas.
Additionally, pursuant to Section 341.061(1), F.S., FGTSs that are governmentally or
privately owned and operated and are financed wholly or partly by state funds are subject to
state safety standards established within the statute and the SSO Manual.
The State of Florida is home to the following FGTSs subject to both Part 659, Section
341.061(1), F.S., and the SSO Manual:
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The Hillsborough Area Regional Transit TECO Streetcar in Tampa: The TECO Streetcar line
consists of a 2.7 mile single-track route with eleven stations throughout Ybor City, Channelside,
and downtown Tampa.
Agency Mode Primary Safety/Security Contact
Secondary Safety/Security Contact
Hillsborough Area Regional Transit (HART)
Streetcar Michael Stephens Chief Business Enterprise & Safety Officer Phone: 813-623-5835
David Kelsey Safety and Security Administrator Phone: 813-384-6396
The Jacksonville Transportation Authority Automated Skyway Express: The Jacksonville
Skyway operates on 2.5 miles of elevated track through downtown Jacksonville. It currently
serves eight stations through two routes: the Northbank and Southbank lines.
Agency Mode Primary Safety/Security Contact
Secondary Safety/Security Contact
Jacksonville Transportation Authority (JTA)
Automated people mover
Safety: Colin Mulloy Chief of Safety and Security Phone: 904-630-3126 Security: John Mosley Security Supervisor Phone: 904-630-3126
Safety: Robert Raymond Safety and Emergency Officer Phone: 904-632-5505 Security: Colin Mulloy Chief of Safety and Security Phone: 904-630-3126
The Miami-Dade Transit Metromover and Metrorail: Miami-Dade Transit operates two
separate FGTS modes the Metromover and the Metrorail. The Metromover operates on 4.4
miles of track through Omni, downtown, and Brickell. Metrorail operates on 25 miles of dual
track from Miami International Airport through Kendall, South Miami, Coral Gables, downtown
Miami, the Civic Center/ Jackson Memorial Hospital area, Brownsville, Liberty City, Hialeah and
Medley. Metromover currently serves 21 stations and Metrorail serves 23 stations.
Agency Mode Primary Safety/Security Contact
Secondary Safety/Security Contact
Miami Dade Transit (MDT)
Metromover: Automated people mover, and Metrorail: elevated heavy rail rapid transit
Eric Muntan Chief, Office of Safety & Security Phone: 305-375-4240
Safety: Lee Vega Safety Manager Phone: 305-375-4240 Security: Pablo Castillo Interim Security Manager Phone: 305-375-4240
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The Wave Streetcar in Ft. Lauderdale: This system is currently in the design phase and
anticipated to begin service within the next few years. The South Florida Regional Transit
Authority is building the system; Broward County Transit will operate and maintain the system
once it begins service.
Agency Mode Primary Safety/Security Contact
Secondary Safety/Security Contact
Broward County Transit (BCT) and South Florida Regional Transportation Authority (SFRTA)
Streetcar BCT: Patrick Brouard Director of Rail Phone: 954-357-6187 BCT: Oscar Figueroa Manager of Safety and Compliance Phone: 954-357-9721 SFRTA: Brandy Creed Manager of Engineering and Construction Phone: 954-788-7927
SFRTA: Martin Benzaquen Project Manager 954-788-7902
Systems that are subject to Section 341.061(1), F.S. and the SSO Manual, but not Part
659, include the SFRTA Tri-Rail and Central Florida SunRail commuter trains, the Hillsborough
County Aviation Authority automated guideway at Tampa International Airport, the Miami-
Dade Aviation automated people mover systems at Miami International Airport, and the
Greater Orlando Aviation Authority automated guideway at Orlando International Airport.
This report addresses the SSOA’s activities relating to the systems that must adhere to
both the Federal and State requirements.
ADDRESSING CHANGES IN FEDERAL LAW
Currently, the SSOA program is undergoing a period of transition to meet the MAP-21
requirements. The FTA required the State of Florida to prepare an approved certification work
plan (CWP) to be eligible to receive Federal grant funds. FDOT developed a CWP that identifies
the activities that FDOT will undertake to meet the MAP-21 requirements.
Components of the CWP
In order to demonstrate compliance with MAP-21, FDOT committed to the FTA that it
will enhance various authorities related to FGTSs’ safety plans, including the ability to
investigate events and enforce corrective actions. FDOT also committed to demonstrating that
the staffing level of the SSOA is commensurate with the number, size, and complexity of the
FGTS in the state, and that the SSOA is financially and legally independent from the FGTSs,
including not employing anyone who is also employed by a FGTS. Additionally, FDOT committed
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to producing a report every year to summarize the status of FGTS safety to be distributed to the
FTA, the FGTSs’ boards of directors, and the Governor’s Office.
FDOT submitted letters to the FTA in December 2014 describing the legal and financial
independence of the Florida SSOA and the FGTSs. Please see Appendix A.
The SSOA is working to update the Department’s SSO Manual to incorporate the new
requirements. The SSOA Program Manager and consultant met with attorneys from the FDOT
Office of General Counsel and FDOT Forms and Procedures staff to discuss rule and manual
development and drafted language related to conflicts of interest for the update. Throughout
the reporting period, the SSOA researched examples of enforcement authority provisions and
accident investigation procedures to incorporate into the changes. The SSOA continues to
research and draft updates to the Manual.
Figure 1. Components of the CWP
Federal Funding
The FTA approved FDOT’s CWP in May 2014, and provided funding to help implement it
in September 2014. The FTA’s funding formula requires a 20 percent state match and is divided
into three factors: base tier, service tier, and modal factors. The formula grants an equal base
amount to each state, and then takes into account service tier factors which include fixed
guideway vehicle revenue miles, fixed guideway route miles, and fixed guideway vehicle
passenger miles attributable to all FGTS not regulated by the FRA within each eligible state. The
modal tier considers the number of separate FGTS modes subject to state safety oversight.
Based on this formula, Florida received $738,523 for fiscal year 2013 and $760,282 for fiscal
year 2014.
The funding must be used to strengthen the state safety oversight program so that
Florida can meet the MAP-21 requirements. The FTA provides examples of what the funding
Legal & Financial Independence
betweeen FGTS and SSOA
SSOA has authority to review, approve
oversee, and audit FGTS safety plans
SSOA has investigative and enforcement
authority in regards to FGTS safety
The SSOA is appropriately staffed
and staff is trained
SSOA produces and distributes an annual
report to FGTS, FTA, and Governor on FGTS safety
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may be used for on its website: http://www.fta.dot.gov/tso_15862.html#how-can-states-use
The examples include: additional audits and inspections, the tracking of corrective action plans
and additional verification and follow-ups, additional training and peer exchanges, wages for
SSOA personnel, travel costs, equipment, office supplies, and web-based information
management. FDOT uses a portion of this funding to contract with TRA to employ a full-time in-
house consultant to work with Transit Safety Programs Manager to implement the CWP.
FTA Notice of Proposed Rulemaking
On February 20, 2015 the FTA released its Notice of Proposed Rulemaking (NPRM)
related to State Safety Oversight for FGTS, 49 Code of Regulations Part 674 (Part 674). The
Federal Register published the NPRM on February 27. This proposed rule implements MAP-21
provisions.
Part 674 proposes a Safety Management Systems (SMS) approach to safety oversight.
SMS is a formal top-down, organization-wide, data-driven approach to managing safety risk and
ensuring the effectiveness of safety mitigations. It emphasizes accountability, transit agency-
wide reporting and communication, the proactive investigations of hazards, tools to monitor
safety performance, effective and efficient assurance activities, and balanced decision-making
regarding safety risk within operations and planning. This marks a shift from the historic
approach to transit safety, which was more reactive.
The proposed rule defines the terms “accidents,” “events,” “incidents,” “occurrence,”
and “serious injury,” among other terms, and requires the SSOA to independently investigate all
accidents and incidents. Currently, the SSO Manual requires the FGTSs to investigate each
reportable event, and authorizes FDOT to conduct independent investigations or participate in
a FGTS investigation for any reported event. The proposed definition of incident includes events
that are not currently considered reportable events, such as near misses and close calls. If the
FTA adopts the rule as proposed, and the SSOA is required to investigate all incidents as well as
accidents, this would result in increased travel and investigative costs for FDOT.
Penalties for Non-Compliance
Part 674 proposes to penalize states for noncompliance by withholding Federal funding.
If a State does not adopt a state safety oversight program that meets the requirements within
three years of the Rule’s effective date, the FTA will be prohibited from obligating any Federal
financial assistance to any entity in the State that is otherwise eligible to receive funding
through any of the FTA’s programs authorized by 49 U.S.C. Chapter 53. This includes funding for
public transportation agencies, designated recipients, sub-recipients, and Metropolitan
Planning Organizations. It is therefore of utmost importance that Florida’s SSOA work closely
with the FTA to adequately address the new requirements.
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FDOT, along with numerous other SSOAs and stakeholders, submitted comments on the
NPRM to the FTA on April 28, 2015 and is awaiting a response. FDOT’s comments are attached
as Appendix B.
FTA Interim Training Requirements
On February 27, 2015 the FTA published its Interim Safety Certification Training Program
Provisions in the Federal Register. Compliance with the Interim Provisions is a grant condition
for recipients of Federal transit funding. These provisions apply to Federal and SSOA personnel
and their contractors who conduct safety audits and examinations of public transportation
systems not otherwise regulated by another Federal agency, and FGTS staff who are directly
responsible for safety oversight (“covered personnel”). Each FGTS must designate its covered
personnel who are directly responsible for safety oversight of its rail transit system, and at a
minimum, covered personnel should include the Chief Safety Officer and the primary staff
directly responsible for safety oversight of the FGTS. The Interim Provisions define “directly
responsible” as “safety staff who participate in the development, implementation, or
maintenance of the requirements of the oversight agency’s program standard.”
The Interim Provisions establish a required curriculum that must be completed by
covered personnel within three years. Covered personnel are required to register for an
individual training plan profile with the FTA. This may be done online here:
https://safety.fta.dot.gov/cms/welcome
On June 18 and 19, 2015 the Transit Safety Programs Manager and two of the SSOA’s
support team members participated in a new training course pursuant to the Interim
Provisions, SMS Principles for Transit. The Transit Safety Programs Manager and support team
will continue to monitor the course offerings and complete the required curriculum within
three years.
The Interim Provisions also require SSOAs to prepare and submit technical training plans
to the FTA. The technical training plan must describe the process for the applicable SSOA
personnel to receive technical training from the FGTSs in the following competency areas:
FGTS agency organizational structure
System Safety Program Plan and Security Program Plan
Territory and revenue service schedules
Current bulletins, general orders, and other associated directives that ensure
safe operations
Operations and maintenance rule books
Safety rules
Standard Operating Procedures
Roadway Worker Protection
Employee Hours of Service and Fatigue Management program
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Employee Observation and Testing Program (Efficiency Testing)
Employee training and certification requirements
Vehicle inspection and maintenance programs, schedules, and records
Track inspection and maintenance programs, schedules, and records
Tunnels, bridges, and other structures inspection and maintenance programs,
schedules, and records
Traction power (substation overhead catenary system, and third rail), load
dispatching, inspection and maintenance programs, schedules, and records
Signal and train control inspection and maintenance programs, schedules, and
records
The FTA hosted a webinar and a teleconference to discuss the technical training plans.
The Transit Program Manager and the support team participated in both. Originally the FTA
required the technical training plans to be submitted by May 28, 2015, but then issued an
extension applicable to all states to September 4, 2015. The SSOA is working to complete and
submit the plan by this date.
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IMPLEMENTATION OF EXISTING REGULATIONS
While working to meet the new Map-21 requirements, the FDOT SSOA will continue to
administer the current program pursuant to Part 659 and Section 341.061, F.S. The following
are key performance areas of the SSOA’s safety and security oversight functions.
Regularly Scheduled Technical Meetings and On-Site Assistance
The SSOA is on-call for all of the FGTS. The agencies may contact the Transit Program
Manager and the support team at any time with information requests, requests for best
practices analyses, assistance with reporting requirements, and any other questions. In addition
to this on-call availability, the SSOA performs scheduled on-site technical assistance, review
sessions, and teleconferences. Each month, a regularly scheduled activity occurs: either an on-
site review or a teleconference.
During the on-site reviews, the SSOA meets with FGTS safety, operations, and
maintenance personnel. Each on-site review includes a regular progress meeting with the
safety and security staff, targeted field review activities, and field verifications of corrective
action plan (CAP) implementation to ensure that intended and required actions are
administered according to the accepted corrective plan. Additionally, during each on-site
review the SSOA team conducts independent audits of rules and procedure compliance,
inspects equipment and infrastructure, and ensures that the agencies are complying with the
provisions of the SSO Manual, their System Safety Program Plans and Security Program Plans.
In months without an on-site review, a comprehensive teleconference between the
SSOA and the FGTS is held. Each teleconference is scheduled to afford essential managers from
the FGTS the opportunity to discuss and provide updates regarding current and emerging safety
and security issues and CAPs, open safety and security investigations, safety and security
submittals, and other safety- and/or security-related operations and maintenance issues, as
necessary.
The SSOA conducts monthly teleconferences with BCT and SFRTA regarding the Wave
streetcar system and participates in quarterly calls conducted by the FTA. While the streetcar is
in the design phase, the SSOA must monitor the preliminary program activities for
preparedness to comply with Federal and State regulations. Involvement at this early stage
provides the SSOA with an understanding of the project and an ability to advise on any safety or
security-critical issues.
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Tables 3. and 4. Scheduled Meetings with FGTS
Summary of Scheduled FDOT SSO Meetings and On-Site Technical Assistance
MDT JTA HART Wave
January 2015 Teleconference Teleconference Teleconference Teleconference
February 2015 Triennial Audit On-site Review On-site Review Teleconference
March 2015 Teleconference Teleconference Teleconference Teleconference
April 2015 On-site Review* On-site Review On-site Review Teleconference
May 2015 Teleconference Teleconference Teleconference Teleconference
June 2015 On-site Review** Teleconference On-site Review Teleconference
*On-site reviews conducted by an individual team member are depicted in gray
**On-site reviews conducted by multiple SSOA team members are depicted in blue
Summary of FDOT SSO Meetings and On-Site Technical Assistance Performed
Miami-Dade Transit Metrorail & Metromover
Bimonthly teleconference held on January 27
Triennial Audit held February 9-13; 17-19 (in lieu of a regular on-site review)
Bimonthly teleconference held on March 25
Bimonthly teleconference held May 29
On-site review held June 29 through July 1
Jacksonville Transportation Authority Skyway
Bimonthly teleconference held January 29
On-site review held on February 19
Bimonthly teleconference held on March 26
On-site review held April 22-23
Monthly teleconference held May 29
On-site review held on June 8
Monthly teleconference held June 26
Hillsborough Area Regional Transit TECO Line Streetcar
Monthly meeting on safety and CAPs held January 19
Bimonthly teleconference held on January 27
Monthly meeting on safety and CAPs held on February 16
On-site visit held on February 25
Monthly meeting on safety and CAPs held March 16
Bimonthly teleconference held on March 25
On-site visit held April 29-30
Bimonthly teleconference held June 4
Monthly meeting on safety and CAPs held June 24
South Florida Regional Transportation Authority/Broward County Transit WAVE Streetcar
Monthly teleconference held on January 23
In-person meeting with stakeholders held on February 12
Monthly teleconference held on March 26
FTA quarterly meeting held April 16
Monthly teleconference held May 26
Monthly teleconference held June 30 (rescheduled to July 7)
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Reportable Events and Hazards Tracking Oversight
The SSOA provides ongoing reviews of accidents, incidents and hazardous conditions.
Florida’s SSO Manual requires that the FGTS shall notify the Department when one or more of
the following occurs:
A fatality at the scene; or where an individual is confirmed dead within 30 calendar days
of a transit-related incident;
Injuries requiring immediate medical attention away from the scene for two or more
individuals;
Property damage to FGTS vehicles, non-FGTS vehicles, other FGTS property or facilities,
and non-FGTS property that equals or exceeds $25,000;
An evacuation due to life safety reasons;
A collision at a grade crossing;
A main-line derailment;
A collision with an individual on a FGTS right-of-way;
A collision between a FGTS vehicle and a second FGTS vehicle or a FGTS non-revenue
vehicle
The SSOA maintains an online document management system, which allows the FGTSs to
access and upload important safety-related forms and checklists. When a reportable event
occurs, the FGTSs must notify the SSOA within two hours of its occurrence and upload a
Reportable Event Initial Notification Form. The SSOA reviews and provides comments on all
initial notifications of events submitted by FGTSs. Following the initial notification, the SSOA
contacts the FGTS to request additional information and to provide a follow-up on any
immediate corrective actions.
Table 5. Reportable Events 2014 and January-June 2015
Agency Number of Reportable Events 2014 (total)
Number of Reportable Events January-June 2015
HART 12 9
MDT 3 2
JTA 4 1
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The SSOA monitors each FGTSs’ status in terms of submitting incident investigation
reports in accordance with the SSO Manual requirements. The SSOA also reviews the monthly
Hazard and Corrective Action Tracking Log (SSO-13 forms) submitted by the FGTSs as part of the
monthly reviews of safety and security data.
Corrective Action Plans
The FGTSs are required to prepare a corrective action plan (CAP) when an investigation
identifies causal factors and the FGTS or SSOA determines that the causal factors require
corrective action. FGTSs are also required to develop a CAP when hazards or deficiencies are
identified in safety or security audits and reviews. CAPs must identify the actions to be taken by
the FGTS, an implementation schedule, and the individual or department responsible for the
implementation. The SSOA must review and approve all proposed CAPs. The number of CAPs by
FGTS is depicted in Table 6.
Once a FGTS has identified a finding requiring a CAP, the SSOA engages a three-step
process to fulfill responsibilities related to CAPs:
1. The SSOA reviews proposed CAPs and determines if they are acceptable;
2. Once a proposed CAP is approved, the SSOA tracks the progress of
implementation and provides technical assistance to the FGTS, as necessary; and
3. The SSOA reviews documentation for completed CAPs, verifies that this
information demonstrates appropriate actions to correct deficiencies, and closes
the CAP.
Table 6. Formal CAPs by FGTS
Agency CAPs Initiated in January through June 30, 2015
CAPs Closed January through June 30, 2015 (includes conditional closures)
Total Overall Number of Open CAPs June 30, 2015
Hillsborough Area Regional Transit
TECO Line Streetcar
0 8 14
Miami-Dade Metromover and
Metrorail
1 13 40*
Jacksonville Transportation
Authority Skyway
0 7 8
* Includes internal audit program CAPs
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Internal Safety Review Assessments
Each FGTS is required to maintain a System Safety Program Plan (SSPP) and Security
Program Plan. The SSO Manual requires the SSPP to contain 21 elements to provide the basis
for the FGTSs safety programs, and the Security Program Plan to contain 18 elements. Each
FGTS is required to review and update these plans over a three-year period. Typically, each
FGTS reviews one-third of the elements of each plan annually. The FGTSs must develop
appropriate internal audit checklists and provide them to the SSOA for review and approval at
least 30 days prior to conducting the reviews. At the conclusion of the FGTSs’ reviews, the
FGTSs must submit the results of the review to the SSOA. They must describe their findings,
recommendations, and status of corrective actions. Any deficiencies must go through the CAP
process.
Triennial Audits
The SSOA is required to perform a Triennial Audit of each FGTSs’ compliance with their
SSPPs and Security Program Plans and the requirements established in the SSO Manual and Part
659. The Triennial Audit is an intensive multi-day audit of safety in all applicable FGTS
operations, maintenance, training, and administration.
The SSOA performed the most recent audit of JTA in November, 2013
The SSOA performed the most recent audit of HART in November, 2012
The SSOA is not required to perform a Triennial Audit of the WAVE until it is in revenue
operation.
The SSOA performed a comprehensive Triennial Audit of the MDT Metrorail and
Metromover fixed guideway systems during the weeks of February 9 and February 16, 2015.
Ten experts in rail transit safety, security operations, maintenance, training, and administration
comprised the team led by the FDOT Transit Programs Manager in conducting in-depth
interviews, operations and maintenance performance audits, records reviews, and other audit
activities to assess MDT’s compliance with its own SSPP, rules, procedures, as well as FDOT and
FTA requirements. The SSOA presented preliminary findings on February 13 and performed
additional audit activities the following week. The SSOA submitted its final report to MDT on
June 16, 2015. MDT is granted 30 calendar days to develop appropriate CAPs, including an
implementation schedule, and submit them to the SSOA for approval.
UPCOMING EVENTS
The SSOA and FTA have a conference call scheduled for July 23, 2015 to discuss the
progress of the implementation of the CWP.
The FTA is hosting a conference for SSOA program managers September 28 through
October 2, 2015 in Baltimore, Maryland.
The SSOA’s Triennial Audit of HART is scheduled for November 2015.
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Victor Wiley, CPM, Transit Safety Programs Manager, FDOT
850-414-4525
Christopher Wallgren, Vice President, TRA, Inc.
212-300-4287
Anthony Ferraro, Project Manager, TRA, Inc.
813-513-4335
Ashley L. Porter, In-House Consultant, FDOT State Safety Oversight Program
850-414-4070
Appendix A:
FDOT Letters to FTA on Financial and Legal Independence
Appendix B:
FDOT Comments on NPRM for 49 CFR Part 674
Centennial
1915 * 2015
Florida Department of Transportation RICK SCOTT GOVERNOR
605 Suwatmee Street Tallahassee, FL 32399-0450
April 28, 2015
United States Department ofTransportation Docket Management Facility 1200 New Jersey Avenue S.E. W12-140 Washington, DC 20590-0001
RE: Docket Number FTA-2015-0003
Dear Sir or Madam:
JIM BOXOLD SECRETARY
Thank you for the opportunity to provide comments on the Notice of Proposed Rulemaking Part 674 regarding State Safety Oversight. The Florida Department of Transportation (FDOT) reviewed the Notice and identifies comments on the following sections: 674.1 Purpose, 674.7 Definitions, 674.19 Certification of a State Safety Oversight Program, 674.21 Withholding of Federal Financial Assistance for Noncompliance, 674.25 Role ofthe State Oversight Agency, 674.27 State Safety Program Standards, 674.29 Transit Agency Safety Plans: General Requirements, 674.31 Triennial Audits: General Requirements, 674.33 Notifications: Accidents and Incidents, 674.35 Investigations, and 674.37 Corrective Action Plans.
As the State Safety Oversight Agency for the State of Florida, the proposed rule would affect our daily responsibilities. We respectfully request that you take our comments and recommendations into consideration. We appreciate the opportunity to comment and we are available to discuss any questions or provide additional information.
Attachment
www. dot. state. fl. us
FOOT Comments on Docket Number FTA-2015-0003
49 CFR Part 674
RIN 2132-AB19
The Florida Department of Transportation (FOOT) provides the following comments on the above-referenced U.S. Department of Transportation, Federal Transit Administration, Notice of Proposed Rule Making (NPRM):
Section 674.1: Purpose
FOOT agrees with the following comment on this section provided by the National Transportation Safety Board (NTSB) in a letter dated April17, 2015 which states in part:
"While this NPRM pertains only to the state safety oversight program authorized by 49 U.S. C. 5329{e), we are concerned that this NPRM does not address the National Public Transportation Safety Plan, as required by Section 5329{b) and the Public Transportation Agency Safety Plans that are required by Section 5329{d). This proposed rule merely contains references to anticipated rulemakings which will address the required safety plans. As discussed below, it is difficult to provide comprehensive comments without the full knowledge of the regulatory structure to be proposed." NTSB
Section 674.7: Definitions
• The proposed definition of "incident" does not include evacuations. Evacuations that are performed to prevent injury or loss of life are covered under the definition of accident, but evacuations performed under other circumstances could place patrons in an unsafe condition of which the State Safety Oversight Agency (SSOA) should be made aware. For example, an evacuation due to power failure, which involves passengers evacuating onto the guideway. FOOT recommends including "evacuations of patrons onto the guideway" under the definition of incident. Additionally, FOOT recommends that FTA be more specific regarding the "violation of a safety standard" clause. This statement is too broad and should be specific.
• FOOT proposes that the definition of "accident" also include all collisions at grade crossings, regardless of the cost of property or equipment damage.
• The proposed definition of serious injury includes any injury which requires hospitalization for more than 48 hours commencing within seven days from the date the injury was received, the fracture of any bones with exceptions, severe hemorrhages, nerve, muscle, or tendon damage, involves any internal organ, involves second or third degree burns or burns affecting more than five percent of the body. Given Federal and state health privacy laws, particularly the Healthcare
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Insurance Portability and Accountability Act (HIPAA), it is unclear, under this definition and time frame, how the SSOA will determine if a serious injury has occurred. We recommend that the FTA provide guidance on how rail transit agencies (RTAs) and SSOAs should obtain this information from injured passengers or health care facilities.
• FOOT recommends including definitions for a "near miss~~ and "close call'' that apply to all RTAs.
FOOT supports the following changes recommended by the NTSB:
"We recommend the addition of three new definitions:
Close Call or Near Miss Reporting means a confidential reporting system to report safety hazards or events that do not result in accidents or incidents NTSB means the National Transportation Safety Board Security means freedom from harm resulting from intentional acts or circumstances
We suggest replacing 'railyard' in the definition of Incident with 'other than main track or main line.'
We recommend adding 'person waiting to board train in station or on platform' to the definition of Passenger.
Considering that many rail transit agencies engage contractors or consultants to aid in the responsibility for safety oversight, we recommend adding 'contractors' to 'employees of public transportation agencies directly responsible for safety oversight' in the definition of Public Transportation Safety Certification Training Program."
Section 674.19: Certification of a State Safety Oversight Program and 674.25 Role of the State Safety Oversight Agency
Proposed Section 674.19 requires the Administrator ofthe FTA to determine whether a State Safety Oversight Program is adequate to promote the purposes of 49 U.S.C. 5329, including but not limited to, the National Public Transportation Plan, the Public Transportation Safety Certification Training Certification Program, and the Public Transportation Agency Safety Plans. Likewise, proposed Section 674.25(a) requires the SSOAs to establish minimum standards consistent with the National Public Safety Transportation Plan and the Public Transportation Safety Certification Training Program.
FOOT recommends that the FTA rethink issuing the SSOA Regulation (674) until the other regulations referenced in this notice are completed.
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It is difficult to commit to a plan(s) that has yet to be developed, reviewed, and adopted. Rule-making is a time-intensive and costly endeavor for state agencies, so it would not be prudent for us to revise our standards without knowing that they will be consistent with these plans. FDOT recommends that the FTA either require compliance with existing effective regulations or issue NPRMs on all referenced Federal regulations so that SSOA's and other parties are better able to comment on this area.
FDOT agrees with the following comment provided by the NTSB:
" ... it will be difficult to determine whether a State Safety Oversight 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 before those rulemakings are completed.4 In particular, without additional regulations it will be difficult for a state to develop a program that is considered "adequate to promote the purposes of 49 U.S. C 5329."
Section 674.21(b): Withholding of Federal Financial Assistance for Noncompliance
The FDOT understands the need to have penalties for non-compliance, however the FDOT feels that the language in 674.21(b) would set up the situation where rural transit, with no fixed guideway systems, cou ld be penalized iffunding was withheld under the current language stating, " ... FTA will be prohibited from obligating Federal financial assistance apportioned under 49 U.S.C. 5338 to any entity in the State otherwise eligible to receive that Federal financial assistance, in accordance with 49 U.S.C. 5329(e)(3)."
The FDOT strongly believes penalties, such as withholding Federal financial assistance, should not extend beyond Sections 5329 and 5337 funding.
Section 674.25: Role of the State Safety Oversight Agency
FDOT identifies comments related to this section related to references to Federal regulations that have not been developed (see above) and concerns related to the SSOA's primary responsibility for investigations (see below).
Section 674.29: Transit Agency Safety Plans: General Requirements
We concur with the following comment on this section provided by the NTSB which states in part:
"We think the terms 'sufficiently explicit' and 'adequate means' will likely lead to inconsistency in transit agency safety plans. The terms of the Public Transportation Agency Safety Plan should be outlined in detail in the yet-to-bepublished rule as required by MAP-21. This methodology will also enhance the
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ability of states to determine whether an individual rail transit agency's safety plan is adequate."
Section 674.31: Triennial Audits: General Requirements
FOOT identifies concerns with this section that are described in our comment on Corrective Action Plans (see below).
Section 674.33: Notifications: Accidents and Incidents
We concur with the following comment on this section provided by the NTSB which states in part:
" ... section 674.27 of this proposed rule includes the requirement for the states to include accident and incident notification in the individual state program standards. This section of the proposed rule refers to 49 CFR 674.39{b}, a rule that is yet to be published for public comment in the Federal Register and is not in effect now. It is difficult for us to make meaningful comments without having reviewed the companion regulations to this rule, which we anticipate will be forthcoming."
Section 674.35: Investigations
The proposed regulation requires that the SSOA must conduct an independent investigation of any accident or incident that is reported to the SSOA and the Administrator in accordance with 674.33(a).
• FOOT currently requires RTAs to investigate, at a minimum, events involving a rail transit vehicle or taking place on rail transit-controlled property that meets the notification thresholds identified in our State Standard that are consistent with CFR Part 659.33(a). NPRM 674.27 (7) requires the SSOA program standard to identify thresholds for incidents and accidents that require a Rail Transit Agency to conduct an investigation.
• NPRM 674.33, as proposed, will increase the number of events that will require an SSOA investigation. The FTA did not provide ample evidence that it fully accounted for the cost of the SSOAs to investigate these events. FOOT believes that an investigation of all incidents and accidents by the SSOA will be prohibitively time-consuming, expensive, and counterproductive. FTA must consider states with multiple agencies and multiple modes that are not centrally located in one area of the State. The Florida SSOA is housed in Tallahassee, whereas the rail transit agencies subject to oversight are located in Tampa, Jacksonville, and Miami, with Ft. Lauderdale opening a 2.7 mile streetcar system within the next couple of years. Due to the distance of these rail transit agencies from each other, wherever we base an SSOA accident investigator, possible overnight travel may be required. Miami and Jacksonville are 350 miles apart,
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Tampa and Miami are 280 miles apart, Tampa and Jacksonville are 200 miles apart. In addition to salary and benefits, the SSOA will be required to pay for hotel per day on site, per diem, flights, or gasoline, and mileage reimbursement or a rental car, follow up investigations, etc. If the FTA adopts the language that requires the SSOA to investigate all accidents and incidents, then we recommend that FTA funding formula that provides base tier funding that takes into account the number of modes, revenue miles, route miles and passenger miles, should also take into account the different modal types, number of transit agencies, and the distance between these transit agencies. If two events occur at the same time or within days of each other, it would be difficult to be onsite immediately. The SSOA would either have to have on its staff multiple investigators, and/or rely solely on the preliminary evidence collected by the RTA.
• FOOT recommends that the regulation allow the SSOAs the discretion to delegate the investigations of incidents solely to the RTA, unless the immediate event is a continuation of a repeated occurrence or some other unsafe factor that will require immediate SSOA involvement. This allows the SSOA to focus on the investigation of accidents and other responsibilities as defined in the NPRM. Without the ability to delegate some or all of these incident investigations, FOOT fears that we will be overburdened with travel costs and that investigations may become backlogged. FOOT believes that delegating the investigations will not compromise safety and will allow for more meaningful and efficient state safety oversight.
FOOT concurs with the following comments provided by the NTSB:
"Delegation of less serious, non-fatal events would allow state and federal resources to be prioritized to support and oversee other safety oversight activities to ensure public safety. Although lesser events do need to be investigated by individual transit agencies as a major component of SMS, the requirement for the states to investigate all events will likely consume state safety oversight resources that could better be used to review reported trends of Jesser events and assist transit agencies in identifying areas for continual improvement."
"We have concerns that states have primary responsibility for the investigation of any hazard or risk that threatens the safety of a rail fixed guideway public transportation system or any allegation of noncompliance with a Transit Agency Safety Plan within their oversight. Although we are encouraged by the inclusion of state safety oversight in these critical safety activities, we are concerned that there is no provision
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for delegation of investigative activities to the transit agency, where appropriate, and that this burden could distract from the real purpose of safety oversight by requiring that states be responsible for activities that should be part of the agency's safety program."
Section 674.37: Corrective Action Plans
(includes references to Sections 674.7 Definitions, 674.27 State Safety Program Standards, 674.31 Triennial Audits: General Requirements, 674.35 Investigations, and 674.37 Corrective Action Plans)
In Section 674.7, the proposed rule defines a corrective action plan (CAP) as a plan developed by a RTA that describes actions a RTA will take to address risks and hazards. Section 674.37(a) states that in any instance where a RTA must develop and carry out a CAP the SSOA must review and approve the plan. Section 674.27(8) states that the program standard must explain the criteria and process by which the SSOA may order a RTA to develop and carry out a CAP.
However, Section 674.35(b) states that SSOAs must issue reports on investigations and that the reports must set forth a CAP as necessary or appropriate. Likewise, 674.31 states that at the conclusion of the three-year audit cycle, the SSOA shall issue a report that must include a corrective action plan if necessary or appropriate.
We recommend that the FTA amend Sections 674.31 and 674.3S(b) to clarify that the RTAs prepare the CAP(s). Alternatively, the FTA should clarify Section 674.7 to provide that if a RTA fails to prepare a CAP, the SSOA may prepare a CAP.
Section 674.37(a) proposes that in any instance in which a RTA must develop and carry out a CAP, the SSOA must review and approve it before the RTA carries out the plan. It is unclear if this section applies to CAPs initiated by the RTA or only those CAPs required by the SSOA.
We recommend that the FTA clarify this section to state ifthe SSOAs are required to review and approve CAPs initiated as part of internal audits and/or non-reportable events.
Additionally, we agree with the following comment provided to you by the NTSB:
" ... this subsection requires that the state safety oversight agency review and approve any corrective action plan before the rail transit agency carries out the plan. We suggest the inclusion of a provision for the rail transit agency to take immediate action when circumstances are such that delay in action could lead to reoccurrence of the event or pose safety hazards for the public."
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