MAP-21 Amendments to 49 U.S.C. 5329

Heavy Rail Chicago Transit Authority “L”

Light Rail Port Authority of Alleghany County “T”

Automated Guideway Seattle Center Monorail

Trolley Kenosha Transit

Cable Car San Francisco Municipal Railway

Inclined Plane Port Authority of Alleghany Co.

1.42

0.03 0.06 0.010

0.00

0.40

0.80

1.20

1.60

Motor Vehicle Amtrak (FRA jurisdiction) Commuter Rail (FRA jurisdiction) Rail Transit (State Safety Oversight jurisdiction)

Passenger Fatality Rate by Mode (2002-8 per 100 million passenger miles)

61.34

8.69 4.43 1.300

0.00

20.00

40.00

60.00

80.00

Motor Vehicle Amtrak (FRA jurisdiction) Commuter Rail (FRA jurisdiction) Rail Transit (State Safety Oversight jurisdiction)

Passenger Injury Rate by Mode (2002-8 per 100 million passenger miles)

Current Status 49 U.S.C. 5330, State Safety Oversight Requires States to establish and carry out a safety program plan for rail fixed guideway systems Applies to rail fixed guideway systems in the design and construction stages, as well as systems in revenue service. Systems that operate in two or more States are required to have a unified safety program plan.

Current Status

No Federal funding for SSOs Expertise, staffing levels and enforcement authority vary widely Some SSOs not financially independent from transit agencies FTA has only 2.5 FTEs to provide oversight of the program

WMATA June 22, 2009

Events

WMATA crash 06-22-09 National Metro Safety Act 07/23/09, S. 1506 Companion bill in House 07/24/09, H.R. 3338

Administration bill proposed 12/08/09 House and Senate safety hearings Dec. 2009 Administration bill introduced 02/22/10 S. 3015; H.R. 4643

Senate bill S. 3638 marked up 06/29/10 S. 1813, Senate-passed reauthorization 03/14/12 MAP-21, signed into law 07/06/12

MAP-21 Amends 49 U.S.C. 5329 S. 3638 the basis for the final bill Requires the Secretary to establish a national

safety plan for all public transportation systems that includes Safety performance criteria Definition of State of Good Repair Minimum safety performance standards for vehicles Certification training program for SSO employees and

contractors and public transit agency employees directly responsible for safety oversight

Safety Certification Training Program Certification training program for

Federal and State employees and contractors who conduct safety audits, and public transit agency employees directly responsible for safety oversight

Secretary must establish interim provisions within 90 days, which will be in effect until a final rule is published

Public Transportation Agency Safety Plan

Purpose: to encourage a “culture of safety” BOD or equivalent must approve Includes

• Methods to identify and evaluate safety risks • Strategies to minimize exposure to hazards and unsafe conditions • Annual review and update • Performance targets based on the safety performance criteria and

state of good repair standards established in the National Safety Plan

• Requires assignment of adequately trained safety officer who will report to the General Manager

• Requires a comprehensive staff training program

Public Transportation Agency Safety Plan Interim safety plan – A system safety plan

developed pursuant to 49 CFR part 659 (rail fixed guideway safety plans) remains in effect until one year after the effective date of the final rule

Section 5311 recipients may follow a plan drafted and certified by the recipient or the State

Secretary shall issue a rule designating Section 5307 recipients that are “small transit providers” and allow them to have their safety plans drafted or certified by a State

State Safety Oversight Program Same applicability as current 5330 Takes effect 3 years after final rule Tied to chapter 53 funding Secretary may temporarily withdraw approval Approved program must –

Assume responsibility for oversight of rail safety Adopt and enforce Federal and State safety laws Establish SSOA Determine staffing levels Require training and certification for personnel Prohibit transit agencies from funding SSOA

SSO Agency The SSO Agency must – Be financially and legally independent of public transit

agencies that it oversees Not directly provide public transportation services in an

area with rail fixed guideway systems Not employ any individual who is also responsible for the

administration of rail fixed guideway programs Have authority to oversee implementation of the rail

transit agency’s safety plan Have investigative and enforcement authority Audit the rail public transit agency at least once triennially Provide annual status report to FTA, Governor, and board

of directors of the rail transit agency

SSO Agencies

States with small rail fixed guideway systems may request a waiver from two of the requirements Financially and legally independent entity Allows State DOT personnel to provide oversight

States sharing jurisdiction of a rail transit agency

must establish SSO program jointly or designate an entity to carry out the program

State Safety Oversight Grants States must submit an SSO program to FTA for

approval 80 percent Federal share Local share may not be met by any Federal funds, any

funds received from a public transit agency, or any revenues earned by a public transit agency

Recipients may use section 5307 and 5311 formula funds to pay up to 80 percent of the cost of SSOA and other safety oversight staff training

Certification of SSOAs • Secretary will determine whether each State safety oversight

program meets the statutory requirements and is adequate to promote the purposes of section 5329

• Secretary shall issue a certification or a denial of certification – State will be permitted to modify and resubmit its SSO program for

approval – If the program continues to not be adequate, the Secretary shall notify

the Governor of the State of the denial of certification – The Secretary may withhold State safety oversight funds – The secretary may withhold up to 5 percent of section 5307 funds – The Secretary may require rail fixed guideway systems to use up to 100

percent of Federal assistance made available under chapter 53 for safety-related improvements

FTA Role FTA will Continually evaluate the

implementation of SSO programs Submit annual reports to Senate

Banking and House T&I Provide oversight of the SSOAs Audit the SSOAs at least triennially Issue regulations

Authority of Secretary In carrying out section 5329 the Secretary

may – Conduct inspections, audits, examinations Make reports and issue directives Issue subpoenas and take depositions Require production of documents Investigate accidents and issue guidance on accident

prevention Enter and inspect transit facilities Issue regulations to carry out the section

Enforcement Actions

The Secretary may enforce Federal safety law through – Directives More frequent oversight More frequent reporting Grant conditions Only if there is a pattern or practice of serious safety

violations or refusal to comply with Federal law related to safety

Withholding funds

Rulemakings

• National public transportation safety plan • Public transportation safety certification • Public transportation agency safety plan

– “Small 5307 providers” rulemaking

• State safety oversight • Definition of state of good repair (5326) • Other rules to carry out section 5329

Related Provisions

Funding • 49 U.S.C. 5336(h)

• .5 percent of the funds available to carry out section 5307 shall be apportioned to eligible States for State safety oversight grants

• 49 U.S.C. 5338(h)(2) • Not less than $5 million of FTA Admin shall be available to carry out section 5329

Transit Asset Management

The Secretary shall establish a transit asset management system, which shall include – A definition of the term “state of good repair” A requirement that recipients and subrecipients develop a

transit asset management plan A requirement that designated recipients will report on the

condition of the system of the recipient, and provide a description of the change in condition since the last report

An analytical process or decision support tool for use by recipients

Technical assistance for recipients

NTD

Recipients are required to report information relating to a transit asset inventory or condition assessment conducted by the recipient The Secretary must develop and implement

appropriate internal controls to ensure public transportation safety incident data is accurately and reliably reported