[Federal Register Volume 79, Number 83 (Wednesday, April 30, 2014)]
[Proposed Rules]
[Pages 24363-24370]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-09778]


=======================================================================
-----------------------------------------------------------------------

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 proposed interim safety certification training 
provisions; request for comments.

-----------------------------------------------------------------------

SUMMARY: This document seeks public comment on FTA's proposed 
requirements for the interim safety certification training provisions 
for Federal and State safety oversight personnel and their contractor 
support who conduct safety audits and examinations of public 
transportation systems not otherwise regulated by another Federal 
agency. Additionally, FTA proposes that designated safety oversight 
personnel of public transportation systems that receive Federal transit 
funding may voluntarily participate in the interim safety certification 
training program.

DATES: Comments must be received on or before June 30, 2014. Any 
comments received after the deadline will be considered to the extent 
practicable.

ADDRESSES: Please submit your comments by only one of the following 
methods, and please identify your submission by docket number FTA-2014-
0012:
     Federal eRulemaking Portal: Go to http://www.regulations.gov and follow the online instructions for submitting 
comments.
     U.S. Mail: Send comments to Docket Management Facility, 
U.S. Department of Transportation, 1200 New Jersey Avenue SE., West 
Building Ground Floor, Room W12-140, Washington, DC 20590-0001.
     Fax: Send comments to Docket Operations at (202) 493-2251.
     Hand Delivery or Courier: Bring comments to Docket 
Operations in Room W12-140 on the ground floor of the West Building, 
U.S. Department of Transportation headquarters, 1200 New Jersey Avenue 
SE., Washington, DC, between 9 a.m. and 5 p.m. Eastern time, Monday 
through Friday except Federal holidays.
    Instructions: You must include the agency name (Federal Transit 
Administration) and docket number (FTA-2014-0012) for this document at 
the beginning of your comments. Submit two copies of your comments if 
you submit them by mail. For confirmation that FTA received your 
comments, include a self-addressed, stamped postcard. Please be aware 
that all comments received will be posted without change to 
www.regulations.gov, including any personal information provided, and 
will be available to internet users. You may review DOT's complete 
Privacy Act Statement published in the Federal Register on April 11, 
2000, at 65 FR 19477.
    Docket Access: For access to the docket to read background 
documents and comments received, go to www.regulations.gov at any time 
or to the Docket Management Facility at the U.S. Department of 
Transportation, 1200 New Jersey Avenue SE., Washington, DC, in Room 
W12-140 on the ground floor of the West Building between 9 a.m. and 5 
p.m. Eastern time, Monday through Friday except Federal holidays.

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: 
[email protected]). For legal issues, contact Bruce Walker, FTA, 
Office of Chief Counsel, 1200 New Jersey Avenue SE., Washington, DC 
20590 (telephone: 202-366-9109 or email: [email protected]). Office 
hours are Monday through Friday from 8 a.m. to 6 p.m. (EST), except 
Federal holidays.

SUPPLEMENTARY INFORMATION:
I. Overview
II. Purpose
III. Applicability
IV. Interim Safety Certification Training Provisions
    A. Components of the Interim Provisions
    1. Safety Management System Training Component
    2. Technical Training Component
V. Next Steps and Public Participation

I. Overview

    On July 6, 2012, President Obama signed into law the Moving Ahead 
for Progress in the 21st Century Act, Public Law 112-141, (``MAP-21''), 
which sets a new framework for Federal public transportation safety 
programs. MAP-21 provides FTA with authority to set new rules and 
standards for how FTA, State Safety Oversight Agencies (SSOAs), transit 
agencies, and other transit stakeholders will work together to ensure 
the safety of transit riders, employees, and the public.
    As part of this safety authority, MAP-21 requires FTA to establish 
a safety certification training program for Federal, State, and other 
designated personnel directly responsible for safety oversight of 
public transportation systems. 49 U.S.C. 5329(c). As required by 
subsection (c)(1), FTA will establish a permanent training program 
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, 2013.\1\ FTA is currently reviewing the 
comments received to the ANPRM and will move forward as expeditiously 
as possible on notices of proposed rulemakings on all aspects of the 
ANPRM, including the training provisions.
---------------------------------------------------------------------------

    \1\ FTA ANPRM, ``The National Public Transportation Safety Plan, 
the Public Transportation Agency Safety Plan, and the Public 
Transportation Safety Certification Training Program; Transit Asset 
Management,'' at 78 FR 61251 (Oct 3, 2013), available at http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-23921.pdf.
---------------------------------------------------------------------------

    However, prior to the finalization of a permanent program, pursuant 
to 49 U.S.C. 5329(c)(2), Congress required FTA to establish ``interim 
provisions'' for the certification and training of safety oversight 
personnel. The interim provisions will be in effect until the effective 
date of the final rule established under subsection (c)(1).
    This notice proposes the interim provisions required by 49 U.S.C. 
5329(c)(2). Once the interim provisions take effect, compliance with 
the interim provisions will be incorporated as a grant condition for 
State Safety Oversight Agency (SSOA) 5329(e) grant recipients and will 
be a recommended voluntary activity for FTA rail fixed guideway 
recipients of section 5307 and 5311 funding. In addition, recognizing 
that safety enhancement and promotion is of universal interest within 
the transit industry; FTA encourages bus grant recipients to 
voluntarily participate in appropriate components of the interim 
provisions.
    FTA is seeking public comment on its proposal for the interim 
safety

[[Page 24364]]

certification training provisions. Following review of the public 
comments, FTA will publish final interim provisions, which will remain 
in effect until FTA issues a final rule for the safety certification 
training program in accordance with 49 U.S.C. 5329(c)(1).

II. Purpose

    The interim safety certification training provisions are designed 
to support FTA's recent adoption of the Safety Management System (SMS) 
approach to improve the safety of public transportation.\2\ FTA is 
proposing that the interim provisions consist of: (1) A required 
training program promoting SMS and ensuring technical competencies for 
State Safety Oversight Agency (SSOA) personnel and FTA personnel who 
conduct safety audits and examinations of public transportation systems 
not subject to FRA regulation; and (2) a voluntary program promoting 
adoption of SMS for employees of public transportation systems who are 
directly responsible for safety oversight. Lessons learned through this 
initial class of personnel will assist with shaping the development of 
the notice of proposed rulemaking to effect the requirements of 49 
U.S.C. 5329(c)(1).
---------------------------------------------------------------------------

    \2\ See FTA Dear Colleague letter dated May 13, 2013 at http://www.fta.dot.gov/newsroom/12910_15391.html.
---------------------------------------------------------------------------

    FTA recognizes the transit industry has voluntarily participated in 
the Transit Safety Security Program (TSSP) program since 1998, with 
over 700 transit system personnel and 35 SSOA personnel receiving 
certificates. Those who successfully completed the program were issued 
certificates of completion indicating broad-based training in safety 
and security principles applicable to transit system safety, operations 
and management, as well as implementation of the requirements of 49 CFR 
part 659. However, as FTA developed the proposed interim provisions, we 
evaluated the competencies of the existing TSSP and noted gaps relative 
to the SMS framework FTA has adopted for its safety programs.
    The existing TSSP program was designed to address competencies that 
support the development and implementation of system safety, security, 
and emergency management program plans as reflected in 49 CFR part 659. 
Alternatively, the proposed interim program is designed to promote the 
implementation and oversight of SMS safety policies, risk management, 
safety assurance, and safety promotion programs and initiatives through 
the effective use of SMS tools and techniques. We note that although 
there are some similarities, relative to SMS principles within the 
requirements of 49 CFR part 659; the proposed SMS framework applies 
significantly more emphasis on a management level safety focus.
    The objectives within the SMS curriculum were built from FTA's 
proposed SMS framework which uses a different approach to identifying 
hazards and controlling their potential consequences, continual 
assessment of safety risk, and an effective employee safety reporting 
system. The revised FTA-sponsored training will promote the 
development, implementation and oversight of SMS safety policies, risk 
management, safety assurance, and safety promotion programs and 
initiatives through the effective use of SMS tools and techniques, thus 
addressing the gaps noted with the current TSSP curriculum.
    FTA believes the proposed provisions will enhance safety by 
focusing on 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. Similar to the completion requirements of the current 
voluntary FTA-sponsored TSSP certificate program, FTA proposes that 
participants should complete the safety certification training program 
within a three (3) year timeframe.
    As discussed above, FTA considered the existing voluntary TSSP 
program when developing the proposed interim provisions. FTA requests 
comment on the following:
    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?
    2. How should FTA consider these additional training and 
certification programs in finalizing the interim provisions?

III. Applicability

    As the rigor of safety oversight increases, we must ensure that 
personnel with direct safety oversight responsibility have core 
competencies and skills to achieve the safety goals for the public 
transportation industry. To promote SMS adoption throughout the public 
transportation industry and to improve rail transit safety oversight 
technical competency, FTA proposes that the ``required'' component of 
the interim provisions apply to the following ``covered personnel:''
    (1) FTA personnel and contractors who conduct safety audits and 
examinations of public transportation systems; and
    (2) SSOA personnel and contractors who implement Federal safety 
oversight programs, including persons who conduct safety audits and 
examinations of rail fixed guideway public transportation systems not 
subject to FRA regulation.
    In addition, FTA proposes that the following personnel voluntarily 
participate in the interim safety certification training provisions 
\3\:
---------------------------------------------------------------------------

    \3\ SMS Awareness training is strongly recommended for all 
employees of public transportation systems, including front line 
safety personnel, to assist with deploying an effective SMS.
---------------------------------------------------------------------------

    (1) Personnel employed by recipients of section 5307 Urbanized Area 
Formula Grants and section 5311 Formula Grants for Rural Areas 
(formerly known as Non-Urbanized Formula Grants) who are directly 
responsible for safety oversight of rail fixed guideway public 
transportation systems not subject to FRA regulation.\4\
---------------------------------------------------------------------------

    \4\ FTA proposes that all recipients identify their ``covered 
personnel.'' At a minimum, FTA expects the designation of ``covered 
personnel'' will include the General Manager/Chief Executive 
Officer, Chief Safety Officer, and staff directly responsible for 
safety oversight of the recipient's rail transit system.
---------------------------------------------------------------------------

    (2) Personnel employed by recipients of section 5307 Urbanized Area 
Formula Grants and section 5311 Formula Grants for Rural Areas who are 
directly responsible for safety oversight of non-rail transit systems 
(e.g., passenger ferry, bus, bus rapid transit, and community 
transportation providers); and
    (3) Personnel of State Departments of Transportation or other State 
agencies that are directly responsible for safety oversight of 
passenger ferry, bus, bus rapid transit, and community transportation 
providers that receive section 5311 Federal transit funds.
    On May 31, 2012, 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 proposed interim provisions 
is consistent with the recordkeeping required for SSOA and rail fixed 
guideway public transportation agency training in the approved 
information collection.

[[Page 24365]]

IV. Interim Safety Certification Training Provisions

    The proposed interim training provisions initial focus is to 
enhance the technical competencies and capabilities of Federal and 
State personnel and contractors who conduct safety audits and 
examinations of rail fixed guideway public transportation systems, as 
well as rail transit personnel who are directly responsible for safety 
oversight for these systems. FTA recognizes the important role of its 
State partners in performing this public safety function. However, 
under the current regulatory construct, there is no uniformity with 
regard to training requirements. As a result, varying degrees of 
proficiency and professional knowledge, along with inconsistent 
application of safety requirements have developed. Additionally, FTA 
recognizes the benefit of allowing safety oversight personnel of rail 
fixed guideway systems to share in the opportunity to receive similar 
training as those who audit their safety activities.
    As a first step, FTA is proposing to organize these interim 
training provisions around a series of competencies and basic skills 
that support training gaps indicated in National Transportation Safety 
Board accident investigations, FTA State Safety Oversight Agency (SSOA) 
audits, triennial reviews and annual reports submitted by SSOAs, and 
FTA's National Transit Database assessments and special studies. The 
competencies are based on SMS principles and the technical capabilities 
required for examining and overseeing implementation of safety program 
elements in the transit industry. A list of proposed competency areas 
and accompanying learning objectives are listed in this document as 
Appendix A to the Proposed Interim Provisions for Safety Certification 
Training--Competency Areas.
    A consistent gap noted throughout our findings is the need to 
enhance the ability to effectively manage safety risks. FTA believes 
the interim provisions competencies will support key features of SMS to 
include: (1) Improving management accountability of safety; (2) further 
collaboration between management and labor to effectively prioritize 
safety hazards; (3) more effectively managing safety resource 
allocation; (4) improving safety risk analysis; and (5) broadening 
safety assurance through increased confidence in safety risk controls.
    Supporting documents used to identify the training gaps and the 
proposed competencies, as well as a list frequently asked questions 
(FAQs) may be reviewed with the docket for this document and may also 
be viewed at the following weblink: http://www.fta.dot.gov/tso_15918.html. Below are a few examples of documentation that support the 
competencies FTA is proposing for the interim provisions:
     Government Accountability Office (GAO) Reports with 
Discussion and/or Findings relating to SSO training and qualification: 
http://www.gao.gov/products/GAO-11-199.
     Rail Transit: Observations on FTA's State Safety Oversight 
Program and Potential Change in Oversight Role GAO-10-293T: Published: 
Dec. 8, 2009. Publicly Released: Dec. 8, 2009. http://www.gao.gov/products/A88569.
     National Transportation Safety Board Hearing; Collision of 
Two Washington Metropolitan Area Transit Authority Metrorail Trains 
Near Fort Totten Station http://www.ntsb.gov/doclib/reports/2010/RAR1002.pdf.
     National Transportation Safety Board Accident Brief: 
Collision between Two Miami-Dade Transit Metromovers: http://www.ntsb.gov/investigations/fulltext/RAB1206.html.

A. Components of the Interim Provisions

    FTA proposes that ``covered personnel'' of FTA, SSOAs, and 
applicable contractor support be required to complete a series of 
courses and engage in structured training as noted below. In addition, 
covered personnel of rail fixed guideway transit systems will be 
allowed to voluntarily participate in this proposed curriculum.
    The proposed interim safety certification training provisions will 
contain two distinct components. First, covered personnel will complete 
a series of training courses on SMS principles, tools and techniques. 
FTA began the first phase of course pilots in February 2014, and 
anticipates the initial rollout of courses by September 2014. Second, 
and as discussed further in section 2 below, FTA and SSOA personnel and 
their respective contractor support will be required to develop 
technical training covering the competency areas specific to the rail 
transit system(s) for which safety oversight responsibility is 
exercised (e.g., track inspections, safety systems and technologies, 
traction power, etc.).
    Upon satisfactory completion of the applicable requirements as 
noted below, FTA proposes to provide a certificate of completion, 
indicating that the individual has satisfied the requirements of the 
interim training provisions. The certificate will expire one (1) year 
after it is issued and will require annual refresher training to 
maintain its validity. However, FTA believes that the final rule 
implementing the Public Transportation Safety Certification Training 
Program will be in effect before any of the interim certifications 
expire; therefore, FTA will ensure that training completed under the 
interim provisions will be factored into the development of the final 
rule.
    To maximize participation, FTA is proposing that a significant 
share of the cost associated with the interim provisions be eligible 
for Federal funding. Recipients of sections 5307 or 5311 funds may use 
up to 0.5 percent of those funds to cover up to 80 percent of the cost 
of participation by an employee with direct safety oversight 
responsibility for the public transportation system. Participation by 
SSOA personnel with direct safety oversight responsibilities may be an 
eligible expense for section 5329(e)(6)(A) funds.
1. Safety Management System Training Component
    As noted above, FTA has identified competencies that reinforce the 
four (4) functional components of SMS--safety policy, risk management, 
safety assurance, and safety promotion--which are described in Appendix 
A to the Proposed Interim Provisions for Safety Certification 
Training--Competency Areas. SMS is a management approach that ensures 
each public transportation agency, no matter its size or service 
environment, has the necessary organizational structures, 
accountabilities, policies and procedures in place to direct and 
control resources to optimally manage safety.
    The proposed interim SMS training for mandatory and voluntary 
participants will be tailored to the role of the employee and the mode 
of public transportation. To that end, FTA is proposing to revise 
existing training and creating new courses to promote SMS-centric 
competencies. The revised competencies will expand training beyond the 
current TSSP Certificate program which was developed to support the 
implementation of system safety, security, and emergency management 
program plans. Although the proposed interim curriculum is largely 
focused on SMS and technical training; FTA request comments concerning 
other programs or approaches that may enhance the professional and 
technical skills of covered personnel and public transit personnel with 
direct safety oversight responsibility.

[[Page 24366]]

    As noted above, similar to the TSSP Certificate program, FTA is 
proposing that the training be completed within a three (3) year 
period. Once covered personnel receive their certificate of completion, 
annual refresher training will be required to maintain the certificate. 
If a required participant does not attain or maintain their certificate 
within the designated timeframe, FTA proposes the person will not be 
able to perform their functions or be paid using FTA funds. It will be 
the responsibility of those covered under this program to maintain 
certificates and refresher training records, which will be subject to 
audit under the SSOA program.
    Also similar to the TSSP Certificate program, FTA proposes that 
each of the SMS courses will include up to three (3) days of training 
(except for the one (1) day SMS Leadership course and the one (1) hour 
SMS Awareness course). The estimated length of the training was derived 
from an evaluation of the proposed competencies and associated learning 
objectives and the amount of time required to deliver the content. This 
is approximately 144 hours of class time over the three (3) year period 
between FY 2014 and FY 2016 for the participants. The week-long 
indication below is an estimate, as it includes training time along 
with days for potential travel. However, we note that the existing FTA 
training model focuses on delivering courses at local host agencies 
which reduces travel requirements for the majority of participants. FTA 
plans to continue this delivery model for the interim safety 
certification training program which would continue to reflect the 
reduced cost and burden associated with local attendance. Below is the 
proposed curriculum for the interim provisions:
    Required Curriculum:
     FTA and SSOA personnel and contractors \5\--six (6) one 
(1) week courses (two (2) days of travel, three (3) days class time):
---------------------------------------------------------------------------

    \5\ FTA anticipates that this would include approximately 40 FTA 
personnel and contractors and 70 to 120 SSOA personnel.

One (1) hour course on SMS Awareness--e-learning delivery
Level 100: SMS Principles for Rail Transit
Level 101: SMS Principles for SSO Programs
Level 200: Advanced SMS Principles for Rail Transit
Level 201: Advanced SMS Risk Management
Level 300: SMS Risk Control Strategies
Level 301: SMS Assurance and Auditing Normal Operations and Risk 
Controls
SMS Executive Leadership--one (1) day course
    Voluntary Curriculum:
     Transit agency personnel with direct responsibility for 
safety oversight of rail transit systems not subject to FRA regulation 
\6\--five (5) one week courses (two (2) days of travel, three (3) days 
class time):
---------------------------------------------------------------------------

    \6\ FTA anticipates that this will include approximately 260 
transit agency personnel.

One (1) hour course on SMS Awareness--e-learning delivery
Level 100: SMS Principles for Rail Transit
Level 200: Advanced SMS Principles for Rail Transit
Level 201: Advanced SMS Risk Management
Level 300: SMS Risk Control Strategies
Level 301: SMS Assurance through Auditing Normal Operations and Risk 
SMS Executive Leadership--one (1) day course

     Non-rail transit Section 5307 and 5311 recipient executive 
leadership \7\--One (1) day course:
---------------------------------------------------------------------------

    \7\ FTA estimates that approximately 200 executives would be 
eligible for this voluntary training.

SMS Executive Leadership--one (1) day course
     Non-rail transit Section 5307 and 5311 recipient personnel 
with direct safety oversight responsibility and State DOTs overseeing 
safety programs for 5311 sub-recipients \8\--two (2) one (1) week 
courses (two (2) days of travel, three (3) days class time):
---------------------------------------------------------------------------

    \8\ FTA estimates that approximately 100 to 275 staff from 
larger 5307/5311recipients, approximately 1500 staff from smaller 
5307/5311 recipients, and 30 staff from state DOT's would be 
eligible for this voluntary training.

One (1) hour course on SMS Awareness--e-learning delivery
Level 102: SMS Principles for Bus Transit
Level 202: Advanced SMS Principles for Bus Transit

     Employee of any non-rail transit FTA recipient \9\--one 
(1) hour course
---------------------------------------------------------------------------

    \9\ FTA has not estimated how many people would be eligible for 
this voluntary training.

---------------------------------------------------------------------------
SMS Awareness--e-learning delivery

    We also note that FTA will continue to sponsor safety initiatives 
for bus transit agencies, including small and rural systems, as well as 
other recipients of Federal public transportation funds. For example, 
personnel can log on to FTA's Bus Transit Safety Program Web site 
(http://bussafety.fta.dot.gov/) and complete the safety self-assessment 
and participate in the soon-to-be-released e-learning series. FTA 
strongly encourages safety professionals in each of these communities 
to continue to voluntarily participate in these safety initiatives, as 
well as participate in applicable courses developed for the interim 
provisions.
    Further, FTA is proposing a one-hour SMS Awareness course that will 
have universal applicability throughout the public transportation 
industry. Since a critical element of SMS is safety awareness at all 
levels of an organization, FTA encourages transit system personnel at 
all levels to voluntarily participate in the one-hour SMS Awareness 
training when it becomes available online.
    The proposed interim provisions are intended as an initial step to 
improving the technical proficiency and competency of those directly 
responsible for safety oversight. However, it is important to note that 
concurrently, FTA is in the process of proposing a regulatory framework 
for safety certification training. Participating in the interim 
provisions program not only enhances public transit safety in the near 
term, but will better position participants for safety training 
requirements likely to be proposed in future safety certification 
training rulemakings.
    As discussed above, the proposed interim provisions will have 
mandatory and voluntary components. FTA requests comment on the 
following:
    3. The proposal to require Federal and State Safety Oversight 
Agency personnel and their contractor support to participate in the 
interim provisions but allow the voluntary participation of public 
transportation personnel with direct safety oversight responsibilities.
    4. Are there segments of the existing TSSP program that might be 
utilized to address the gaps and proposed competencies identified by 
FTA?
    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?
2. Technical Training Component
    In addition to the SMS training component above, FTA proposes the 
second component of the interim provisions will require FTA and each 
SSOA to develop a technical training program for covered personnel and 
contractor support personnel who perform safety audits and 
examinations. FTA proposes that each SSOA submit its interim technical 
training program to FTA for review and evaluation as part of the 
ongoing SSOA certification program under 49 U.S.C. 5329(e)(7). This 
review and approval process would support the consultation required 
between FTA and SSOAs regarding the staffing and qualification of the 
SSOAs' employees and other designated

[[Page 24367]]

personnel in accordance with 49 U.S.C. 5329(e)(3).
    Recognizing that each rail fixed guideway public transportation 
system has unique characteristics, FTA proposes that each technical 
training program 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 knowledge necessary to 
perform each task at that system. At a minimum, each program will 
include technical training in the following competency areas 
appropriate for the specific rail fixed guideway system(s) for which 
safety audits and examinations are conducted:
     Knowledge of the organizational structure of the rail 
transit system(s).
     Agency Safety Plans.
     Agency Safety Audit Process.
     Rulebooks.
     Vehicles.
     Track (to include track inspection).
     Tunnels and structures.
     Traction power.
     Signal systems.
     Safety systems and technologies.
     Safety human factors.
    The length of time for the technical training will depend on the 
skill level of the SSOA personnel. However, we would anticipate no less 
than one-week per year of technical training, in addition to the 2 
weeks per year for the SMS training. To that end, FTA proposes that 
each SSOA technical training program that is submitted for review and 
approval will:
    [cir] Include both classroom and hands-on lessons designed to 
impart the skills and knowledge identified as necessary to perform each 
task (to include competency areas listed above). The curriculum should 
specifically address the performance of the tasks identified.
    [cir] Require covered personnel to successfully:
    [ssquf] Complete training that covers the skills and knowledge the 
covered personnel will need to effectively perform his or her tasks.
    [ssquf] Pass a written and/or oral examination covering the skills 
and knowledge required for the covered personnel to effectively perform 
his or her tasks.
    [ssquf] Individually demonstrate hands-on capability to perform his 
or her tasks to the satisfaction of the appropriate SSOA supervisor or 
designated instructor.
    [cir] Develop a process to ensure that covered personnel are 
appropriately participating in the training program or have 
successfully completed it.
    [cir] Establish equivalencies or conduct written and oral 
examinations to allow covered personnel to demonstrate that they 
possess the skill and qualification required to perform their tasks.
    [cir] Require annual refresher training to maintain technical 
skills and abilities which includes classroom and hands-on 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.
    [cir] Require that adequate 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. 
Records must include the following information concerning each covered 
personnel:
    [ssquf] Name;
    [ssquf] The date each training course was completed and the 
proficiency test score(s);
    [ssquf] The content of each training course successfully completed;
    [ssquf] 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;
    [ssquf] The tasks the covered personnel is deemed qualified to 
perform; and
    [ssquf] Provide the date that the covered personnel's status as 
qualified to perform the tasks expires, and the date in which annual 
refresher training is due.
    [cir] Establish a program to 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.
    [cir] Periodically assess the effectiveness of the technical 
training program. One method of validation and assessment could be 
through the use of efficiency tests or periodic review of employee 
performance.
    With regard to the technical training described above, FTA request 
comments on the following:
    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?

V. Next Steps and Public Participation

    This document seeks input from the public on FTA's implementation 
of new interim safety certification training provisions to ensure they 
are clear, effective, and reasonable. It is important that transit 
agencies, State DOTs, SSOAs, and other organizations that could 
potentially be affected by these interim provisions, as well as any 
other interested members of the public, take this opportunity to share 
thoughts, concerns, ideas, and general comments on the topics presented 
herein.
    After FTA reviews the comments collected through this document, FTA 
will publish final interim safety training certification provisions. 
FTA will also continue to develop a permanent training program through 
the separate rulemaking process. Although the two processes will remain 
separate, the agency anticipates that its experience with the interim 
provisions will assist with the development of a proposed rule for the 
Public Transportation Safety Certification Training program under 49 
U.S.C. 5329(c)(1).

    Issued in Washington, DC, pursuant to authority under 49 CFR 
Sec.  1.91.
Therese W. McMillan,
Deputy Administrator.

Appendix A to the Proposed Interim Provisions for Safety Certification 
Training--Competency Areas

------------------------------------------------------------------------
          Competency area                 Description of competency
------------------------------------------------------------------------
SMS Awareness.....................   Orient participants to the
                                     general concepts in safety
                                     management systems (SMS).
                                     Introduce participants to
                                     the importance of data-driven
                                     decision making for SMS
                                     implementation in the public
                                     transportation industry.
                                     Describe safety management
                                     systems as a data-driven decision
                                     making system for management.
                                     Understand safety risk
                                     management and safety assurance.
                                     List the activities and
                                     tools underlying safety risk
                                     management and safety assurance.
SMS Leadership....................   List the advantages of
                                     effective safety management and the
                                     benefits that FTA anticipates SMS
                                     adoption will bring the transit
                                     industry.

[[Page 24368]]

 
                                     Categorize the activities
                                     performed by an Accountable
                                     Executive and explain why he or she
                                     is so important to effective SMS
                                     implementation.
                                     Recognize and describe the
                                     four major components of FTA's SMS
                                     framework.
                                     Identify and describe how
                                     to proactively utilize the
                                     interfaces between SMS, Finance,
                                     Human Resources and Asset
                                     Management to support executive
                                     decision-making.
                                     List specific tools that
                                     help executives incorporate SMS
                                     into their decision-making.
                                     Classify the SMS leadership
                                     activities that executives can
                                     perform as part of their day-to-day
                                     management process.
Level 100: SMS Principles for Rail   Detail how and why FTA came
 Transit.                            to adopt the SMS framework as the
                                     foundation of its new safety
                                     regulatory program.
                                     State and describe the four
                                     major components and 12 elements of
                                     FTA's SMS framework.
                                     Write a sample Safety
                                     Policy Statement that ensures
                                     executive accountability and
                                     commitment for safety.
                                     Provide and discuss sample
                                     safety objectives and key
                                     performance indicators (KPIs) used
                                     at your agency.
                                     Distinguish among
                                     traditional system safety risk
                                     management approaches and the types
                                     of analyses required for SMS
                                     framework implementation.
                                     List and describe SMS
                                     safety assurance tools and
                                     techniques.
                                     Identify sources of
                                     operating and maintenance data to
                                     support the safety review of normal
                                     operations.
                                     Describe the major
                                     activities that can be performed to
                                     promote SMS and safety
                                     communication with transit
                                     employees.
                                     Discuss and outline the
                                     needed activities and timeline for
                                     SMS implementation from initial
                                     policy commitment through gap
                                     assessment and implementation
                                     planning to training and
                                     monitoring.
                                     Recognize and explain the
                                     purpose of the SMS Gap Analysis
                                     Tool and complete sample sections.
                                     Present and discuss results
                                     of sample SMS Gap Analysis with
                                     classmates and instructor.
                                     Categorize information from
                                     SMS Gap Analysis into the SMS
                                     Implementation Plan.
                                     Demonstrate proficiency in
                                     the use of FTA-supplied materials,
                                     including SMS Guidebook and
                                     supporting forms.
Level 101: SMS Principles for SSO    Discuss and demonstrate the
 Programs.                           correct usage of SMS and rail
                                     transit terminology and
                                     nomenclature.
                                     Identify and discuss the
                                     major objectives in overseeing and
                                     evaluating SMS implementation in
                                     the rail transit environment.
                                     Compare and contrast the
                                     four major components and 12
                                     elements in FTA's SMS framework
                                     with the existing 49 CFR Part 659
                                     regulation.
                                     Identify and discuss
                                     performance measures and tools to
                                     assess rail transit safety
                                     performance.
                                     Develop a sample SMS
                                     surveillance plan for a rail
                                     transit agency in your jurisdiction
                                     applicable to the level of SMS
                                     implementation at the rail transit
                                     agency.
                                     Illustrate and list safety
                                     risk management and safety
                                     assurance tools that can be used to
                                     support safety oversight.
                                     Demonstrate how to
                                     intervene effectively with the rail
                                     transit agency based on monitoring
                                     of SMS surveillance plan.
                                     Detail the phases of
                                     transition in SMS implementation
                                     and potential pitfalls and areas of
                                     concern for both the rail transit
                                     agency and the SSO agency.
Level 102: SMS Principles for Bus    Detail how and why FTA came
 Transit.                            to adopt the SMS framework as the
                                     foundation of its new safety
                                     regulatory program.
                                     State and describe the four
                                     major components and 12 elements of
                                     FTA's SMS framework.
                                     Demonstrate how to use
                                     FTA's SMS gap assessment and
                                     implementation planning tools for
                                     bus transit agencies.
                                     Identify safety risk
                                     management and safety assurance
                                     tools and techniques and how to
                                     apply them in the bus transit
                                     environment.
                                     Describe the major
                                     activities that can be performed to
                                     promote SMS and safety
                                     communication throughout the bus
                                     transit agency.
                                     Categorize performance
                                     measures and activities that can be
                                     used to monitor the implementation
                                     of the SMS at the bus transit
                                     agency.
Level 200: Advanced SMS Principles   Illustrate how to assess a
 for Rail Transit.                   safety policy statement for
                                     thoroughness and effectiveness of
                                     safety objectives and performance
                                     targets.
                                     Describe ways in which the
                                     accountable executive should be
                                     committed to safety and use safety
                                     inputs in decision-making.
                                     Summarize and list the
                                     safety responsibilities of key
                                     management personnel and committees
                                     in the rail transit environment.
                                     Highlight typical SMS
                                     documentation control procedures.
                                     Compare and contrast
                                     different hazard identification and
                                     risk management methods and
                                     approaches.
                                     Outline the steps in safety
                                     action planning in the rail transit
                                     environment.
                                     Discuss key elements in
                                     safety performance monitoring,
                                     including auditing and real-time
                                     monitoring of rail transit
                                     operations.
                                     Describe how incident
                                     investigation and reporting using
                                     SMS principles differs from
                                     existing requirements in 49 CFR
                                     Part 659.
                                     Outline how the management
                                     of change (including organizational
                                     changes with regard to safety
                                     responsibilities) can be approached
                                     in the transit industry.
                                     List ten major activities
                                     to support safety promotion.
                                     Describe the risk to
                                     transit organizations from human
                                     factors and human performance
                                     issues.
Level 201: Advanced SMS Risk         Explain the purpose of
 Management.                         Safety Risk Management in SMS.
                                     Identify and lists
                                     weaknesses in the identification of
                                     hazards in recent transit accidents
                                     and incidents.
                                     In FTA's SMS framework,
                                     detail when to perform a System
                                     Description and Task Analysis and
                                     explain how this analysis helps
                                     identify hazards.

[[Page 24369]]

 
                                     Describe the elements of a
                                     System Description and Task
                                     Analysis, including the following
                                     steps:
                                      [cir] Define the system and
                                    task(s) under analysis, including:
                                      [ssquf] Function and purpose of
                                       the system.
                                      [ssquf] The system's operating
                                       environment.
                                      [ssquf] An outline of the system's
                                       processes and procedures.
                                      [ssquf] The personnel, equipment,
                                       and facilities necessary for
                                       operation of the system.
                                      [cir] Consider how the following
                                    attributes work within the system
                                    and task(s) under analysis to ensure
                                    its safe operation, including:
                                      [ssquf] Responsibility.
                                      [ssquf] Authority.
                                      [ssquf] Procedures and practices.
                                      [ssquf] Controls placed on
                                       equipment and personnel.
                                      [ssquf] Process measurements on
                                       tasks and activities.
                                      [ssquf] Interfaces among the
                                       hardware, software, people, and
                                       environment that make up the
                                       system.
                                      [cir] Assess the system and
                                    task(s) under analysis for hazards
                                    and risks.
                                     Describe how to document
                                     the identified hazards and risks,
                                     depending on the size of the public
                                     transportation agency and the
                                     complexity of its operations:
                                      [cir] In a list, matrix or table.
                                      [cir] Through a mapping process in
                                    flow charts (e.g., block flow
                                    diagram) or process maps (e.g.,
                                    block flow procedural process map or
                                    a cross-functional process map).
                                      [cir] In deductive or inductive
                                    system safety analyses.
                                      [cir] Using computer models.
                                      [cir] In other methods established
                                    by the public transportation agency.
                                     Describe the steps needed
                                     to develop and maintain processes
                                     to analyze safety risk associated
                                     with the hazards identified in the
                                     system analyses.
                                     Define a process for
                                     conducting risk assessment that
                                     allows for the determination of
                                     acceptable safety risk.
                                     List potential processes to
                                     develop safety risk controls that
                                     are necessary as a result of the
                                     safety risk assessment process.
                                     Explain how to evaluate
                                     whether the risk will be acceptable
                                     with a proposed safety risk control
                                     applied, before the safety risk
                                     control is implemented.
                                     Discuss the pros and cons
                                     of mandatory employee reporting
                                     systems for hazard identification.
Level 202: Advanced SMS Principles   Describe ways in which the
 for Bus Transit.                    accountable executive should be
                                     committed to safety and use safety
                                     inputs in decision-making.
                                     Summarize and list the
                                     safety responsibilities of key bus
                                     management personnel and
                                     committees.
                                     List the major purpose of
                                     the SMS Manual and identify the key
                                     components for a bus agency.
                                     Define typical SMS safety
                                     data/records management
                                     requirements for an SMS at a bus
                                     transit agency.
                                     Characterize an effective
                                     safety assurance program in the bus
                                     transit environment.
                                     List types of reactive
                                     safety issue identification
                                     (events, incidents, accidents).
                                     Describe proactive safety
                                     issue identification approaches.
                                     Compare and contrast
                                     different risk assessment methods
                                     used in the bus transit industry.
                                     Demonstrate investigation
                                     and problem-solving skills.
                                     Review corrective action
                                     planning & implementation
                                     practices.
                                     Understand transit industry
                                     and agency risk profiles.
                                     Demonstrate proficiency in
                                     the use of additional FTA-supplied
                                     materials, including SMS Guidebook
                                     and supporting forms.
Level 300: SMS Risk Control          Explain why there is no
 Strategies.                         such thing as ``absolute safety''
                                     in public transportation, but that
                                     risks can be managed to a level
                                     ``as low as reasonably
                                     practicable'' (ALARP).
                                     Demonstrate the ways in
                                     which risk mitigation and control
                                     must be balanced against: time,
                                     cost, and the difficulty of taking
                                     measures to reduce or eliminate the
                                     risk.
                                     Describe how effective risk
                                     management seeks to maximize the
                                     benefits of accepting a risk (a
                                     reduction in time and cost) while
                                     minimizing the risk itself.
                                     Communicate the rationale
                                     for risk decisions to gain
                                     acceptance by stakeholders affected
                                     by them.
                                     Describe the three basic
                                     risk mitigation strategies.
                                     Describe and list the steps
                                     in the ``hierarchy of controls''
                                     for hazards.
                                     Identify and discuss the
                                     relative merits of the ``layers of
                                     protection'' approach to
                                     controlling hazards.
                                     Explain how to monitor and
                                     measure risk control performance
                                     levels.
                                     Evaluate how data flow and
                                     analysis processes can support the
                                     assessment of the performance of
                                     risk control strategies.
                                     Develop a monitoring plan
                                     for the implementation of risk
                                     control strategies at the transit
                                     agency.
Level 301: SMS Assurance and         Explain how safety
 Auditing Normal Operations and      assurance activities support the
 Risk Controls.                      accountable executive and board of
                                     directors in making decisions and
                                     recommendations regarding resource
                                     allocation.
                                     Demonstrate application of
                                     SMS tools and approaches in the
                                     investigation of accidents and
                                     incidents and the development and
                                     oversight of corrective action
                                     plans.
                                     Detail the steps required
                                     to establish and manage mandatory
                                     and voluntary employee reporting
                                     systems.
                                     Outline and discuss
                                     approaches to internal safety
                                     audits and surveys that support SMS
                                     performance monitoring.
                                     Explain why SMS
                                     implementation must be coordinated
                                     quality assurance audits.
                                     Discuss coordination
                                     required monitor normal operations
                                     using data management, mining and
                                     analysis at the transit agency.
                                     Demonstrate capability to
                                     manage the conduct of safety
                                     reviews, examinations and audits
                                     and tracking of findings at rail
                                     transit agency.
                                     Explain how safety
                                     certification for capital projects
                                     is managed in the SMS framework.

[[Page 24370]]

 
                                     Propose performance
                                     measures and monitoring activities
                                     to oversee risk controls at rail
                                     transit agency.
Alternative training available      Alternative voluntary training may
 for:.                               be developed by FTA in partnership
 Level 102: SMS Principles   with the Community Transportation
 for Bus Transit.                    Association of America (CTAA) for
 Level 202: Advanced SMS     Executive Leadership and personnel
 Principles for Bus Transit.         with direct responsibility for
                                     safety at Section 5311 sub-
                                     recipients and personnel at State
                                     DOTs responsible for overseeing
                                     Section 5311 sub-recipients.
------------------------------------------------------------------------

[FR Doc. 2014-09778 Filed 4-29-14; 8:45 am]
BILLING CODE P