SSO Certification Tool Kit

49 CFR Part 674
Certification Toolkit
Version 2.0

and
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June 16, 2017

Federal Transit Administration

49 CFR Part 674 Certification Toolkit

Table of Contents
Acronyms and Definitions

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Applicability

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The 49 CFR Part 674 Certification Process

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Background
FTA’s New SSO Rule
Purpose of the FTA’s 49 CFR Part 674 Certification Toolkit
Certification Requirements
Timeline for State Transition to 49 CFR Part 674
Completing the 49 CFR Part 674 Certification Application

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Category 1. SSO Agency Independence

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a) Legal Entity
b) Legal Independence from RFGPTS
c) Financial Independence from RFGPTS
d) Overlap of Transportation Services
e) Employment Conflict of Interest
f) Contractor Conflict of Interest

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Category 2. General Program Requirements
a) Acknowledgement of Responsibility
b) Funding Prohibition
c) Establishment of Minimum Standards for Safety
d) Annual Report
e) Multi-State System Oversight Agency Designation

Category 3. Enforcement Authority
a) Enforcement Authorities
b) Adoption of Federal and State Laws
c) Review, Approve, Oversee, and Enforce Agency Safety Plan
d) Allegations of Noncompliance
e) Requiring and Verifying Corrective Action

Category 4. Investigations and Audits
a) Investigative Authority
b) Notification of Accidents and Other Safety Events
c) Right to Access RFGPTS
d) Investigation Procedures
e) Protection from Disclosure
f) Triennial Audit

Category 5. Staffing and Qualification of SSO Personnel and Contractors
a) SSO Program Workload Assessment
b) SSO Agency Organization and Personnel Qualifications and Experience
c) Training Program Certification

Category 6. Program Standard
Updated Program Standard Meeting 49 CFR Part 674 Requirements

Appendix A: 49 CFR Part 674 Application Submissions
Required Submissions

Appendix B: 49 CFR Part 674 Frequently Asked Questions
49 CFR Part 674.1, Purpose.
49 CFR Part 674.7, Definitions.
49 CFR Part 674.9, Transition from Previous Requirements for State Safety Oversight.

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49 CFR Part 674.11, State Safety Oversight Program; 49 CFR Part 674.13, Designation of Oversight Agency; and
49 CFR Part 674.19, Certification of a State Safety Oversight Program.
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49 CFR Part 674.17, Use of Federal Financial Assistance.
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49 CFR Part 674.21, Withholding of Federal Financial Assistance for Noncompliance.
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49 CFR 674.23, Confidentiality of information.
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49 CFR 674.25, Role of the State Safety Oversight Agency.
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49 CFR 674.27, State Safety Program Standards.
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49 CFR 674.29, Public Transportation Agency Safety Plans: General Requirements.
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49 CFR 674.31, Triennial Audits: General Requirements.
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49 CFR 674.33, Notifications of Accidents.
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49 CFR 674.35, Investigations.
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49 CFR 674.37, Corrective Action Plans.
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49 CFR 674.39, State Safety Oversight Agency Annual Reporting to FTA.
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49 CFR 674.41, Conflicts of Interest.
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Acronyms and Definitions
Accident

An Event that involves any of the following: a loss of life; a report of a serious injury to
a person; a collision involving a rail transit vehicle; a runaway train; an evacuation for
life safety reasons; or any derailment of a rail transit vehicle, at any location, at any time,
whatever the cause.

CAP

Corrective Action Plan; a plan developed by a rail fixed guideway public transportation
system that describes the actions the rail fixed guideway public transportation system
will take to minimize, control, correct, or eliminate risks and hazards and the schedule
for taking those actions. Either the State Safety Oversight agency or the Federal Transit
Administration may require a rail fixed guideway public transportation system to
develop and carry out a corrective action plan.

CFR

Code of Federal Regulations

Eligible State

An eligible State is any State of the United States that has within its jurisdiction one or
more rail fixed guideway public transportation system not subject to Federal Railroad
oversight or any such system in engineering or construction. States entering the State
Safety Oversight program upon the engineering or construction of the States’ first rail
fixed guideway public transportation system or entering due to a reclassification of an
existing rail fixed guideway public transportation system are required to create and
maintain a State Safety Oversight agency as directed on a case-by-case basis by the
Federal Transit Administration.

Event

An Accident, Incident, or Occurrence.

FRA

Federal Railroad Administration

FTA

Federal Transit Administration

Hazard

Any real or potential condition that can cause injury, illness, or death; damage to or loss
of the facilities, equipment, rolling stock, or infrastructure of a rail fixed guideway public
transportation system; or damage to the environment.

Incident

An Event that involves any of the following: a personal injury that is not a serious injury;
one or more injuries requiring medical transport; or damage to facilities, equipment,
rolling stock, or infrastructure that disrupts the operations of a rail fixed guideway public
transportation system.

Investigation

The process of determining the causal and contributing factors of an accident, incident,
or hazard, for the purpose of preventing recurrence and mitigating risk.

NTSB

National Transportation Safety Board

Occurrence

An Event without any personal injury in which any damage to facilities, equipment,
rolling stock, or infrastructure does not disrupt the operations of a rail fixed guideway
public transportation system.

Person

A passenger, employee, contractor, pedestrian, trespasser, or any individual on the
property of a rail fixed guideway public transportation system.

PTASP

Public Transportation Agency Safety Plan. The comprehensive agency safety plan for a
transit agency, including rail fixed guideway public transportation systems, that is
required by Federal public transportation law (49 U.S.C. § 5329(d)) and based on a
Safety Management System.

Public Transportation
Safety Certification
Training Program

The certification training program for Federal and State employees, or other designated
personnel, who conduct safety audits and examinations of public transportation systems,
and employees of public transportation systems directly responsible for safety oversight,
established through interim provisions in accordance with 49 U.S.C. § 5329(c)(2).
Alternately, the program authorized by 49 U.S.C. § 5329(c)(1)).

Acronyms and Definitions

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RFGPTS

Rail fixed guideway public transportation system; any fixed guideway system that uses
rail, is operated for public transportation, is within the jurisdiction of a State, and is not
subject to the jurisdiction of the Federal Railroad Administration, or any such system in
engineering or construction.

RTA

Rail transit agency; any entity that provides services on a rail fixed guideway public
transportation system.

Serious injury

Any injury which: requires hospitalization for more than 48 hours, commencing within
seven days from the date of injury; results in a fracture of any bone (except simple
fractures of fingers, toes, or nose); causes severe hemorrhages, nerve, muscle, or tendon
damage; involves any internal organ; or involves second- or third-degree burns, or any
burns affecting more than five percent of the body surface.

SSO

State Safety Oversight

SSOA

State Safety Oversight Agency

State

A State of the United States, the District of Columbia, Puerto Rico, the Northern Mariana
Islands, Guam, American Samoa, and the Virgin Islands.

State Safety Oversight
Agency

An agency established by a State that meets the requirements and performs the functions
specified in 49 CFR Part 674.

SSPP

System Safety Program Plan

TTP

Technical Training Plan

U.S.C.

United States Code

Vehicle

Any rolling stock used on a rail fixed guideway public transportation system, including,
but not limited to, passenger and maintenance vehicles.

Acronyms and Definitions

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Applicability
This Toolkit refers to requirements of the State; for the purposes of this Toolkit, "the State" or "States" refers to eligible
States. An eligible State is any State of the United States that has within its jurisdiction one or more rail fixed guideway
public transportation systems (RFGPTS) not subject to oversight by the Federal Railroad Administration (FRA), or
any such system in engineering or construction. States entering the State Safety Oversight (SSO) program upon
engineering or construction of the States’ first RFGPTS or entering due to a reclassification of an existing RFGPTS
are required to create and maintain an SSO agency as directed on a case-by-case basis by the Federal Transit
Administration (FTA).

The 49 CFR Part 674 Certification Process
Background
The FTA established the first-ever State-managed safety and security oversight program for RFGPTS not regulated
by the FRA in 1995. The FTA published requirements for this program in 49 CFR Part 659, “Rail Fixed Guideway
Systems; State Safety Oversight”, on December 27, 1995. The FTA worked with eligible States to develop compliant
programs and, in the fall of 1998, initiated its monitoring role as required in 49 CFR § 659.7 through a formal auditing
program. On April 29, 2005, FTA published a revised rule in the Federal Register to include further clarifications and
specifications.

FTA’s New SSO Rule
In 2012, Congress directed FTA to implement new authorities and statutory mandates designed to strengthen the State
Safety Oversight (SSO) program. Congress identified several critical weaknesses in the existing State oversight of rail
transit safety as implemented through 49 CFR Part 659, including:
 Lack of adequate and consistent safety practices across the rail transit industry;
 Lack of regulatory, oversight, and enforcement authority for State agencies;
 Limited SSO program funding, staff, training, and other resources; and
 Lack of SSO agency financial and legal independence from the rail transit agencies they oversee.
On March 16, 2016, FTA issued the 49 CFR Part 674 final rule to replace 49 CFR Part 659. This rule directs eligible
States to strengthen their authority to oversee and enforce safety requirements and to prevent and mitigate accidents
and incidents on the RFGPTS in their jurisdictions. This rule is available at: https://www.transit.dot.gov/regulationsand-guidance/safety/state-safety-oversight-sso-program.
These program requirements represent a dramatic increase in Federal expectations for State programs and for the
public transportation industry. In recognition of the additional responsibilities these requirements place upon eligible
States, 49 CFR Part 674 also establishes the SSO Formula Grant program, offering first-of-its-kind Federal funding
for State safety oversight activities.
Part 674 significantly changes how the Federal government and the States work together to keep RFGPTS safe. For
the first time, FTA must certify each State’s safety oversight program, determining whether the program meets Federal
requirements.

Purpose of the FTA’s 49 CFR Part 674 Certification Toolkit
The FTA’s 49 CFR Part 674 Certification Toolkit provides guidance to States in managing the new SSO certification
process. Each State must submit an application to FTA to initiate its official certification process. Prior to this, the
FTA will provide technical assistance. Once an application is submitted, the FTA will review the application and
issue:
 A certification of compliance,
 A request for additional information, or
 A denial of certification.
Using the guidance in this Toolkit, States will be able to complete their applications and demonstrate general
conformance with Part 674 requirements. The FTA’s Toolkit is not a minimum standard, but rather a guide for
activities and requirements that clearly address FTA’s SSO program requirements. States may propose other methods
for meeting these requirements, however, these alternate methods must adequately address Part 674 provisions.

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The FTA will issue certifications of compliance based on the SSO agency’s readiness and ability to oversee the
RFGPTS within its jurisdiction using the criteria set forth in Part 674 and outlined in this Toolkit. Similar to the SSO
Certification Work Plans, used in the SSO Formula Grant program to lay out each State’s roadmap for meeting 49
U.S.C. § 5329 requirements, State program certifications will also proceed on a case-by-case basis, recognizing the
need for flexibility when dealing with a diverse set of State legislatures, chief executives, constitutional and statutory
constructs, and SSO regulations. The FTA will continue to provide customized, targeted assistance to each SSO
agency as appropriate.

Certification Requirements

Through the new certification process required in 49 CFR § 674.19 FTA plays a critical role in assuring the
effectiveness and adequacy of the States’ SSO programs to implement the FTA’s requirements and to address systemic
safety concerns at RFGPTS with the potential to result in death or serious injury. The FTA’s SSO rule outlines the
following certification elements:
 49 CFR § 674.19(a) requires FTA to determine whether the State’s SSO program meets Federal requirements
and adequately ensures that the SSO agency:
o Is financially and legally independent from any RFGPTS it oversees;
o Does not directly provide overlapping public transportation services in an area with a RFGPTS;
o Does not employ any individual responsible for administering a RFGPTS;
o Has the authority to review, approve, oversee, and enforce a public transportation agency safety plan
for a RFGPTS;
o Has investigative and enforcement authority with respect to RFGPTS safety, including the authority
to investigate accidents, incidents, and occurrences at the RFGPTS, and to require, approve, track,
and verify implementation of corrective actions to ensure RFGPTS safety;
o Has the authority to adopt and enforce Federal and State laws affecting RFGPTS safety;
o Audits each RFGPTS in its jurisdiction for compliance with safety plan requirements at least every
three years;
o Reports the status of the safety of each RFGPTS to the Governor, FTA, and the RFGPTS board of
directors or equivalent agency at least once a year in the interest of accountability and transparency;
o Develops and updates a Program Standard to communicate the SSO agency’s oversight authorities,
activities, and requirements for each RFGPTS in the State;
o Has sufficient staff resources and expertise to oversee the number, size, and complexity of the
RFGPTS within the State; and
o Addresses the FTA’s safety certification and training requirements for all staff resources, including
contractors, who conduct audits, examinations, investigations, or inspections for the SSO agency.
 49 CFR § 674.19(b) requires FTA to issue either a certification or a denial of certification for each State’s
SSO program.
 49 CFR § 674.19(c) provides that, in the event FTA issues a denial of a certification, FTA must provide the
State a written explanation and an opportunity to modify its SSO program to merit the issuance of
certification, and ask the Governor of the State to take all possible steps to correct the deficiencies that are
precluding the issuance of a certification. The language at 49 CFR § 674.19(c) also elaborates on the FTA’s
authority to impose financial penalties for non-compliance.
 The language at 49 CFR § 674.19(d) states that, in deciding whether to issue a certification for a State’s SSO
program, FTA ultimately must evaluate “whether the SSOA has sufficient authority, resources, and expertise
to oversee the number, size, and complexity of the RFGPTS that operate within the state, or will attain the
necessary authority, resources, and expertise in accordance with a developmental plan and schedule set forth
in a sufficient level of detail in the state’s SSO program.”
As required in 49 CFR Part 674, States must have their SSO programs approved by FTA by April 15, 2019. 49 CFR
§ 674.11 specifies that, “within three years of April 15, 2016, every State that has a rail fixed guideway public
transportation system must have a State Safety Oversight (SSO) program that has been approved by the FTA
Administrator.”
The new rule authorizes FTA to take enforcement action against States with non-existent or non-compliant safety
oversight programs. The language at CFR Part 675.21(b) clarifies that “If a State fails to establish a SSO program that
has been approved by the Administrator within three years of the effective date of this part, FTA will be prohibited

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from obligating Federal financial assistance apportioned under 49 U.S.C. § 5338 to any entity in the State that is
otherwise eligible to receive that Federal financial assistance.”
The language at 49 CFR Part 674.19(c) outlines the FTA’s additional authorities to impose financial penalties for noncompliance:
1. The Administrator can withhold SSO Formula Grant program funds from the State;
2. The Administrator can withhold not more than five percent of the FTA’s Urbanized Area Formula Program
(49 U.S.C. § 5307) formula funds appropriated for use in the State or urbanized area in the State, until such
time as the SSO program can be certified; or
3. The Administrator can require all of the RFGPTS governed by the SSO program to spend up to 100 percent
of their Federal funding under 49 U.S.C. Chapter 53 for safety-related improvements on their systems, until
such time as the SSO program can be certified.
See 49 U.S.C. § 5329(e)(7)(D)(ii) 49 CFR § 674.19(c).
Federal public transportation law (49 CFR Part 670) also provides FTA non-financial authorities that may be used to
oversee RFGPTS safety, including the authority to conduct inspections, investigations, audits, examinations, and
testing or equipment, facilities, rolling stock, records, and a recipient’s operations; require the production of
documents; issue subpoenas and depositions; prescribe record keeping and reporting requirements; issue directives;
require more frequent oversight activities; require that Federal grant program funds be spent to correct safety
deficiencies before funds are spent on other projects; and withhold funds from a recipient. 49 U.S.C. § 5329(f) and
(g), 49 CFR Part 670.

Timeline for State Transition to 49 CFR Part 674
The FTA encourages each State to submit its certification application as early as possible. To ensure certification
within the three-year deadline specified in 49 CFR Part 674.11, FTA strongly recommends that each State submit its
application no later than April 15, 2018, providing a full year for evaluation, review, on-site verification assessments
(if needed), and re-submission (if warranted).

Completing the 49 CFR Part 674 Certification Application
States must submit their completed Certification Application with a transmittal letter from the highest ranking
Transportation or applicable agency Official in the State or equivalent position. The Certification Application is a
fillable Adobe .pdf file that collects:
 Basic information on the agency the State designated to implement its SSO program and on the RFGPTS that
will be included in the State’s program; and
 Documentation to support the State’s conformance with each particular certification element.
In the Application, each 49 CFR Part 674 certification item is identified by name, with a brief explanation of the
requirement and a citation of the applicable 49 CFR Part 674 references. For each certification item, the State must
submit and identify the related final document, plan, or legislation.
Due to the interconnectivity of program elements, some SSO agencies may need to reference the same documentation
multiple times. The SSO agency does not need to submit duplicate documentation; the Application provides States
the opportunity to identify documents that apply to multiple certification items. In these instances, the State should
provide a clear, concise citation to direct the FTA’s review to the appropriate location(s) within the submitted
documentation.
The Certification Toolkit and Application are organized into six basic categories of certification requirements:
 Category 1: SSO Agency Independence
 Category 2: General Program Requirements
 Category 3: Enforcement Authorities
 Category 4: Investigations and Audits
 Category 5: SSO Staffing, Training, and Qualification
 Category 6: Program Standard

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49 CFR Part 674 Certification Application Review Process
The FTA will review each application as it is received and may contact the SSO agency for additional details or
clarifications. Upon submission, FTA will perform an initial review of the application for completeness and to ensure
all required and referenced documents are included. Depending on the nature of the missing information or
documentation, incomplete applications may be sent back to the SSO agency for review and revision, or the missing
items or information may be requested from the SSO agency.
After the SSO agency submits a complete application, FTA will review the application and accompanying
documentation by Category. The FTA may contact the SSO agency during this time for clarifications or follow-up
questions. The FTA also may conduct field visits or verification activities at the States or their RFGPTS. Once all
questions and concerns are resolved, FTA will issue a formal letter of approval to the State to certify its SSO program.
In the event that FTA cannot certify the State’s SSO program, FTA will issue a denial of certification. As specified in
49 CFR § 674.19(c), the denial of certification will include a written explanation regarding the specific issues,
concerns, or deficiencies with the State’s certification application and/or SSO program that prohibit certification. The
FTA will also provide the State with an opportunity to correct its application and to resolve the issues, concerns, or
deficiencies specified in the denial of certification. In addition, FTA will communicate with the Governor of the State
to request his or her support in taking all possible steps to correct the items that preclude certification.

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Category 1. SSO Agency Independence
a) Legal Entity
49 CFR § 674.11(c):
Establish a State safety oversight agency, by State law, in accordance with the requirements of 49 U.S.C.
5329(e) and this part.
49 CFR § 674.13(a):
Every State that must establish a State Safety Oversight program in accordance with 49 U.S.C. 5329(e) must
also establish a SSOA for the purpose of overseeing the safety of rail fixed guideway public transportation
systems within that State.
As specified in 49 CFR Part 674, the SSO agency officially designated by the State must be a legal entity of the State.
In past communication with the States, FTA clarified that to be considered a legal entity of the State, the SSO agency
must be a division, organization, agency, or agent of the State, capable of:
 Promulgating and enforcing State rules and regulations;
 Enforcing Federal rules and regulation;
 Establishing and carrying out its legal and financial obligations independent of the RFGPTS in its
jurisdiction;
 Directly hiring and developing staff and contract support;
 Managing Federal and State grant programs; and
 Executing a robust and active oversight program sufficient to meet the safety oversight needs of the RFGPTS
in its jurisdiction.
Most States previously demonstrated to FTA that their designated SSO agencies are legal entities of the State.
Therefore, on the application checklist, States may reference the legislation, designation letter from the Governor, or
other document that specifies their status as a legal entity of the State. In meeting this particular requirement, States
and SSO agencies are not constrained to documentation prepared after the release of 49 CFR Part 674, and may submit
documentation that pre-dates the legislation if available and applicable to demonstrate legal status.
Required Submissions
1. Program Standard and citation for language identifying the SSO agency as a legal entity of the State
2. Legislation, directive, administrative code, or other vehicle through which the State establishes its status as
a legal entity and citation
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 1, Sample Memorandum of Intent
2. Program Standard Technical Assistance Guide

1. SSO Agency Independence, a) Legal Entity

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Category 1. SSO Agency Independence
b) Legal Independence from RFGPTS
49 CFR § 674.13(a)(1):
The SSOA is financially and legally independent from any public transportation agency the SSOA is obliged
to oversee.
49 CFR § 674.41:
(a) An SSOA must be financially and legally independent from any rail fixed guideway public transportation
system under the oversight of the SSOA, unless the Administrator has issued a waiver of this requirement in
accordance with § 674.13(b).
As specified in 49 CFR Part 674, the SSO agency officially designated by the State must be legally independent from
each RFGPTS in the State’s SSO program so that the agency acts independently and without reservation in the interest
of public safety. Legal independence from the RFGPTS and from departments within the State with a vested interest
in the RFGPTS’ financial or operational performance is critical to the SSO agency’s ability to perform its safety
functions free from outside control or influence and with appropriate autonomy in its day-to-day decision-making.
The SSO agency must be able to act independently to resolve safety concerns without conflicting accountabilities or
responsibilities for the performance, budget, or reputation of the RFGPTS so that the opinions, findings, conclusions,
judgments, and recommendations made by the agency are impartial and viewed as impartial by third parties with
knowledge of the relevant information, such as FTA.
As part of the Application, the State must submit documentation to demonstrate the SSO agency’s legal independence
from the RFGPTS in its jurisdiction. This documentation must clearly show the legal separation of the SSO agency
and RFGPTS, including a clear depiction of their reporting relationships and any shared board memberships,
organizational activities or responsibilities, or reporting streams.
The documentation must include disclosures of, and elimination of or mitigations for, any potential conflicts. While
the goal must be to document and eliminate any instances of legal conflict of interest, FTA acknowledges that States
may encounter instances where conflicts cannot be eliminated and must be mitigated instead. Appropriate mitigations
may include recusals, external consultation on matters relating to a potential conflict of interest, or restructuring or
reallocating responsibilities. These mitigations may require self-certification and periodic independent reviews
conducted with reasonable care and professional skepticism to maintain objectivity and credibility.
Required Submissions
1. Program Standard and citation for language identifying the SSO agency as legally independent from the
RFGPTS in its jurisdiction
2. Legislation, directive, administrative code, or other vehicle through which the State establishes its legal
independence
3. Organization chart depicting the SSO agency’s place within its State agency that:
a. Demonstrates the agency’s independence from the RFGPTS, and
b. Shows the lines of reporting from the SSO agency to the highest State transportation official or
equivalent position
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 2, Sample Policy for Ensuring Legal and Financial
Independence
2. Program Standard Technical Assistance Guide

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Category 1. SSO Agency Independence
c) Financial Independence from RFGPTS
49 CFR § 674.13(a)(1):
The SSOA is financially and legally independent from any public transportation agency the SSOA is obliged
to oversee.
49 CFR § 674.41:
(a) An SSOA must be financially and legally independent from any rail fixed guideway public transportation
system under the oversight of the SSOA, unless the Administrator has issued a waiver of this requirement in
accordance with § 674.13(b).
As specified in 49 CFR Part 674, the SSO agency officially designated by the State must be financially independent
from the RFGPTS in the State’s SSO program. Financial independence means that there are no monetary dependencies
or connections exist between the SSO agency and the RFGPTS. The SSO agency is not financially vested in the
RFGPTS and its success, and the RFGPTS does not fund the SSO agency or direct its budget or activities in any way.
The language in 49 CFR Part 674.13(a)(1) and 49 CFR Part 674.41 reflect previous FTA and NTSB concerns
regarding the ability of the SSO agency to act independently and without reservation in the interest of public safety.
Financial independence from the RFGPTS and from departments within the State with a vested interest in the
RFGPTS’ financial or operational performances is critical to the SSO agency’s ability to perform its safety functions
free from outside control or influence and with appropriate autonomy in its day-to-day decision-making. The SSO
agency must be able to act independently to resolve safety concerns without conflicting accountabilities or
responsibilities for the performance, budget, or reputation of the RFGPTS.
The State must submit documentation to demonstrate complete financial independence from the RFGPTS in its
jurisdiction. Financial independence means that:
1. The SSO agency and RFGPTS do not have monetary dependencies or connections
2. The SSO agency personnel and actions are not controlled or limited by financial resources supplied by the
RFGPTS or by pressures exerted from the SSO agency’s vested interest in the RFGPTS’ success, or that of
its projects or activities
3. The SSO agency is not financially vested in the RFGPTS and its success
4. The RFGPTS does not fund the SSO agency or direct its budget or activities in any way
5. The SSO program budget and/or resources cannot be subverted or redirected towards programs designed to
fund, support, or enhance public transportation in the State
The State must submit documentation of any grants, assistance, subsidies, or other financial programs and activities
awarded to the RFGPTS through the State department that houses the SSO agency as well as any funding provided to
public transportation in general in the State. This documentation must clearly show the financial separation of the SSO
agency and RFGPTS, including a clear depiction of their reporting relationships and funding streams. The
documentation must include disclosures of and mitigations for any potential conflicts.
While the goal must be to document and eliminate any instances of financial conflict of interest, FTA acknowledges
that States may encounter instances where conflicts cannot be eliminated and must be mitigated instead. Appropriate
mitigations may include recusals, external consultation on matters relating to a potential conflict of interest, or
restructuring or reallocating responsibilities. These mitigations may require self-certification and periodic independent
reviews conducted with reasonable care and professional skepticism to maintain objectivity and credibility.
If the SSO agency or its parent agency approves the budget or capital projects for RFGPTS in the SSO program or for
any public transportation agency in the State, the State must submit detailed descriptions of these activities and its
mitigation strategy to prevent conflicts of interest.
Financial Independence and Civil Fines or Penalties
In order to maintain financial independence, SSO agencies that issue or will issue civil fines or penalties as an
enforcement mechanism must not collect the funds from these penalties through the SSO agency. The FTA

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recommends that these funds be disbursed to the State's general fund or to some other fund that is not tied to the SSO
program. Agencies that issue or will issue civil fines or penalties must include documentation of the process used for
collecting funds to show financial independence.
Required Submissions
1. Program Standard and citation for language identifying the SSO agency as financially independent from the
RFGPTS in its jurisdiction
2. Legislation, directive, administrative code, or other vehicle through which the State establishes its financial
independence
3. Organization chart depicting the SSO agency’s place within the State that clearly depicts the agency’s
financial independence from the RFGPTS
4. Organization chart depicting the SSO agency’s place within the State and its reporting relationships with
other State entities, including the RFGPTS
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 1, Sample Memorandum of Intent
2. Certification Work Plan Technical Assistance Tab 2, Sample Policy for Ensuring Legal and Financial
Independence
3. Program Standard Technical Assistance Guide

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Category 1. SSO Agency Independence
d) Overlap of Transportation Services
49 CFR § 674.13(a)(2):
The SSOA does not directly provide public transportation services in an area with a rail fixed guideway public
transportation system the SSOA is obliged to oversee.
As specified in 49 CFR Part 674, SSO agency officially designated by the State cannot directly provide transportation
services that overlap or compete with any RFGPTS in the State’s SSO program. This provision, like the 49 CFR Part
674 requirements for financial and legal independence, ensures that the SSO agency has no other considerations,
obligations, or influences in carrying out its oversight program.
The FTA generally does not consider single-point interfaces, such as ferry terminals or commuter bus stations located
in the RFGTPS service area, as overlapping public transportation service with the RFGPTS since these interfaces do
not generally actively compete with RFGPTS for passengers or revenue.
Most SSO agencies addressed this requirement in earlier action completed as part of the SSO grant program. The SSO
agencies should refer to these previous assessments and legal clarifications in responding to this item on the application
checklist. Typical information submitted by the SSO agencies includes details on the transportation service provided
by the State and the nature of the overlap and interface with the RFGPTS, as well as whether independent oversight
is provided, such as that provided by the United States Coast Guard for ferry services.
Required Submissions
1. Evidence that the agency does not directly provide public transportation in the same area as the RFGPTS, to
include, as applicable, a detailed review of any potentially competitive services provided in the same area as
the RFGPTS
Available Technical Assistance:
1. Certification Work Plan Technical Assistance Tab 1, Sample Memorandum of Intent
2. Program Standard Technical Assistance Guide

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Category 1. SSO Agency Independence
e) Employment Conflict of Interest
49 CFR § 674.13(a)(3):
The SSOA does not employ any individual who is also responsible for administering a rail fixed guideway
public transportation system the SSOA is obliged to oversee.
49 CFR § 674.41(b):
An SSOA may not employ any individual who provides services to a rail fixed guideway public transportation
system under the oversight of the SSOA, unless the Administrator has issued a waiver of this requirement in
accordance with § 674.13(b).
The requirements in 49 CFR Part 674.13(a)(3) and 49 CFR Part 674.41(b) reflect the FTA’s determination that
employees cannot appropriately carry out an SSO program if they are otherwise responsible for the administration of
RFGPTS programs or activities. As noted previously, Part 674 increases the State’s oversight responsibility to
RFGPTS in engineering and construction. States therefore must ensure that their conflict of interest policies and
procedures are sufficient to reflect the activities undertaken in all phases of a RFGPTS project.
This requirement may only be waived if the State meets the requirements of and requests a waiver in accordance with
49 CFR § 674.13(b), which states: “At the request of the Governor of a State, the Administrator may waive the
requirements for financial and legal independence and the prohibitions on employee conflict of interest … if the
[RFGPTS] in design, construction, or revenue operations in the State have fewer than one million combined actual
and projected [RFGPTS] revenue miles per year or provide fewer than ten million combined actual and projected
unlinked passenger trips.”
To address this certification item, some SSO agencies prepared conflict of interest, recusal, or other policies to manage
potential conflicts of interest as part of the SSO Formula Grant program process. These agencies should include such
documentation with their application.
Required Submissions
1. Program Standard and citation of language citing this prohibition
2. Documentation that officially cites this prohibition, including conflict of interest policy(ies)
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 1, Sample Memorandum of Intent
2. Certification Work Plan Technical Assistance Tab 2, Sample Policy for Ensuring Legal and Financial
Independence
3. Program Standard Technical Assistance Guide

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Category 1. SSO Agency Independence
f) Contractor Conflict of Interest
49 CFR § 674.41(c):
A contractor may not provide services to both an SSOA and a rail fixed guideway public transportation system
under the oversight of that SSOA, unless the Administrator has issued a waiver of this prohibition.
The requirements in 49 CFR Part 674.13(c) reflect the FTA’s determination that contractors cannot appropriately carry
out their activities in support of an SSO program if they are otherwise responsible for the RFGPTS’ financial or
operational success. Assessments of the implementation of the FTA’s SSO program since 1997 raised issues and
concerns regarding the roles and responsibilities of contractors working for States and RFGPTS. States must never
place contractors working on their SSO programs in positions where they are responsible for evaluating their own
work or for evaluating or overseeing work performed by other divisions or units within the contractor organization.
Further, States must ensure that contractors working on their SSO programs disclose work performed for other similar
RFGPTS or industry associations.
The language in 49 CFR Part 674.14(c) also indicates that, in certain circumstances, FTA can waive this conflict of
interest provision. For the above reasons, FTA does not anticipate waiving this requirement for the normal course of
SSO program activities. However, in an unusual or emergency situation, where only one contractor is available to
support both the State and the RFGPTS, depending the nature of the proposal and level of separation provided within
the contractor, FTA may consider waiving this requirement on a case-by-case basis.
As noted previously, 49 CFR Part 674 increases the State’s oversight responsibility to systems in engineering and
construction. States therefore also must ensure that their conflict of interest policies and procedures are sufficient to
reflect the activities undertaken in all phases of a RFGPTS’ life cycle.
To address this certification item, some SSO agencies prepared conflict of interest, recusal, or other policies to manage
potential conflicts of interest as part of the SSO Formula Grant program process. These agencies should include such
documentation with their application.
Required Submissions
1. Program Standard and citation of language citing this prohibition
2. Documentation that officially cites this prohibition, including provisions used in Requests for Proposals
(RFPs) or Statements of Work (SOWs)
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 1, Sample Memorandum of Intent
2. Certification Work Plan Technical Assistance Tab 2, Sample Policy for Ensuring Legal and Financial
Independence
3. Program Standard Technical Assistance Guide

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Category 2. General Program Requirements
a) Acknowledgement of Responsibility
49 CFR § 674.11(a):
Explicitly acknowledge the State’s responsibility for overseeing the safety of the rail fixed guideway public
transportation systems within the State.
The language at 49 CFR Part 674 requires each State to formally acknowledge its responsibility for overseeing
RFGPTS safety in the State. This acknowledgement addresses specific language in Federal public transportation law
(49 U.S.C. § 5329) to ensure the State’s primary obligation to designate and support an SSO agency with sufficient
authority, resources, and qualified personnel to oversee the number, size, and complexity of RFGPTS that operate
within a State. This also clarifies that the State is responsible for ensuring that its SSO agency adequately oversees
RFGPTS safety, identifying and addressing unsafe conditions and practices with the potential to result in death or
serious injury.
To address this general requirement, States typically have formal designation letters from their Governors and/or State
legislation that clearly identify the State’s primary responsibility for RFGPTS safety and clarify the State’s
commitment to meet this responsibility through the designation and support of the SSO agency. States should submit
this documentation and any other available documentation that officially recognizes the agency as the designated SSO
agency.
Required Submissions
1. Program Standard and citation of language explicitly acknowledging the State’s responsibility for RFGPTS
safety oversight
2. Legislation, directive, administrative code, or other vehicle through which the State establishes its
responsibility for overseeing all aspects of RFGPTS safety (including engineering and construction) and
explicit citation
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 1, Sample Memorandum of Intent
2. Program Standard Technical Assistance Guide

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Category 2. General Program Requirements
b) Funding Prohibition
49 CFR § 674.11(f):
Demonstrate that by law, the State prohibits any public transportation agency in the State from providing
funds to the SSOA.
The language at 49 CFR Part 674 prohibits the RFGPTS from funding any part of the State’s SSO program. As with
the other 49 CFR Part 674 requirements for financial independence, the funding prohibition requirement ensures that
the State appropriately enacts its authorities to ensure RFGPTS safety without concern for the SSO agency’s financial
position. This prohibition is included in response to previous instances where financial connections between RFGPTS
and SSO agencies may have limited or influenced the effectiveness of the State’s SSO program.
To address this requirement, many States elected to memorialize this prohibition through new or updated legislation,
directive, or administrative code. However, several States were unable to legislate a prohibition due to restrictions on
“legislating in the negative” (i.e., the inability to prohibit a practice or legal arrangement that does not or has never
existed in the State). In this circumstance, FTA is prepared to accept funding prohibitions from these States in the
form of an explicit prohibition included in the SSO agency’s Program Standard and an annual certification of financial
independence.
Required Submissions
1. Program Standard and citation for language prohibiting the RFGPTS from funding the SSO agency
2. Legislation, directive, administrative code, or other vehicle through which the State prohibits the RFGPTS
from funding the SSO agency
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 1, Sample Memorandum of Intent
2. Certification Work Plan Technical Assistance Tab 2, Sample Policy for Ensuring Legal and Financial
Independence
3. Program Standard Technical Assistance Guide

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Category 2. General Program Requirements
c) Establishment of Minimum Standards for Safety
49 CFR § 674.25(a):
An SSOA must establish minimum standards for the safety of all rail fixed guideway public transportation
systems within its oversight. These minimum standards must be consistent with the National Public
Transportation Safety Plan, the Public Transportation Safety Certification Training Program, the rules for
Public Transportation Agency Safety Plans and all applicable Federal and State law.
The language at 49 CFR Part 674 requires each SSO agency to have the authority to establish minimum safety
standards for the RFGPTS in its jurisdiction. These minimum standards must be consistent with other rules and
regulations issued by FTA in implementing the Public Transportation Safety Program. FTA also encourages the SSO
agencies to use this authority to establish minimum standards for the RFGPTS in their jurisdictions to address specific
safety concerns or risks monitored and managed in their SSO programs.
To meet this requirement, the SSO agency should submit the legislation or other documentation providing the SSO
agency with the authority to implement minimum standards and copies of any minimum standards developed or
proposed by the SSO agencies. The legislation or other documentation also must clarify that minimum standards
established for the RFGPTS in the State’s SSO program must be consistent with the FTA’s Public Transportation
Safety Program and all applicable Federal and State law.
Required Submissions
1. Legislation or other documentation demonstrating the SSO agency’s authority to establish minimum safety
standards for the RFGPTS in its jurisdiction
2. Program Standard updated to match the agency’s current program requirements and citation of language
regarding adoption of future FTA requirements
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 1, Sample Memorandum of Intent
2. Program Standard Technical Assistance Guide

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Category 2. General Program Requirements
d) Annual Report
49 CFR § 674.13(a)(7):
At least once a year, the SSOA reports the status of the safety of each rail fixed guideway public transportation
system to the Governor, the FTA, and the board of directors, or equivalent entity, of the rail fixed guideway
public transportation system.
The language at 49 CFR Part 674 requires the SSO agency designated by the State to report on the status of each
RFGPTS in its jurisdiction at least once a year. At a minimum, the SSO agency must report to the Governor of the
State, FTA, and the board of directors of each RFGPTS or equivalent agency.
In deference to the variety of RFGPTS’ operational characteristics as well as local and State administrative structures,
FTA does not require a specific set of metrics or delivery mechanisms for this report, with the exception of the SSO
agency’s report to FTA, which must continue to follow the FTA’s established annual reporting process.
The SSO agency may elect to make this safety status report to the Governor and the RFGPTS board of directors as a
presentation or may elect to submit a paper report or any other method of reporting as agreed upon by the SSO agency,
the Governor’s office, and the RFGPTS. States also may elect to use their SSO annual report to FTA as the basis for
their reports to the Governor and the RFGPTS board of directors.
Required Submissions
1. Program Standard and citation of language detailing the requirement for and contents of the annual report
Available Technical Assistance
1. Program Standard Technical Assistance Guide

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Category 2. General Program Requirements
e) Multi-State System Oversight Agency Designation
49 CFR § 674.15: Designation of oversight agency for multi-State system.
In an instance of a rail fixed guideway public transportation system that operates in more than one State, all
States in which that rail fixed guideway public transportation system operates must either:
(a) Ensure that uniform safety standards and procedures in compliance with 49 U.S.C. 5329 are
applied to the rail fixed guideway public transportation system, through an SSO program that has
been approved by the Administrator; or
(b) Designate a single entity that meets the requirements for an SSOA to serve as the SSOA for that
rail fixed guideway public transportation system, through an SSO program that has been approved
by the Administrator.
This requirement pertains only to States with multi-State RFGPTS in their jurisdiction. The FTA will coordinate
directly with these States to provide guidance and request necessary documentation. All other States may disregard.

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Category 3. Enforcement Authority
a) Enforcement Authorities
49 CFR § 674.13(a)(5):
The SSOA has investigative and enforcement authority with respect to the safety of all rail fixed guideway
public transportation systems within the State.
The 49 CFR Part 674 creates a new regulatory role for FTA and the States to address known gaps in the SSO program
and the safety performance of the rail transit industry identified through NTSB investigations, U.S. Government
Accountability Office audits and reviews, USDOT Office of the Inspector General assessments, and FTA SSO
program audits and safety studies.
To overcome a long-standing vulnerability in the SSO program that allows corrective action plans to remain open for
long periods of time and for serious safety concerns to go potentially unaddressed, 49 CFR Part 674 requires that each
State provide its SSO program and SSO agency with enforcement authority to ensure the safety of each RFGPTS in
its program and the implementation of each RFGPTS Agency Safety Plan. This authority must be sufficient to enable
States to compel action from the RFGPTS to address identified deficiencies.
To satisfy this certification requirement, States must demonstrate through legislation, directive, administrative code,
or other means and associated Program Standard language and procedures or checklists that they have the authority
and ability to enforce safety requirements at the RFGPTS, including any systems in engineering and construction.
Each State must demonstrate that its designated SSO agency can effectively execute, and escalate as warranted, the
authority to compel the RFGPTS to address serious deficiencies and concerns identified through investigation, audits,
inspections, safety risk management programs, and any other activity in a timely manner.
Characteristics of enforcement authority typically include:
 It is formally authorized (in statute or by executive order or direction or administrative code),
 It is formally implemented (for example, enforcement actions are delivered to the RFGPTS in writing with
clear deadlines and specific evidence of completion that must be demonstrated by the RFGPTS),
 It escalates in the event of RFGPTS non-compliance or non-responsiveness, and
 It provides due process provisions for the RFGPTS.
The FTA is focusing its evaluation of each State’s enforcement authorities in two major areas: ensuring that the State
can carry out its primary responsibility for RFGPTS safety in response to 1) an imminent threat to public safety on
the RFGPTS, and 2) a lack of action or non-compliance from the RFGPTS in carrying out its System Safety Program
Plan (SSPP) or Agency Safety Plan or corrective action plans approved by the State.
Imminent threats to public safety require immediate action. Authorities to address imminent safety threats may include
the authority to:
 Suspend RFGPTS operations;
 Inspect and remove deficient equipment or system infrastructure from service; and/or
 Issue an injunction, directive, or emergency order requiring the RFGPTS to correct an unsafe condition prior
to placing equipment or infrastructure back into passenger service.
RFGPTS non-responsiveness, or failure to implement corrective action typically occurs over time. Authorities to
address a lack of action or cooperation by the RFGPTS may include the authority to:
 Withhold or redirect funds,
 Levy civil or criminal fines or penalties, and/or
 Institute a formal citation or ticketing program.
In order to maintain financial independence, SSO agencies that issue or will issue civil fines or penalties as an
enforcement mechanism must not collect the funds from these penalties through the SSO agency.
To achieve certification from FTA, the State must submit an enforcement authority package that permits the SSO
agency to compel action across a variety of scenarios and circumstances with reasonable and measured penalties or

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incentives for timely RFGPTS action. The State’s enforcement authority package may be comprised of authorities
authorized under a single statute or executive order (i.e., a set of enforcement authorities to suspend operations and
implement civil penalties authorized as part of the State’s new legislation to meet 49 CFR Part 674, or it may include
two or more authorities authorized under different statutes, programs, or executive orders (i.e., the authority to
withhold funds, authorized as part of the State’s existing grant program for public transportation, and the authority to
suspend service, authorized in new legislation designed to meet 49 CFR Part 674 provisions).
The State’s package must also include a clear escalation protocol that explains how that State would use its authority
in response to on-going non-responsiveness or delays from the RFGPTS, as well as any due process or appeals
provisions afforded to the RFGPTS. Finally, if not already identified in the package, the State must also include a
clear explanation of the steps that the SSO agency will follow in executing or using its enforcement authority to
address FTA’s two major evaluation areas: 1) an imminent threat to public safety at the RFGPTS and 2) a lack of
action or non-compliance from the RFGPTS in carrying out the SSPP or Agency Safety Plan or corrective action plans
approved by the State.
Required Submissions
1. Legislation, directive, administrative code, or other appropriate vehicle granting the SSO agency the authority
to enforce safety requirements and address safety concerns and explicit citation
2. Program Standard and citation of language added to reflect enforcement authorities
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 4, Sample Enforcement Authority
2. Program Standard Technical Assistance Guide

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Category 3. Enforcement Authority
b) Adoption of Federal and State Laws
49 CFR § 674.11(b):
Demonstrate the State’s ability to adopt and enforce Federal and relevant State law for safety in rail fixed
guideway public transportation systems.
States must demonstrate through legislation, directive, administrative code, or other appropriate vehicle and associated
Program Standard that they have the authority and ability to adopt and enforce Federal and State safety laws at the
RFGPTS. This ability is central to implementing the full Public Transportation Safety Program and to demonstrating
the State’s enforcement capabilities and authority.
Required Submissions
1. Legislation, directive, administrative code, or other appropriate vehicle granting the SSO agency the authority
to enforce safety laws and explicit citation
2. Program Standard and citation of language added to reflect this authority
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 4, Sample Enforcement Authority
2. Program Standard Technical Assistance Guide

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Category 3. Enforcement Authority
c) Review, Approve, Oversee, and Enforce Agency Safety Plan
49 CFR § 674.13(a)(4):
The SSOA has authority to review, approve, oversee, and enforce the public transportation agency safety plan
for a rail fixed guideway public transportation system required by 49 U.S.C. § 5329(d).
49 CFR § 674.25(b):
An SSOA must review and approve the Public Transportation Agency Safety Plan for every rail fixed
guideway public transportation system within its oversight. An SSOA must oversee an RTA’s execution of
its Public Transportation Agency Safety Plan. An SSOA must enforce the execution of a Public
Transportation Agency Safety Plan, through an order of a corrective action plan or any other means, as
necessary or appropriate. An SSOA must ensure that a Public Transportation Agency Safety Plan meets the
requirements at 49 U.S.C. § 5329(d).
49 CFR § 674.29:
(a) In determining whether to approve a Public Transportation Agency Safety Plan for a rail fixed guideway
public transportation system, an SSOA must evaluate whether the Public Transportation Agency Safety Plan
is consistent with the regulations implementing such Plans; is consistent with the National Public
Transportation Safety Plan; and is in compliance with the program standard set by the SSOA.
(b) In determining whether a Public Transportation Agency Safety Plan is compliant with 49 CFR part 673,
an SSOA must determine, specifically, whether the Public Transportation Agency Safety Plan is approved by
the RTA’s board of directors or equivalent entity; sets forth a sufficiently explicit process for safety risk
management, with adequate means of risk mitigation for the rail fixed guideway public transportation system;
includes a process and timeline for annually reviewing and updating the safety plan; includes a comprehensive
staff training program for the operations personnel directly responsible for the safety of the RTA; identifies
an adequately trained safety officer who reports directly to the general manager, president, or equivalent
officer of the RTA; includes adequate methods to support the execution of the Public Transportation Agency
Safety Plan by all employees, agents, and contractors for the rail fixed guideway public transportation system;
and sufficiently addresses other requirements under the regulations at 49 CFR part 673.
(c) In an instance in which an SSOA does not approve a Public Transportation Agency Safety Plan, the SSOA
must provide a written explanation, and allow the RTA an opportunity to modify and resubmit its Public
Transportation Agency Safety Plan for the SSOA’s approval
The language at 49 CFR Part 674 maintains the existing requirement from 49 CFR Part 659 that the SSO agency
review, approve, and oversee the Public Transportation Agency Safety Plan for each RFGPTS in its jurisdiction, and
adds a new requirement that the SSO agency also is responsible for enforcing the RFGPTS’ implementation of this
plan through an order of a corrective action plan or any other means as necessary or appropriate. Ultimately, the SSO
agency also must ensure that the Agency Safety Plan it reviews, approves, oversees and enforces also complies with
the FTA’s final rule for the Public Transportation Agency Safety Plan.
Reviewing and Approving Agency Safety Plan
The requirements for the content of the Agency Safety Plan are not included in 49 CFR Part 674. These requirements
are forthcoming in separate rulemaking.
On February 5, 2016, FTA published the Public Transportation Agency Safety Plan (PTASP) Notice of Proposed
Rulemaking (NPRM). Under the proposed rule, each operator of public transportation that receives Federal financial
assistance under 49 U.S.C. Chapter 53 would be required to develop and implement an Agency Safety Plan based on
the principles of Safety Management System (SMS). Each transit operator would be required to develop an Agency
Safety Plan within one year after the effective date of a PTASP final rule (49 CFR Part 673). The PTASP final rule
would replace the current requirement for a 21-point checklist or SSPP under 49 CFR Part 659.

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Therefore, depending on the timing of when the State applies for certification, the State may use the plan contents
specified in 49 CFR Part 659.19 or the new Public Transportation Agency Safety Plan specified in the FTA’s
forthcoming final rule. Whatever plan is used, FTA expects the State to meet each of the 49 CFR Part 674 requirements
for review, approval, oversight, and enforcement. For States that use the 49 CFR Part 659.19 requirements as the basis
of the Agency Safety Plan, FTA also expects the State to update its Program Standard and other applicable
documentation.
Required Submissions
1. Legislation, directive, administrative code, or other appropriate vehicle granting the SSO agency the authority
to review, approve, oversee, and enforce the Agency Safety Plan or SSPP;
2. Program Standard and citation of language added to reflect this authority, to include requirements for Agency
Safety Plan review and approval, oversight and enforcement at the RFGPTS
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 4, Sample Enforcement Authority
2. Program Standard Technical Assistance Guide

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Category 3. Enforcement Authority
d) Allegations of Noncompliance
49 CFR § 674.25(c):
An SSOA has primary responsibility for the investigation of any allegation of noncompliance with a Public
Transportation Agency Safety Plan.
The FTA acknowledges the critical role that public and employee allegations of noncompliance play in the
development and maintenance of a safe RFGPTS operating environment. The SSO agency must demonstrate that it
has the authority and a clear process in place to collect information, evaluate findings, corroborate information, and
require action from the RFGPTS to correct any verified allegations of noncompliance regarding implementation of
the Agency Safety Plan. The FTA recommends that, in meeting this requirement, the State clarifies:
 How members of the public or RFGPTS employees or contractors can access or reach the SSO agency to file
allegations of noncompliance,
 How the State will investigate allegations of noncompliance, and
 The SSO agency’s proposed approach for sharing results regarding the findings of SSO agency
investigations.
As discussed in the above Category of this Toolkit, for purposes of certification, a program for identifying,
investigating, and correcting, as appropriate, allegations of noncompliance with Agency Safety Plan, can be developed
and demonstrated for an SSPP that meets 49 CFR Part 659.19 requirements or the requirements specified in the FTA’s
new Agency Safety Plan final rule.
Required Submissions
1. Legislation, directive, administrative code, or other appropriate vehicle or protocol through which the State
establishes its authority to and protocol for investigating allegations of noncompliance
2. Program Standard and citation of language addressing allegations of noncompliance
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 4, Sample Enforcement Authority
2. Program Standard Technical Assistance Guide

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Category 3. Enforcement Authority
e) Requiring and Verifying Corrective Action
49 CFR § 674.27(a)(8):
Corrective actions. The program standard must explain the process and criteria by which the SSOA may order
an RTA to develop and carry out a Corrective Action Plan (CAP), and a procedure for the SSOA to review
and approve a CAP. Also, the program standard must explain the SSOA’s policy and practice for tracking
and verifying an RTA’s compliance with the CAP, and managing any conflicts between the SSOA and RTA
relating either to the development or execution of the CAP or the findings of an investigation.
49 CFR § 674.37(a):
In any instance in which an RTA must develop and carry out a CAP, the SSOA must review and approve the
CAP before the RTA carries out the plan; however, an exception may be made for immediate or emergency
corrective actions that must be taken to ensure immediate safety, if the SSOA has been given timely
notification, and the SSOA provides subsequent review and approval. A CAP must describe, specifically, the
actions the RTA will take to minimize, control, correct, or eliminate the risks and hazards identified by the
CAP, the schedule for taking those actions, and the individuals responsible for taking those actions. The RTA
must periodically report to the SSOA on its progress in carrying out the CAP. The SSOA may monitor the
RTA’s progress in carrying out the CAP through unannounced, on-site inspections, or any other means the
SSOA deems necessary or appropriate.
The language at 49 CFR Part 674 requires that each SSO agency is required to exercise new authorities and capabilities
in requiring and enforcing corrective action at each RFGPTS in its program to address safety concerns, findings from
investigations and audits, and instances of non-compliance with the Agency Safety Plan. The FTA considers this new
authority to be one of the most significant ways in which 49 CFR Part 674 enhances the program implemented under
Part 659 and addresses historical weaknesses in the SSO program.
Requiring Corrective Action
New 49 Part 674 requirements expand the existing SSO program to cover safety issues and concerns identified at
RFGPTS projects in engineering and construction and also authorize the SSO agency to issue corrective action for
single instances of non-compliance identified with the day-to-day implementation of the RFGPTS Agency Safety
Plan. The SSO agency can also require corrective action in response to a broader range of investigative and audit
activities, as well as in response to an imminent threat to public safety.
New authorities also extend to the oversight and verification of each RFGPTS’ implementation of corrective actions
approved by the SSO agency. The RFGPTS must periodically report to the SSO agency on its progress in carrying out
the CAP, and the SSO agency must identify the extent and frequency of this reporting. The SSO agency also is
authorized to monitor the RFGPTS’ progress in carrying out each CAP through unannounced, on-site inspections, or
any other means the SSO agency deems necessary or appropriate.
To document its approach to implementing this new authority and set of requirements, the SSO agency must update
its Program Standard and any associated stand-alone policies or procedures to reflect:
 The increased scope of the SSO program and its policies and procedures for developing CAPs for systems in
engineering or construction;
 The increased scope of the SSO program and its policies and procedures for developing CAPs resulting from
observations, reviews, inspections, and other activities designed to assess day-to-day implementation of the
Agency Safety Plan at the RFGPTS;
 The increased scope of the SSO program and its policies and procedures for developing CAPs resulting from
investigations into safety events and other incidents or occurrences at the RFGPTS;
 The requirement to investigate complaints or instances of noncompliance with the Agency Safety Plan and
the CAPs developed as a result;
 The steps the RFGPTS may take to implement corrective action to address items that pose an immediate
safety concern and the steps the SSO agency will take to provide review and approval;
 The process the SSO agency will use to track CAPs to completion, including its requirements for routine
CAP updates; and

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The process to be used to monitor and verify RFGPTS’ progress in carrying out the CAP through
unannounced, on-site inspections, or any other means the SSO agency deems necessary or appropriate.

Verifying Corrective Action
The State also must submit its procedures for CAP implementation verification. While FTA does not dictate the
specific method used for this verification, the Program Standard and associated documents must outline a clear and
robust verification process that tracks and monitors the CAP to completion.
The State must submit its CAP tracking policies, procedures, and current tracking documentation. This documentation
must include the steps the State takes to verify CAP implementation after the RFGPTS presents it for closure. The
language at 49 CFR Part 674 authorizes the SSO agency to verify corrective implementation through unannounced,
on-site inspections or any other means the SSO agency deems necessary or appropriate. The FTA encourages SSO
agencies to establish procedures for conducting announced and unannounced inspections.
Managing Conflicts
The SSO agency operating under 49 CFR Part 659 managed conflicts between the SSO agency and the RFGPTS in
many program areas, such as disagreements over CAP suitability, accident cause, appropriate corrective action, review
findings, etc. As required under 49 CFR Part 674, SSO agencies obtained new enforcement authorities, some of which
permit the State to levy fines, withhold funding, suspend operations, or remove deficient equipment from service. As
such, FTA expects the SSO agency to update its Program Standard to include appropriate protocols for due process,
through which an RFGPTS or individual can petition an SSO agency determination for relief. If available, the SSO
agency must also submit documentation of other conflict resolution procedures, such as convening an independent
board to review conflicts over CAPs or event reports.
Required Submissions
1. Legislation, directive, administrative code, or other appropriate vehicle or protocol through which the State
establishes its authority to and protocol for requiring corrective action, verifying its implementation, and
managing conflicts between the SSO agency and RFGPTS regarding findings or CAP implementation
2. Program Standard and procedures for CAP management
3. Current CAP tracking matrix
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 4, Sample Enforcement Authority
2. Program Standard Technical Assistance Guide

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Category 4. Investigations and Audits
a) Investigative Authority
49 CFR § 674.13(a)(5):
The SSOA has investigative and enforcement authority with respect to the safety of all rail fixed guideway
public transportation systems within the State.
49 CFR § 674.25(d):
An SSOA has primary responsibility for the investigation of an accident on a rail fixed guideway public
transportation system.
49 CFR § 674.27(a)(7):
The SSO program standard must identify thresholds for accidents that require the RTA to conduct an
investigation. Also, the program standard must address how the SSOA will oversee an RTA’s internal
investigation; the role of the SSOA in supporting any investigation conducted or findings and
recommendations made by the NTSB or FTA; and procedures for protecting the confidentiality of the
investigation reports.
As discussed in the following Categories of this Toolkit, 49 CFR Part 674 only requires SSO agencies to formally
investigate “accidents” as defined in 49 CFR § 674.7. Accidents are a specific sub-set of safety events that “involve
the safety of a rail transit vehicle or take place on the property of any RFGPTS in its jurisdiction” and “result in a loss
of life; a report of a serious injury to a person; a collision involving a rail transit vehicle; a runaway train; an evacuation
for life safety reasons; or any derailment of a rail transit vehicle, at any location, at any time, whatever the cause.”
The FTA understands that most of the State’s investigative resources and activities will be focused on “accidents” that
meet 49 CFR Part 674 thresholds. However, 49 CFR § 674.13(a)(5) requires the SSO agency to have “investigative
authority with respect to the safety of all RFGPTS within the State.” Therefore, FTA requires each SSO agency to
demonstrate its clear authority to investigate any event, including an accident, incident, or occurrence, involving the
safety of a rail transit vehicle or taking place on the property of any RFGPTS in its jurisdiction. While the SSO agency
is not required to investigate these events, it must have the authority to do so should such an investigation be warranted
or determined to be necessary by the SSO agency to ensure public safety.
Further, at its discretion, the SSO agency also may develop procedures for the RFGPTS to:
 Notify the SSO agency of specific events beyond accidents;
 Submit required preliminary information and reports on events beyond accidents; and
 Coordinate with the SSO agency should the SSO agency launch to independently investigate any event.
The SSO agency also may specify trend reporting on events, including any information the RFGPTS must supply
regarding the frequency of occurrence of safety events, the consequences of these events, the contributing and probable
causes, and corrective action taken by the RFGPTS to prevent recurrence.
The FTA expects SSO agencies to be aware of all reportable incidents occurring at the RFGPTS under their oversight.
In addition, States may allow or require SSO agencies to request these reports directly from the RFGPTS.
Required Submissions
1. Program Standard and citation of language regarding investigative authorities
2. Legislation, directive, administrative code, or other appropriate vehicle granting the SSO agency the authority
to conduct, or cause to be conducted on the State’s behalf, investigations and explicit citation
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 4, Sample Enforcement Authority
2. Program Standard Technical Assistance Guide

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Category 4. Investigations and Audits
b) Notification of Accidents and Other Safety Events
49 CFR § 674.27(a)(6):
The SSO program standard must establish requirements for an RTA to notify the SSOA of accidents on the
RTA’s rail fixed guideway public transportation system. These requirements must address, specifically, the
time limits for notification, methods of notification, and the nature of the information the RTA must submit
to the SSOA.
49 CFR § 674.7:
Accident means an Event that involves any of the following: A loss of life; a report of a serious injury to a
person; a collision involving a rail transit vehicle; a runaway train; an evacuation for life safety reasons; or
any derailment of a rail transit vehicle, at any location, at any time, whatever the cause. An accident must be
reported in accordance with the thresholds for notification and reporting set forth in Appendix A to this part.
49 CFR § 674.7:
Event means an Accident, Incident or Occurrence.
49 CFR § 674.33:
(a) Two-hour notification. In addition to the requirements for accident notification set forth in an SSO
program standard, an RTA must notify both the SSOA and the FTA within two hours of any accident
occurring on a rail fixed guideway public transportation system. The criteria and thresholds for accident
notification and reporting are defined in a reporting manual developed for the electronic reporting system
specified by FTA as required in § 674.39(b), and in appendix A of the FTA’s final rule.
(b) FRA notification. In any instance in which an RTA must notify the FRA of an accident as defined by 49
CFR 225.5 (i.e., shared use of the general railroad system trackage or corridors), the RTA must also notify
the SSOA and FTA of the accident within the same time frame as required by the FRA.
The SSO agency must establish notification thresholds that the RFGPTS must follow to inform the SSO agency
regarding the occurrence of accidents, as defined in 49 CFR § 674.7, and any other safety events (incidents or
occurrences) identified by the SSO agency. The notification thresholds must define the specific events for which the
RFGPTS must notify the SSO agency, and must also include time limits for notification, methods of notification, and
the nature of the information the RFGPTS must submit to the SSO agency. The notification thresholds should be
included in the SSO agency’s Program Standard and in any separate investigation procedures developed for the State’s
SSO program.
At a minimum, the notification approach established by the SSO agency must specify a two-hour notification
requirement for “accidents” meeting 49 CFR Part 674.7 thresholds and must also clarify that the RFGPTS must notify
both the SSO agency and FTA within two hours of any “accident” occurring at a RFGPTS in the State’s SSO program.
The FTA will provide additional information regarding its preferred notification methods.
In addition, for those RFGPTS with waivers approved by FRA, the RFGPTS must notify both the SSO agency and
FTA when it experiences an accident as defined in 49 CFR § 225.5.
Required Submissions
1. Program Standard and citation of language regarding notification thresholds and requirements
2. Legislation, directive, administrative code, or other appropriate vehicle granting the SSO agency the authority
to conduct, or cause to be conducted on the State’s behalf, investigations and explicit citation
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 4, Sample Enforcement Authority
2. Program Standard Technical Assistance Guide

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Category 4. Investigations and Audits
c) Right to Access RFGPTS
49 CFR § 674.25(b):
An SSOA must review and approve the Public Transportation Agency Safety Plan for every rail fixed
guideway public transportation system within its oversight. An SSOA must oversee an RTA’s execution of
its Public Transportation Agency Safety Plan. An SSOA must enforce the execution of a Public
Transportation Agency Safety Plan, through an order of a corrective action plan or any other means, as
necessary or appropriate. An SSOA must ensure that a Public Transportation Agency Safety Plan meets the
requirements at 49 U.S.C. 5329(d).
49 CFR § 674.35:
(a) An SSOA must investigate or require an investigation of any accident and is ultimately responsible for
the sufficiency and thoroughness of all investigations, whether conducted by the SSOA or RTA. If an SSOA
requires an RTA to investigate an accident, the SSOA must conduct an independent review of the RTA’s
findings of causation. In any instance in which an RTA is conducting its own internal investigation of the
accident or incident, the SSOA and the RTA must coordinate their investigations in accordance with the SSO
program standard and any agreements in effect.
(b) Within a reasonable time, an SSOA must issue a written report on its investigation of an accident or review
of an RTA’s accident investigation in accordance with the reporting requirements established by the SSOA.
The report must describe the investigation activities; identify the factors that caused or contributed to the
accident; and set forth a corrective action plan, as necessary or appropriate. The SSOA must formally adopt
the report of an accident and transmit that report to the RTA for review and concurrence. If the RTA does not
concur with an SSOA’s report, the SSOA may allow the RTA to submit a written dissent from the report,
which may be included in the report, at the discretion of the SSOA.
49 CFR § 674.37(a):
In any instance in which an RTA must develop and carry out a CAP, the SSOA must review and approve the
CAP before the RTA carries out the plan; however, an exception may be made for immediate or emergency
corrective actions that must be taken to ensure immediate safety, provided that the SSOA has been given
timely notification, and the SSOA provides subsequent review and approval. A CAP must describe,
specifically, the actions the RTA will take to minimize, control, correct, or eliminate the risks and hazards
identified by the CAP, the schedule for taking those actions, and the individuals responsible for taking those
actions. The RTA must periodically report to the SSOA on its progress in carrying out the CAP. The SSOA
may monitor the RTA’s progress in carrying out the CAP through unannounced, on-site inspections, or any
other means the SSOA deems necessary or appropriate.
The FTA recognizes the importance of timely and comprehensive SSO agency access to RFGPTS property, personnel,
and files. The State must ensure that it has clear authorities, policies, and procedures in place to permit the SSO agency
access to critical information for investigations, audits, and verifications, as well as day-to-day oversight activities.
Such access also may require SSO agency personnel to take courses or achieve certification with the RFGPTS, such
as right-of-way worker protection training.
The State must demonstrate that its SSO agency maintains specific authorities to access the RFGPTS in its jurisdiction
to conduct, or require to be conducted on the State’s behalf, investigations into any accidents, incidents, hazards, and
conditions of concern, such as the right to:
 Enter RFGPTS property to conduct announced and unannounced inspections;
 Review records and interview employees;
 Review camera footage, audio recordings, and other data downloaded from electronic devices and recorders;
 Take measurements and independently inspect equipment and facilities;
 Observe employees in the performance of work; and
 Conduct independent assessments and evaluations, including laboratory tests and modeling.

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Required Submissions
1. Legislation, directive, administrative code, or other method through which the State establishes its authority
to access the RFGPTS, including rail property, vehicles, records and personnel, accident scenes and other
relevant locations, to conduct audits and investigations into accidents, implementation of the Agency Safety
Plan, and implementation of corrective action plans
2. Program Standard and citation of language regarding SSO access to RFGPTS property, personnel, and files
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 4, Sample Enforcement Authority
2. Program Standard Technical Assistance Guide

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Category 4. Investigations and Audits
d) Investigation Procedures
49 CFR § 674.35:
(a) An SSOA must investigate or require an investigation of any accident and is ultimately responsible for
the sufficiency and thoroughness of all investigations, whether conducted by the SSOA or RTA. If an SSOA
requires an RTA to investigate an accident, the SSOA must conduct an independent review of the RTA’s
findings of causation. In any instance in which an RTA is conducting its own internal investigation of the
accident or incident, the SSOA and the RTA must coordinate their investigations in accordance with the SSO
program standard and any agreements in effect.
(b) Within a reasonable time, an SSOA must issue a written report on its investigation of an accident or review
of an RTA’s accident investigation in accordance with the reporting requirements established by the SSOA.
The report must describe the investigation activities; identify the factors that caused or contributed to the
accident; and set forth a corrective action plan, as necessary or appropriate. The SSOA must formally adopt
the report of an accident and transmit that report to the RTA for review and concurrence. If the RTA does not
concur with an SSOA’s report, the SSOA may allow the RTA to submit a written dissent from the report,
which may be included in the report, at the discretion of the SSOA.
(c) All personnel and contractors that conduct investigations on behalf of an SSOA must be trained to perform
their functions in accordance with the Public Transportation Safety Certification Training Program.
The FTA empowers States to determine their own approach to accident investigations and requires only that the SSO
agency investigates or requires an investigation of any “accident” meeting the thresholds established at 49 CFR §
674.7. The SSO agency may elect to perform its own investigations, require the RFGPTS to conduct investigations
on its behalf, task a contractor with conducting investigations, or a combination of these approaches.
The process for determining the investigating party must be clearly outlined in the Program Standard or other
submitted document. If the SSO agency delegates responsibility for the performance of accident investigation to either
the RFGPTS or a contractor, the SSO agency must also submit documentation of its process to independently review
both the investigation and the investigation report, including its process for the adoption of investigation reports.
Given the responsibilities associated with formal investigations, 49 CFR Part 674 only requires the SSO agency ensure
the sufficiency and thoroughness of investigations into “accidents” meeting the specific thresholds outlined in 49 CFR
§ 674.7. Accidents are a specific sub-set of events that result in:
 A loss of life;
 Serious injury to a person;
 A collision involving a rail transit vehicle;
 A runaway train;
 An evacuation for life safety reasons; or
 Any derailment of a rail transit vehicle, at any location, at any time, whatever the cause.
For investigations into accidents meeting these thresholds, the SSO agency must ensure that a written report is issued
in accordance with procedures established by the SSO agency, and that a corrective action or actions is/are required
and implemented by the RFGPTS to address the causal and contributing factors of the accident, prevent recurrence,
and mitigate risk. As specified in 49 CFR § 674.25(e), SSO agencies may enter into an agreement with a contractor
for assistance in overseeing accident investigations, performing independent accident investigations, reviewing
incidents and occurrences, and for expertise that the SSO agency does not have within its own organization.
For investigation into all events, the SSO agency must establish:
 The SSO agency’s procedures for independent investigation and procedures for oversight of RFGPTS’
internal investigations;
 The role of the SSO agency in supporting any investigation conducted by or findings and recommendations
made by the NTSB or FTA; and
 Procedures for protecting the confidentiality of the investigation reports.

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In establishing these procedures, FTA expects that the SSO agency will address the following:
 Options to observe RFGPTS investigation activities. The SSO agency may observe RFGPTS staff during
portions of the investigation, such as on-scene response or records reviews, attend and observe all meetings
of the investigation team, and review all versions of reports and briefs resulting from investigation into safety
events.
 Performing a checklist-based review of all accident investigations to ensure all required elements are included
in the report
 Performing an audit of accident investigations to examine: how evidence collected during the investigation
is reflected in content of the final investigation report, strength of causal analysis determinations, and
comprehensiveness of investigations.
 Performing an audit of the investigation process, including adherence to notification protocols, submission
of draft reports, status updates, and final reports within required timeframes, and record keeping of final
reports among other items.
Regardless of the investigating party, the SSO agency must issue clear guidance and expectations for accident
investigation and ensure that all investigation reports appropriately identify causal or contributing factors and set forth
appropriate corrective action.
Required Submissions
1. Program Standard and citation of language regarding investigation procedures
2. Investigation procedures, or any other available documentation of the SSO’s approach to and requirements
for investigations
Available Technical Assistance
1. Program Standard Technical Assistance Guide

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Category 4. Investigations and Audits
e) Protection from Disclosure
49 CFR § 674.23:
(a) A State, an SSOA, or an RTA may withhold an investigation report prepared or adopted in accordance
with these regulations from being admitted as evidence or used in a civil action for damages resulting from a
matter mentioned in the report.
(b) This part does not require public availability of any data, information, or procedures pertaining to the
security of a rail fixed guideway public transportation system or its passenger operations.
49 CFR § 674.27(a)(7):
Investigations. The SSO program standard must identify thresholds for accidents that require the RTA to
conduct an investigation. Also, the program standard must address how the SSOA will oversee an RTA’s
internal investigation; the role of the SSOA in supporting any investigation conducted or findings and
recommendations made by the NTSB or FTA; and procedures for protecting the confidentiality of the
investigation reports.
The SSO program does not provide Federal legal protection for accident reports or other data. The language in 49
CFR Part 674 does, however, permit the State to enact its own statutes regarding public availability of reports, data,
etc. as it sees fit.
Required Submissions
1. Program Standard and citation of procedures for protecting the confidentiality of information
2. Legislation, directive, administrative code, or other method through which the State establishes its authority
to withhold data, information, or procedures regarding the RFGPTS and its operations
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 4, Sample Enforcement Authority
2. Program Standard Technical Assistance Guide

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Category 4. Investigations and Audits
f) Triennial Audit
49 CFR § 674.13(a)(6):
At least once every three years, the SSOA audits every rail fixed guideway public transportation system’s
compliance with the public transportation agency safety plan required by 49 U.S.C. 5329(d).
49 CFR § 674.27(a)(5):
Triennial SSOA audits of Rail Public Transportation Agency Safety Plans. The SSO program standard must
explain the process the SSOA will follow and the criteria the SSOA will apply in conducting a complete audit
of the RTA’s compliance with its Public Transportation Agency Safety Plan at least once every three years,
in accordance with 49 U.S.C. 5329. Alternatively, the SSOA and RTA may agree that the SSOA will conduct
its audit on an on-going basis over the three-year timeframe. The program standard must establish a procedure
the SSOA and RTA will follow to manage findings and recommendations arising from the triennial audit.
49 CFR § 674.31:
Triennial audits: general requirements. At least once every three years, an SSOA must conduct a complete
audit of an RTA’s compliance with its Public Transportation Agency Safety Plan. Alternatively, an SSOA
may conduct the audit on an on-going basis over the three-year timeframe. At the conclusion of the threeyear audit cycle, the SSOA shall issue a report with findings and recommendations arising from the audit,
which must include, at minimum, an analysis of the effectiveness of the Public Transportation Agency Safety
Plan, recommendations for improvements, and a corrective action plan, if necessary or appropriate. The RTA
must be given an opportunity to comment on the findings and recommendations.
The language at 49 CFR Part 674 requires that the SSO agency is required to conduct a complete audit of each rail
transit agency’s compliance with its Agency Safety Plan at least once every three years. Alternatively, an SSO agency
may conduct the audit on an on-going basis over the three-year timeframe. At the conclusion of the three-year audit
cycle, the SSO agency must issue a report with findings and recommendations arising from the audit, which must
include, at a minimum, an analysis of the effectiveness of the Agency Safety Plan, recommendations for
improvements, and a corrective action plan, if necessary or appropriate. The RFGPTS must be given an opportunity
to comment on the findings and recommendations.
Under 49 CFR Part 659, SSO agencies currently perform three-year reviews of each RFGPTS in their jurisdictions.
The language in 49 CFR Part 674 enhances this requirement, changing the three-year review process to a three-year
audit. This new requirement significantly increases the State’s responsibility for Agency Safety Plan implementation
field verification and expands responsibility for assessing the Agency Safety Plan’s effectiveness in ensuring RFGPTS
safety.
The FTA also encourages the SSO agencies to review the International Organization for Standardization’s, ISO
19011:2011 Guidelines for Auditing Management Systems, which provides guidance on conducting audits of
management systems. In reviewing this guidance, FTA encourages States to focus the development of auditing
processes on how well the RFGPTS implements each Category of the Agency Safety Plan and how well the results
it achieves compare to its initial objectives.
As part of the certification application, at a minimum, the SSO agency must submit its Program Standard updated to
reflect the revised three-year auditing process.
Required Submissions
1. Program Standard and citation of procedures for conducting three-year audits
Available Technical Assistance
1. ISO 19011:2011 Guidelines for Auditing Management Systems
Please see: http://www.iso.org/iso/catalogue_detail?csnumber=50675
2. Program Standard Technical Assistance Guide

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Category 5. Staffing and Qualification of SSO Personnel and Contractors
a) SSO Program Workload Assessment
49 CFR § 674.11(d):
Demonstrate that the State has determined an appropriate staffing level for the State safety oversight agency
commensurate with the number, size, and complexity of the rail fixed guideway public transportation systems
in the State, and that the State has consulted with the Administrator for that purpose.
The language in 49 CFR Part 674 requires the State to significantly strengthen its SSO program and enhance the level
and qualification of the personnel resources used to oversee and enforce RFGPTS safety. In order to ensure that the
SSO agency can adequately and appropriately exercise the rights and responsibilities required under 49 CFR Part 674
and implement and sustain a fully compliant program, each State must demonstrate to FTA an appropriate staffing
level commensurate with the number, size, and complexity of the RFGPTS in the State.
In consultation with FTA, the State must develop and submit a formal plan for organizing and staffing its SSO program
commensurate with Federal safety requirements, including 49 CFR Part 674, and the number, size, and complexity of
the RFGPTS in the State’s program. This plan must also include the State’s requirements to ensure the qualification
of the personnel designated to implement the SSO program on behalf of the eligible State, including completion of
the public transportation safety certification training program.
In order to meet these requirements, FTA expects States will staff their programs with personnel, including contractors
and part-time staff, skilled in accident and hazard investigation, safety data analysis, rail auditing and inspection,
program administration, and, for States with systems in engineering or construction, engineering or capital projects
management.
The FTA is aware that the approach to meeting the requirements under 49 CFR Part 674 will vary from State to State,
and, therefore, does not mandate a specific staffing minimum or requirement. States may use the Illustrative
Apportionments published in the Federal Register as part of the SSO Formula Grant program to review the FTA’s
expected size of the minimum annual SSO program budget by State. The FTA expects that most of this funding will
go towards staff and contractor costs and to cover the costs of other State resources, such as State Participation Program
Inspectors qualified through the Federal Railroad Administration or Occupational Safety and Health Administration
inspectors to support specific activities or reviews.
To meet this certification requirement, each State must submit a workload assessment and formal plan that clearly
outlines SSO activities and the resources necessary to complete the activities. States may receive certification prior to
achieving the staffing or contracting level referenced in their assessment. The FTA recognizes that many States will
“ramp up” their SSO program over the next several years, and that the agency’s current needs may not require its goal
resourcing level. The FTA expects States clearly indicate their plans and timelines for acquiring the additional
resources to meet its full workload assessment resourcing requirements.
Required Submissions
1. SSO Program Workload assessment
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 8, Sample SSO Workload Assessment
2. Certification Work Plan Technical Assistance Tab 9, Sample Job Descriptions
3. Sample Estimated Staffing Plan

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Category 5. Staffing and Qualification of SSO Personnel and Contractors
b) SSO Agency Organization and Personnel Qualifications and Experience
49 CFR § 674.5:
(a) In accordance with 49 U.S.C. 5329(e), a State that has a rail fixed guideway public transportation system
within the State has primary responsibility for overseeing the safety of that rail fixed guideway public
transportation system. A State safety oversight agency must have sufficient authority, resources, and qualified
personnel to oversee the number, size, and complexity of rail fixed guideway public transportation systems
that operate within a State.
(b) FTA will make Federal financial assistance available to help an eligible State develop or carry out its State
safety oversight program. Also, FTA will certify whether a State safety oversight program meets the
requirements of 49 U.S.C. 5329(e) and is adequate to promote the purposes of the public transportation safety
programs codified at 49 U.S.C. 5329.
49 CFR § 674.11(e):
Demonstrate that the employees and other personnel of the State safety oversight agency who are responsible
for the oversight of rail fixed guideway public transportation systems are qualified to perform their functions,
based on appropriate training, including substantial progress toward or completion of the Public
Transportation Safety Certification Training Program.
49 CFR § 674.25(e):
An SSOA may enter into an agreement with a contractor for assistance in overseeing accident investigations;
performing independent accident investigations; and reviewing incidents and occurrences; and for expertise
the SSOA does not have within its own organization.
49 CFR § 674.35(c):
All personnel and contractors that conduct investigations on behalf of an SSOA must be trained to perform
their functions in accordance with the Public Transportation Safety Certification Training Program.
The FTA expects the State to staff and otherwise resource their SSO programs with personnel skilled in investigation,
analysis, auditing, inspections, administration, and, as appropriate, engineering and capital projects management. The
State must submit documentation sufficient to demonstrate the capability of its personnel to oversee the RFGPTS in
its jurisdiction, and staffing appropriate to the size, number, and complexity of those systems.
States may utilize industry experts within other State departments, such as State Participation Program Inspectors
qualified through the Federal Railroad Administration or Occupational Safety and Health Administration inspectors
qualified through the State’s program to support specific activities or reviews, as well as contractors, and personnel
developed through State training, certification and professional development programs.
Recognizing the need for immediate assistance with the development of the rail transit safety oversight workforce,
Federal public transportation law also requires FTA to move forward with developing interim provisions for training
and certifying Federal and State Safety Oversight Agency personnel and their contractor support who conduct safety
audits and examinations of public transportation systems, in advance of the rulemaking process. Therefore, pursuant
49 U.S.C. § 5329(c)(2), FTA issued interim provisions for the certification and training of these designated Federal,
State, and other personnel who conduct safety audits and examinations.
Specifically, for SSO personnel and contractors, FTA established the Technical Training Plan (TTP). Each SSO
agency must develop a technical training plan for covered personnel and contractor support personnel who perform
safety audits and examinations. The SSO agency will submit its proposed technical training plan to FTA for review
and evaluation as part of the SSO agency certification program. This review and approval process also supports the
consultation required between FTA and SSO agencies regarding the staffing and qualification of the SSO agencies’
employees and other designated personnel in accordance with 49 CFR Part 674.

5. Staffing and Qualification of SSO Personnel and Contractors,
b) SSO Agency Organization and Personnel Qualifications and Experience

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The TTP acts as the template for the discussion between the State and FTA regarding the appropriate resourcing of
the SSO agency and takes into account the size, number, and complexity of the RFGPTS overseen by each State. As
in any business unit, employee turnover is to be expected. The FTA requires the State to upload an updated TTP to
the FTA Safety website by no later than September 30 of each calendar year, and to submit a current version with its
certification application.
Required Submissions
1. Technical Training Plan
2. SSO organization chart
3. SSO job position descriptions
4. Contractor Requests for Proposals or Statements of Work
Available Technical Assistance
1. Certification Work Plan Technical Assistance Tab 8, Sample SSO Workload Assessment
2. Certification Work Plan Technical Assistance Tab 9, Sample Job Descriptions
3. Staffing the 49 CFR Part 674 Agency
4. Sample Workload assessment
5. Interim Safety Certification Training Program Provisions
Please see: https://www.gpo.gov/fdsys/pkg/FR-2015-02-27/pdf/2015-03842.pdf
6. TTP Template
Please see: https://www.transit.dot.gov/oversight-policy-areas/guide-meeting-ftas-technical-training-planrequirements

5. Staffing and Qualification of SSO Personnel and Contractors,
b) SSO Agency Organization and Personnel Qualifications and Experience

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Category 5. Staffing and Qualification of SSO Personnel and Contractors
c) Training Program Certification
49 CFR § 674.11(e):
Demonstrate that the employees and other personnel of the State safety oversight agency who are responsible
for the oversight of rail fixed guideway public transportation systems are qualified to perform their functions,
based on appropriate training, including substantial progress toward or completion of the Public
Transportation Safety Certification Training Program.
49 CFR § 659.25(f):
All personnel and contractors employed by an SSOA must comply with the requirements of the Public
Transportation Safety Certification Training Program as applicable.
The SSO agency must conform with the FTA’s Public Transportation Safety Certification Program and ensure that
those responsible for RFGPTS oversight are qualified to perform their functions. As part of this qualifications package,
the SSO agency must ensure that its personnel completed or made substantial progress towards completing the Public
Transportation Safety Certification Training Program.
Required Submissions
1. Certification of the SSO agency's conformance with the FTA's Public Transportation Safety Certification
Training Program
2. Completed registration and certifications uploaded to the FTA's Safety Resource and Training Website
Available Technical Assistance
1. Interim Safety Certification Training Program Provisions
Please see: https://www.gpo.gov/fdsys/pkg/FR-2015-02-27/pdf/2015-03842.pdf

5. Staffing and Qualification of SSO Personnel and Contractors, c) Training Program Certification

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Category 6. Program Standard
Updated Program Standard Meeting 49 CFR Part 674 Requirements
49 CFR § 674.27: State safety oversight program standards
(a) An SSOA must adopt and distribute a written SSO program standard, consistent with the National Public
Transportation Safety Plan and the rules for Public Transportation Agency Safety Plans. This SSO program
standard must identify the processes and procedures that govern the activities of the SSOA. Also, the SSO
program standard must identify the processes and procedures an RTA must have in place to comply with the
standard.
(1): Program management. The SSO program standard must explain the authority of the SSOA to
oversee the safety of rail fixed guideway public transportation systems; the policies that govern the
activities of the SSOA; the reporting requirements that govern both the SSOA and the rail fixed
guideway public transportation systems; and the steps the SSOA will take to ensure open, on-going
communication between the SSOA and every rail fixed guideway public transportation system
within its oversight.
(2): Program standard development. The SSO program standard must explain the SSOA’s process
for developing, reviewing, adopting, and revising its minimum standards for safety, and distributing
those standards to the rail fixed guideway public transportation systems.
(3): Program policy and objectives. The SSO program standard must set an explicit policy and
objectives for safety in rail fixed guideway public transportation throughout the State.
(4): Oversight of Rail Public Transportation Agency Safety Plans and Transit Agencies’ internal
safety reviews. The SSO program standard must explain the role of the SSOA in overseeing an
RTA’s execution of its Public Transportation Agency Safety Plan and any related safety reviews of
the RTA’s fixed guideway public transportation system. The program standard must describe the
process whereby the SSOA will receive and evaluate all material submitted under the signature of
an RTA’s accountable executive. Also, the program standard must establish a procedure whereby
an RTA will notify the SSOA before the RTA conducts an internal review of any aspect of the safety
of its rail fixed guideway public transportation system.
(5): Triennial SSOA audits of Rail Public Transportation Agency Safety Plans. The SSO program
standard must explain the process the SSOA will follow and the criteria the SSOA will apply in
conducting a complete audit of the RTA’s compliance with its Public Transportation Agency Safety
Plan at least once every three years, in accordance with 49 U.S.C. 5329. Alternatively, the SSOA
and the RTA may agree that the SSOA will conduct its audit on an on-going basis over the threeyear timeframe. The program standard must establish a procedure the SSOA and RTA will follow
to manage findings and recommendations arising from the triennial audit.
(6): Accident notification. The SSO program standard must establish requirements for an RTA to
notify the SSOA of accidents on the RTA’s rail fixed guideway public transportation system. These
requirements must address, specifically, the time limits for notification, methods of notification, and
the nature of the information the RTA must submit to the SSOA.
(7): Investigations. The SSO program standard must identify thresholds for accidents that require
the RTA to conduct an investigation. Also, the program standard must address how the SSOA will
oversee an RTA’s internal investigation; the role of the SSOA in supporting any investigation
conducted or findings and recommendations made by the NTSB or FTA; and procedures for
protecting the confidentiality of the investigation reports.

6. Program Standard, Updated Program Standard Meeting 49 CFR Part 674 Requirements

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(8): Corrective Actions. The SSO program standard must explain the process and criteria by which
the SSOA may order an RTA to develop and carry out a Corrective Action Plan (CAP), and a
procedure for the SSOA to review and approve a CAP. Also, the program standard must explain the
SSOA’s policy and practice for tracking and verifying an RTA’s compliance with the CAP, and
managing any conflicts between the SSOA and RTA relating either to the development or execution
of the CAP or the findings of an investigation.
(b) At least once a year an SSOA must submit its SSO program standard and any referenced program
procedures to FTA, with an indication of any revisions made to the program standard since the last annual
submittal. FTA will evaluate the SSOA’s program standard as part of its continuous evaluation of the State
Safety Oversight Program, and in preparing FTA’s report to Congress on the certification status of that State
Safety Oversight Program, in accordance with 49 U.S.C. 5329.
The FTA developed a “Program Standard Technical Assistance Guide” to provide additional guidance to the SSO
agencies in revising their Program Standards. The FTA’s guide is not a regulatory document but is provided to offer
recommendations for States in enhancing their Program Standards to address new 49 CFR Part 674 elements.
As part of its certification application, the State must submit a Program Standard updated to meet 49 CFR Part 674
requirements.
Required Submissions
1. Program Standard updated to meet 49 CFR Part 674 requirements
Available Technical Assistance
Program Standard Technical Assistance Guide

6. Program Standard, Updated Program Standard Meeting 49 CFR Part 674 Requirements

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Appendix A: 49 CFR Part 674 Application Submissions
Each Category of the 49 CFR Part 674 Application requires one or more submissions. These submissions are listed in
the Certification Toolkit, and also below for reference.

Required Submissions



















Program Standard and citation of language for the appropriate Certification Application Category
Overview of revisions made to the Program Standard to address 49 CFR Part 674 requirements
Legislation, directive, administrative code, or other vehicle:
o Through which the State establishes its legal independence
o Through which the State establishes its status as a legal entity and citation
o Through which the State establishes its financial independence
o Through which the State prohibits the RFGPTS from funding the SSO agency
o Through which the State establishes its responsibility for overseeing all aspects of RFGPTS safety
(including engineering and construction)
o Granting the SSO agency the authority to enforce safety requirements and address safety concerns
o Granting the SSO agency the authority to review, approve, oversee, and enforce the PTASP or SSPP
o Through which the State establishes its authority to and protocol for investigating allegations of
noncompliance
o Through which the State establishes its authority to and protocol for managing conflicts between
the SSO agency and RFGPTS or individual
o Granting the SSO agency the authority to conduct, or cause to be conducted on the State’s behalf,
investigations and explicit citation
o Through which the State establishes its authority to access the RFGPTS, including rail property,
vehicles, records and personnel, accident scenes and other relevant locations, to conduct audits and
investigations into accidents, implementation of the Agency Safety Plan, and implementation of
corrective action plans
o Through which the State establishes its authority to withhold data, information, or procedures
regarding the RFGPTS and its operations, if applicable
Organization chart depicting the SSO agency’s place within the State that:
o Clearly depicts the agency’s legal and financial independence from the RFGPTS, and
o Clearly depicts the lines of reporting from the SSO agency to the highest State transportation official
or equivalent position
Organization chart depicting the SSO agency’s place within the State that clearly depicts the agency’s
financial independence from the RFGPTS
Evidence that the SSO agency does not directly provide public transportation in the same area as the
RFGPTS, to include, as applicable, a detailed review of any potentially competitive services provided in the
same area as the RFGPTS
Documentation that officially certifies that the SSO agency does not directly provide public transportation in
the same area as the RFGPTS, to include legislation, directive, administrative code, or other vehicle
Documentation that officially cites the prohibition of employee conflicts of interest, including conflict of
interest policy(ies)
Documentation that officially cites the prohibition of contractor conflicts of interest, including conflict of
interest policy(ies)
SSO Program Workload Assessment
Technical Training Plan
SSO organization chart
SSO job position descriptions
Contractor RFPs/SOWs
Certification of the SSO agency's conformance with the FTA's Public Transportation Safety Certification
Training Program
Completed registration and certifications uploaded to the FTA's Safety Resource and Training Website or
submitted to FTA

Appendix A: 49 CFR Part 674 Application Submissions

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Appendix B: 49 CFR Part 674 Frequently Asked Questions
49 CFR Part 674.1, Purpose.
Question:
Answer:

What is the purpose of 49 CFR Part 674?
The requirements at 49 CFR Part 674 establish an enhanced State Safety Oversight (SSO) program
to improve rail fixed guideway public transportation system (RFGPTS) safety nationwide.

49 CFR Part 674.7, Definitions.
Question:
Answer:

Why was the term accident redefined?
The purpose of this change is to align with the nomenclature used by other transportation modes,
including the Federal Aviation Administration and the National Transportation Safety Board
(NTSB), and to provide clarity during data analysis to identify safety trends.

Question:
Answer:

Does the term accountable executive apply to the SSO agencies?
No. The accountable executive is identified as the lead of a public transit agency who is ultimately
responsible for carrying out the various safety functions of the agency.

Question:
Answer:

What is the difference between an event and an accident, incident, or occurrence?
Accidents, incidents, and occurrences are all considered events. These unique events differ in
agency action requiring two-hour notification, thirty-day reporting, and self-monitoring,
respectively.

Question:
Answer:

Why was the term incident redefined?
The FTA is supporting the enhancement of transit safety through strong reporting and analysis of
incidents to better identify and prevent accidents. Even non-serious injuries suffered by a passenger
or employee are considered safety events that need to be reported by the RFGPTS to FTA.

Question:
Answer:

Is the term occurrence necessary?
Similar to incidents, FTA believes it is critical to define and identify what would constitute an
occurrence, and tracking occurrences may help to detect and prevent accidents. Close calls, near
misses, and violations of safety standards are all considered occurrences.

Question:
Answer:

Why is the definition for serious injury so specific?
The FTA definition of serious injury aligns with the Federal Aviation Administration and NTSB
nomenclature and thresholds.

Question:
Answer:

How are SSO agency and RFGPTS staff expected to identify serious injuries?
The FTA expects safety personnel to exercise common sense when evaluating injuries. If a serious
injury resulting from an accident becomes known at a later time, notification should be provided
within two hours from the time the information was acquired.

49 CFR Part 674.9, Transition from Previous Requirements for State Safety Oversight.
Question:
Answer:
Question:
Answer:

What is the transition time-frame from previous requirements to full implementation of 49 CFR Part
674?
Congress determined the previous requirements will be repealed three years after the effective date
of the effective date of Part 674.
How will the RFGPTS safety plan transition factor in to the SSO program transition?
An RFGPTS’ System Safety Program Plan (SSPP) developed under 49 CFR Part 659 will remain
operative until one year after the effective date of the Public Transportation Agency Safety Plan
final rule. Until such time as an RFGPTS is required to have a Public Transportation Agency Safety
Plan, an SSOA will continue to review and approve an RFGPTS’s SSPP. In addition, once FTA
issues a final rule to require Public Transportation Agency Safety Plans, a State’s SSO Program
must meet the requirements of Part 674 that pertain to those plans. A State that submits a complete
application and has its SSO program certified prior to the publication of a final rule to require Public

Appendix B: 49 CFR Part 674 Frequently Asked Questions

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Transportation Agency Safety Plans will be required to update its program standard to reflect the
safety plan requirements. The safety plan must be updated to reflect 49 CFR Part 674 changes.

49 CFR Part 674.11, State Safety Oversight Program; 49 CFR Part 674.13, Designation of Oversight
Agency; and 49 CFR Part 674.19, Certification of a State Safety Oversight Program.
Question:
Answer:

What are the SSO program minimum requirements and certification criteria?
SSO programs must be in compliance with the following requirements:
 Independence from RFGPTS
o The SSO agency must be legally and financially independent from RFGPTS.
o The SSO agency must not directly provide public transportation in the same area as
RFGPTS.
o The SSO agency must not employ any individual who administers RFGPTS programs.
 Enforcement authority
o The SSO agency must assume responsibility for RFGPTS safety oversight.
o The SSO agency must adopt and enforce Federal and relevant State safety laws.
o The State must prohibit the RFGPTS from funding the SSO agency.
o The State must grant the SSO agency the authority to review, approve, oversee, and
enforce RFGPTS Safety Plans.
 SSO Program Implementation Activities
o The SSO agency must have investigative and enforcement authority for all RFGPTS.
o The SSO agency must audit RFGPTS compliance with its Safety Plan at least once
triennially.
o The SSO agency must provide annual status report on RFGPTS safety to the Governor,
FTA, and the RFGPTS Board of Directors.
 Staffing and Qualification of SSO Personnel and Contractors
o The SSO agency must determine, in consultation with FTA, an appropriate staffing
level.
o The SSO agency must designate personnel qualified through appropriate training to
perform oversight functions.
o The SSO agency must require employees and other designated personnel to complete
the FTA’s Public Transportation Safety Certification program.
 Grants and Waivers
o The SSO agency must already or be ready to become an FTA grantee.
o The SSO agency must have or be ready to make its 20 percent match independent of
RFGPTS funding.
o The SSO agency does or does not qualify for a waiver and is or is not requesting a
waiver.

Question:

What are the terms and intent of the following language used in 49 CFR Part 674.19: sufficient
authority, appropriate staffing levels, qualified personnel, and safety related improvement?
SSO agencies must establish sufficient authority to meet all of the requirements outlined in 49 CFR
Part 674 and sufficient to achieve SSO program certification. Appropriate staffing levels must be
determined by the SSO agency and must ensure that the staffing level is sufficient to ensure all State
requirements are met for comprehensive and compliant RFGPTS oversight. The State must establish
requirements to ensure qualified personnel through the State training certification and FTA guidance
and consultation. Safety related improvement will vary based on the SSO program and the RFGPTS
it oversees.

Answer:

Question:
Answer:

What specific staffing and training requirements must my State address?
The language in 49 CFR Part 674 requires the State to significantly strengthen its SSO program and
enhance the level and qualification of the personnel resources used to oversee and enforce RFGPTS
safety. In order to meet these requirements, FTA expects States will staff their programs with
personnel skilled in accident and hazard investigation, safety data analysis, rail auditing and
inspection, program administration, and, for States with systems in engineering or construction,
engineering or capital projects management.

Appendix B: 49 CFR Part 674 Frequently Asked Questions

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In consultation with FTA, the State must develop and submit a formal plan for organizing and
staffing its SSO program commensurate with Federal safety requirements, including 49 CFR Part
674, and the number, size, and complexity of the RFGPTS in the State’s program. This plan must
also include the State’s requirements to ensure the qualification of the personnel designated to
implement the SSO program on behalf of the eligible State, including completion of the public
transportation safety certification training program.
States should consider the apportionments given each year to the SSO Formula Grant program as
the approximate size of the minimum annual SSO program budget FTA expects for your State.
Whatever the size of its SSO program, every State may also use their funding for contractors or to
cover the costs of other State resources, such as State Participation Program Inspectors qualified
through the Federal Railroad Administration or Occupational Safety and Health Administration
inspectors qualified through the State program to support specific activities or reviews.
Question:
Answer:

How will ongoing SSO program compliance be administered?
The FTA will audit each State’s compliance at least triennially.

49 CFR Part 674.17, Use of Federal Financial Assistance.
Question:
Answer:

What may Federal funds be used for?
The SSO agency may use Federal funds for reimbursement of operational and administrative costs
including employee training.

Question:
Answer:

What is the Federal fund share of SSO agency expenses?
Up to 80 percent. The FTA notes that the Federal matching funds are intended to supplement, not
replace existing SSO expenditures, and that States should not reduce their expenditures down to the
minimum 20 percent local share, particularly if it would result in a diminution or weakening of
safety oversight.

Question:

What may or may not be the source of the remaining 20 percent of non-Federal funds for an SSO
program?
The non-Federal funds may not be comprised of Federal funds, any funds received from a public
transportation agency, or any revenues earned by a public transportation agency.

Answer:

49 CFR Part 674.21, Withholding of Federal Financial Assistance for Noncompliance.
Question:
Answer:

Why will Federal funds be withheld from a transit agency as a result of State non-compliance?
The FTA is legislatively bound to carry out the statutory remedy prescribed by Congress as
authorized in Federal public transportation law (49 U.S.C. Section 5329).

Question:
Answer:

Who has the authority to impose financial penalties against a State Federal?
The Administrator has the authority to impose a range of financial penalties as authorized by
Congress and the cutoff of funding will be a last resort action. In addition, FTA will make every
effort to provide technical assistance to a State prior to terminating funds to transit agencies within
the State. Ultimately, if the Administrator determines that stopping Federal funds is the proper
action, adequate notification will be made prior to any actual cessation of funding.

49 CFR 674.23, Confidentiality of information.
Question:
Answer:

Are States required to formally protect accident investigation reports from admission into evidence
or use in civil action?
The FTA does not require States to protect accident reports, but the language of 49 CFR Part 674.23
does permit the State to enact statutes regarding the admissibility into evidence of accident
investigation of reports conducted in compliance with this Part, noting that any protections must be
based on State, not Federal, law and rules of evidence.

Appendix B: 49 CFR Part 674 Frequently Asked Questions

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49 CFR 674.25, Role of the State Safety Oversight Agency.
Question:
Answer:

What is the role of the SSO Agency?
See the Category for 49 CFR Parts 674.11, 674.13, and 674.19

Question:
Answer:

What is the SSO agency’s role in investigations?
See the Category for 49 CFR Part 674.35.

49 CFR 674.27, State Safety Program Standards.
Question:
Answer:

What are the minimum requirements for the SSO agency’s State Safety Program Standard (Program
Standard)?
The following are the minimum required elements for the SSO agency’s Program Standard. In
addition, FTA developed guidance providing additional information on Program Standard
development including good practices identified from various SSO agencies.
 Program Management Authority, Policies, Reporting, and Coordination with RFGPTSs
 Program Standard Development and Management Process
 Oversight of RFGPTS Public Transportation Agency Safety Plans and Internal Safety Reviews
 Triennial SSO Agency Audits of RFGPTS Public Transportation Agency Safety Plans and
Internal Safety Reviews
 Accident Notification
 Investigations
 Corrective Actions

Question:
Answer:

How often must the SSO agency’s State Safety Program Standard be submitted to FTA for review?
Annually with the State’s SSO Annual Report.

Question:

Can an SSO agency’s existing Program Standard be updated to meet the 49 CFR Part 674
requirements or is FTA requiring a completely restructured Program Standard.
The SSO agency’s existing Program Standard may be updated.

Answer:
Question:
Answer:

When FTA approves of the Program Standard, will the SSO agency be fully certified to implement
49 CFR Part 674?
No. The Program Standard is a portion of what must be examined and approved by FTA before the
SSO agency is granted certification. There are other steps that must be achieved, see the Q&A
Category for 49 CFR Parts 674.11, 674.13, and 674.19.

49 CFR 674.29, Public Transportation Agency Safety Plans: General Requirements.
49 CFR Part 673 does not have a final rule.

49 CFR 674.31, Triennial Audits: General Requirements.
Question:
Answer:

Is the State required to seek approval from the transit agency for scheduling the three-year audits?
The scheduling of the triennial audit is the responsibility of the SSO agency.

Question:
Answer.

Can the State conduct triennial audits in an on-going manner?
Yes. States that elect to conduct on-going audits must ensure that all elements of its audit program
are conducted within three calendar years (an element conducted in June 2016 must be completed
prior to June 2019, regardless of where the element falls within the entire audit cycle). Although
States may issue a report regarding the individual audit element, States must issue a comprehensive
report at the end of the three-year audit cycle to ensure that the State reviews RFGPTS safety
holistically as well as by element.

Question:
Answer:

When must the Triennial Audit report be issued?
The formal and comprehensive Triennial Audit report is to be issued at the conclusion of the threeyear audit cycle. However, this does not preclude an SSO agency from developing more frequent
reports, particularly if the SSO agency choses to perform ongoing audits, that are incorporated into
a comprehensive Triennial Audit report.

Appendix B: 49 CFR Part 674 Frequently Asked Questions

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Question:
Answer:

49 CFR Part 674 Certification Toolkit

What are the minimum content requirements for the Triennial Audit report?
The triennial report must include an analysis of the effectiveness of the RFGPTS’ Safety Plan,
recommendations for improvements, and requirements for corrective action plans as appropriate.

49 CFR 674.33, Notifications of Accidents.
Question:
Answer:

Who must the RFGPTS notify of transit accidents within the two-hour threshold?
The SSO agency and FTA. The FRA is to be notified of accidents as defined by 49 CFR Part 225.5
(i.e. shared use of the general railroad system track or corridors).

Question:

Is there guidance to aid RFGPTS and SSO agencies in determining what accidents meet the twohour threshold?
Yes. An appendix to 49 CFR Part 674 lists the various event thresholds and actions to be taken. In
addition, FTA developed the Rail Transit Agency Accident Notification Guide for aiding agencies
in determining what events meet two-hour notification thresholds.

Answer:

Question:
Answer:

How do SSO agencies ensure RFGPTS are providing accident notifications within the two-hour
time frame?
The FTA will provide SSO agencies with reports from or electronic access to the National Transit
Database to allow them to review National Transit Database accident reports on a regular basis. In
addition, States may allow or require SSO agencies to request these reports directly from the
RFGPTS.

49 CFR 674.35, Investigations.
Question:
Answer:

Who is responsible for investigations?
The SSO agencies are responsible for investigations. The SSO agencies may conduct independent
investigations and/or allow the RFGPTS to conduct investigations on its behalf. If the RFGPTS
conducts the investigation, the SSO agency must perform an independent review and formally adopt
the investigation report.

Question:
Answer:

What happens if the SSO agency does not approve an RFGPTS investigation?
If the SSO agency determines that an RFGPTS investigation is inadequate, the SSO agency may
conduct its own independent investigation or direct the RFGPTS to correct or improve the
investigation.

Question:
Answer:

What other agencies may perform investigations?
The FTA or NTSB may initiate their own investigation.

Question:
Answer:

What is the SSO agency’s approval process for RFGPTS investigations?
The SSO agency’s process for approving RFGPTS investigations must be clearly detailed in the
Program Standard. In general, the SSO agency must:
 Issue a written investigation report, if conducting the investigation or review and approve the
RFGPTS’ investigation report in a timely manner
 Ensure the investigation report encompasses a description of the investigation activities, causal
and contributing factors, and a corrective action plan as appropriate.

Question:

What amount of time is considered acceptable when referencing “reasonable time” for the SSO
agency to issue a written investigation report or approve an RFGPTS investigation report?
The determination of what constitutes a “reasonable time” is left to the SSO agency. The intent of
this language is that the SSO agency performs a thorough and comprehensive review and approval
of the investigation, and supports efficient progress and completion of reports especially those
investigations resulting in CAPs.

Answer:

49 CFR 674.37, Corrective Action Plans.
Question:

Who is responsible for Corrective Action Plans (CAPs)?

Appendix B: 49 CFR Part 674 Frequently Asked Questions

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Answer:

The SSO agency is responsible for ensuring that RFGPTS develop and implement appropriate
CAPs. The SSO agency is expected to review and approve CAPs, with the exception CAPs requiring
immediate implementation due to the criticality of the issue.

Question:

What amount of time is considered acceptable when referencing “timely notification” for
emergency corrective actions?
The determination of what constitutes a “timely manner” is left to the SSO agency, however given
the emergency nature of the situation, FTA encourages SSO agencies to treat this type of notification
similarly to the lines of an accident notification. The intent of this statement is to ensure the RFGPTS
notifies the SSO agency quickly regarding emergency corrective actions so that the SSO agency is
aware and able to prioritize its review and approval for these exceptional situations to support quick
CAP implementation.

Answer:

Question:
Answer:

What are the minimum CAP requirements?
At minimum, a CAP must include:
 The actions to manage the risks and hazards identified in the CAP
 Implementation schedule
 Responsible party

Question:

Can the SSO agency perform unannounced, unplanned on-site inspections for monitoring CAPs at
the RFGPTS?
The FTA supports CAP monitoring in various forms including unannounced, unplanned on-site
inspections to verify the successful implementation of corrective actions. These monitoring
activities must be done in concert with the RFGPTS’ own safety policies and procedures,
particularly where SSO agency staff may enter potentially hazardous areas such as trackways. In
such cases, monitoring activities may require coordination with the RFGPTS.

Answer:

Question:
Answer:

Who is responsible for CAPs related to NTSB findings and recommendations?
The SSO agency must evaluate whether a CAP is required as a result of an NTSB finding or
recommendation. If so, the entity referenced in the he finding or recommendation, either the SSO
agency or the RFGPTS, should be responsible for developing and carrying out the CAP. The SSO
agency remains responsible for ensuring that RFGPTS are developing and implementing
appropriate CAPs.

49 CFR 674.39, State Safety Oversight Agency Annual Reporting to FTA.
Question:
Answer:

When are Annual Reports due?
On or before March 15.

Question:
Answer:

What are the minimum requirements for Annual Reports?
The SSO agency is expected to provide the following documentation as part of its annual report
submission:
 Adopted Program Standard including any changes made in the preceding twelve months
 A summary of its SSO agency Public Transportation Safety Certification Training Program
status
 An SSO agency report encompassing SSO program activities conducted in the preceding twelve
months, such as:
o Casual factors and findings identified through accident investigations
o Summary of changes to safety plans
o The SSO agency resource level of effort, including staffing and contractor labor hours
dedicated to the SSO program
 Summary of SSO agency triennial audit(s) completed for the preceding twelve months and
progress on triennial CAPs
 SSO agency approval RFGPTS safety plan, including any changes made in the preceding
twelve months
 SSO program certification of program compliance

Appendix B: 49 CFR Part 674 Frequently Asked Questions

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Federal Transit Administration

Question:
Answer:

49 CFR Part 674 Certification Toolkit

How should the SSO agency submit its Annual Report?
The Annual Report and related materials are to be submitted through a reporting system specified
by FTA.

49 CFR 674.41, Conflicts of Interest.
Question:
Answer:

Are enough qualified personnel and consultants available for SSO agencies to prevent a conflict of
interest in shared resources given the highly specialized skill set and expertise required?
The FTA is aware of the growth of large, multi-faceted consultancy firms that are capable of
providing services to both SSO agencies and RFGPTS. If necessary, the Administrator may waive
a consultant’s conflict of interest if the SSO agency can demonstrate adequate administrative and
legal separation between the contractor employed by the SSO agency and RFGPTS.

Question:
Answer:

How will SSO agencies be able to determine if there is a conflict of interest when hiring?
The FTA believes that the SSO agency can readily determine whether a conflict exists through the
SSO agency’s contracting or bidding process in which a contractor or potential employee must
disclose any potential conflicts of interest.

Question:
Answer:

May the State hire a former RFGPTS employee?
The State may hire a former RFGPTS employee utilizing its internal established conflict of interest
policy.

Appendix B: 49 CFR Part 674 Frequently Asked Questions

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