Rail Fixed Guideway Systems; State Safety Oversight (SSO)

Forms and Documents

Document Name	Status
2023 SSO NPRM Supporting Statement FINAL.docx Supporting Statement A	2023-11-15
SSO NPRM FRN 11.15.23.pdf Supplementary Document	2023-11-15
2023 Approved SSO NPRM.pdf Supplementary Document	2023-11-08
SSO Certification Toolkit 2.0.pdf Supplementary Document	2019-07-19

IC Document Collections

IC ID	Document Title	Status
26560	Annual Reporting Other-Sample SSO Annual Plan	Modified
236953	FTA Event Notification Other-Sample Event Notification from Grantee	Modified
236952	Grant Management	Modified
236951	Periodic Requests Other-Sample Safety Advisory from FTA to SSOA's and RTA's	Modified
236949	FTA Audits Other-FTA SSO Audit	Modified

ICR Details

OMB Control No: 2132-0558	ICR Reference No: 202311-2132-002
Status: Received in OIRA	Previous ICR Reference No: 202210-2132-003
Agency/Subagency: DOT/FTA	Agency Tracking No:
Title: Rail Fixed Guideway Systems; State Safety Oversight (SSO)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 11/15/2023

	Requested	Previously Approved
Expiration Date	36 Months From Approved	04/30/2026
Responses	1,655	1,454
Time Burden (Hours)	18,018	16,366
Cost Burden (Dollars)	0	0

---

Abstract: This information collection (IC) request is associated with a Notice of Proposed Rulemaking (NPRM) for a regulation with a currently approved information collection, OMB# 2132-0558, “Rail Fixed Guideway Systems; State Safety Oversight (SSO).” The purpose of the SSO program is to oversee safety throughout the Nation’s rail transit systems. The entities responding to this IC are States and rail transit agencies (RTAs). States must establish a safety oversight agency to oversee the safety of their rail transit agencies in their jurisdiction. The States and RTAs are required to provide FTA specific information to obtain and retain funding that will assist them in carrying out SSO activities. The information provided is reporting in nature and includes an annual report summarizing their program activity from the previous calendar year; pre-audit documents; periodic requests in the form of safety advisories issued by FTA due to a safety/accident related event; financial and milestone reports as part of the grant management process and the collection of incident reports as a result of a major safety event. This information is submitted electronically to FTA’s SSO program managers and incident investigators on an annual and as needed basis. The only change in the NPRM associated with the collection of information is a change in the notification criteria and small increase in the respondent universe of the SSO program.

---

Authorizing Statute(s): PL: Pub.L. 114 - 94 5329 Name of Law: Fixing America's Surface Transportation (FAST) Act
   US Code: 49 USC Section 5307 Name of Law: Urbanized Area Formula Program
   US Code: 49 USC Section 5330 Name of Law: State Safety Oversight
   US Code: 49 USC Section 5329 Name of Law: Infrastructure Investment and Jobs Act 30012
   US Code: 49 USC Section 5329 Name of Law: Moving Ahead for Progress in the 21st Century
  

Citations for New Statutory Requirements: US Code: 49 USC 5329 Name of Law: Bipartisan Infrastructure Law

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
2132-AB42	Proposed rulemaking	88 FR 78269	11/15/2023

---

Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 5

IC Title	Form No.	Form Name
Annual Reporting
FTA Audits
FTA Event Notification
Grant Management
Periodic Requests

---

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	1,655	1,454	0	201	0	0
Annual Time Burden (Hours)	18,018	16,366	0	1,652	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Changing Regulations

Short Statement: The change in the current supporting statement reflects a change in the burden hours from the previous PRA submittal as a result of the proposals in the NPRM and changes in the transit industry. This supporting statement reflects a small increase in the respondent universe from 30 SSOAs in the previous submittal to 31 to reflect the current number of SSOAs applicable under the SSO regulation. More significantly, this supporting statement includes an increase in burden resulting from proposed event notification criteria, updated annual reporting burden from SSOAs, and revised burden related to the FTA SSO audit program. Under the current collection, the estimated total annual burden hours is 16,365. If the proposals in the NPRM are adopted, estimated burden hours would be increased by 1,653 hours, totaling 18,018 hours.

---

Annual Cost to Federal Government: $724,366

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 11/15/2023

---