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Rail Transit Safety Oversight

Presented by:

Dorval R. Carter, Jr.

FTA Chief Counsel

APTA Legal Affairs, February 23, 2010

Boston, May 2008

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Chronology of Federal

Rail Transit Safety Oversight

• 1965 - Urban Mass Transportation Act prohibits UMTA from directly regulating

rail transit system operations (USC 5334)

• Early 1991 - NTSB issues Special Investigation Report on rail transit safety

• Late 1991 - ISTEA establishes FTA State Safety Oversight (SSO) program

• Summer 2009 - A series of serious rail transit accidents prompts USDOT

to develop options for reform

• December 2009 – Obama Administration announces reform proposal

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Recent Nationwide Concern over

Rail Transit SafetyNot just a Washington, D.C. Metro rail problem:

• Passenger Safety - During the past 5 months, rail transit systems in Boston, San Francisco & Washington, D.C. have experienced train to train collisions killing 9, injuring 130 and resulting in millions of dollars in property losses

• Transit Worker Safety - During the same 5 month period, 8 transit

maintenance workers were struck and killed by trains while working on the tracks

• San Francisco - Muni overhauling safety procedures in wake of crashes – (San Francisco Chronicle August 23)

- Regulation is left to state agencies

- “There are no national standards in transit operations”

• Boston - On May 28, 2008 two MBTA light rail trains collided in Back Bay killing 1, injuring 8 and resulting in $8 million in damage

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Status Quo is Indefensible

• 27 separate state programs with inconsistent practices and effectiveness

• Enforcement authority of state agencies vary based on powers granted by each state

• States continue to view program as unfunded mandate

• State staffing currently average less than 1.3 FTE per agency (.95 without CA) and FTA dedicated staffing is currently 2.5 FTE

• State agencies do not always have necessary independence from transit agencies they oversee

• Rail transit is the only mode within DOT with no federal safety regulation, oversight or enforcement.

• Rail transit systems carry more passengers daily than either US domestic airlines regulated by FAA or passenger railroads regulated by the FRA

• Without national safety standards, programs for preventing major accidents will be uneven with no assurance that safety issues are adequately addressed

• Increasing ridership and utilization, along with reduced local funding and aging infrastructure, present new and difficult safety challenges that will increase over time

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• Senate Legislation- Senator Barbara Mikulski introduced S. 1506

- “We have safety standards for buses, trains and airplanes. Metro systems need them too” – Sen. Mikulski

• House Legislation- Rep. Donna Edwards introduced rail transit safety bill H.R. 3338

- “It became obvious that Federal safety standards for heavy rail systems are imperative” – Rep. Edwards

• FY 2010 Appropriations Bill – Section 167 of the Senate FY 2010 THUD Appropriation bill requires DOT to submit “legislative proposals on how to strengthen its role in regulating safety of transit agencies within 45 days of enactment.”

Legislation Introduced

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Hearings Held• Formal Hearing Testimony – FTA Administrator Rogoff

Senate hearings on transit safety:

− “…team will review the many alternative models within DOT to address safety… with an eye towards developing reforms”

House hearings on transit safety:

– “…the status quo, with its two distinct systems of rail safety oversight, is in need of reform”

– “Given this gap…..a team of safety experts under the leadership of Deputy Secretary John D. Porcari is focused on developing options for transit safety reforms”

• Industry Stakeholder Meeting - Secretary LaHood

- “Unfortunately, FTA currently has limited authority to set or enforce national rail transit safety standards”

- “I’ve heard from the public loud and clear on this -- we’re expected to solve this”

• Secretary LaHood and FTA Administrator Rogoff testified at House T&I Committee hearing on December 8th and Senate Banking Committee hearing on December 10th.

APTA Comments

• On December 10th, Bill Millar also testified

before Senate Banking and said the following:

– “State Safety Oversight Program is uneven in its

effectiveness and varies greatly from one State

Oversight Agency to the next.

– “There must be adequate and consistent staffing

levels and training, and uniform standards for

monitoring and auditing . . .”

– “We believe the Administration is generally on

the right track in its proposal to enhance the

State Safety Oversight structure . . .”

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DOT Review and Outreach

• A multi-modal working group was convened under the leadership of Deputy Secretary John Porcari to evaluate the federal role in transit safety after the WMATA Red Line collision on 6-22-09 (FTA, FRA, FAA, GC and RITA)

• The workgroup met several times in July, August and September to evaluate a number of potential models for safety regulatory reform

• The workgroup solicited the input of safety professionals within the FAA, RITA, FRA and others

• Secretary LaHood held a stakeholder outreach session on August 20 involving unions, industry, and states at which the Secretary addressed the current limitations of rail transit safety and sought feedback for the workgroup

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Stakeholder Feedback Themes

• State of Good Repair - Maintaining a state of good repair is a key element of any safety program

• Safety Culture - Supporting a safety culture is vital to success

• Federal Standards - Safety regulation needs to be independent and include national Federal standards

• FTA should:– Take the lead in regulating rail transit safety

– Devote more resources to rail transit safety (FTA staff and funding to States)

– Build on the existing State Safety Oversight framework

– Develop more in-house safety expertise

• FACA: An FRA Rail Safety Advisory Committee-like process is the preferred way to provide stakeholder input on national standards and to resolve stakeholder issues

• Models: Elements of FMCSA and FHWA programs considered as models

• Enforcement: Transit operator financial penalties are okay, but should be tailored to address safety issues

Boston, September 2007

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Safety Program Approach

• Federal Regulations - FTA receives authority to set and enforce Federal minimum safety standards

– States are not pre-empted from establishing more stringent state safety standards

– Initial regulations likely to be promulgated based on a Safety Management System approach

– Subsequent more specific regulations are developed based on risk and need (for example, prohibiting texting while operating a train)

– Where practicable and appropriate, existing industry standards are the starting point for regulations

– Established an advisory committee (TRACS), which will be composed of stakeholders to guide regulatory effort (Applications are due February 26, 2010)

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Safety Program Approach

• State Participation Programs - States may submit a program proposal to FTA and, if approved, become authorized to enforce Federal minimum safety standards

– FTA creates a state participation grant program

– To participate, states must hire an adequate number of qualified personnel and adopt appropriate and conforming legislation and regulations.

– Firewall between Regulators and Operators - State organizations enforcing federal regulations must be independent of the transit operators they regulate.

– FTA evaluates proposals and rejects those that do not meet all requirements

– Where states “opt out” or do not submit adequate program proposals, FTA staff directly implement and enforce the safety program

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FTA Role

• FTA Technical Support – FTA would continue to provide technical support to the industry and states through training, workshops, technical publications and research

– Guidance on implementing new Federal regulations

– Publish best practices documents to assist states and transit systems

– Continued support for industry safety training

– Creation of a technical training and certification program for FTA and “opt in” state personnel

• FTA Oversight – FTA would create Federal audit/inspection teams based strategically around the country

– FTA hires qualified experts in technical disciplines

– FTA audit/inspection teams directly enforce Federal standards where states opt out.

– Where state participation programs have been authorized, FTA audit/inspection teams monitor state efforts for effectiveness

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FY 2011 Rail Transit Safety Oversight

Program

• Administration’s FY 2011 Budget

included $30M for rail transit safety. – Office of Safety in FTA Headquarters– 45 Full Time

Equivalents (FTE) and associated costs, travel training,

rent, etc.

– FTA inspectors and Grants to States – 142 FTE at “opt-out”

level

– Grants to States for on-site inspectors with backgrounds in

train control, track, operations and other related

disciplines.

Questions?

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