Interim Safety Certification Training Program Provisions, 10619-10626 [2015-03842]

Agencies

• Federal Transit Administration
• DEPARTMENT OF TRANSPORTATION

[Federal Register Volume 80, Number 39 (Friday, February 27, 2015)]
[Rules and Regulations]
[Pages 10619-10626]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2015-03842]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration

49 CFR Chapter VI

[Docket No. FTA-2014-0012]
RIN 2132-ZA02


Interim Safety Certification Training Program Provisions

AGENCY: Federal Transit Administration (FTA), DOT.

ACTION: Notice of Final Interim Safety Certification Training 
Provisions.

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SUMMARY: This document announces interim safety certification training 
provisions for Federal and State Safety Oversight Agency personnel and 
their contractor support who conduct safety audits and examinations of 
public transportation systems not otherwise regulated by another 
Federal agency. This document also announces interim safety 
certification training provisions for public transportation agency 
personnel who are directly responsible for safety oversight of public 
transportation systems that receive Federal transit funding. 
Additionally, the document outlines voluntary, scalable training 
available to personnel of State Departments of Transportation and 
personnel directly responsible for safety oversight of urban and rural 
bus transit systems.

DATES: The interim provisions are effective May 28, 2015.

FOR FURTHER INFORMATION CONTACT: For program issues, contact Ruth 
Lyons, FTA, Office of Safety and Oversight, 1200 New Jersey Avenue SE., 
Washington, DC 20590 (telephone: 202-366-2233 or email: 
Ruth.Lyons@dot.gov). For legal issues, contact Bruce Walker, FTA, 
Office of Chief Counsel, same address as above, (telephone: 202-366-
9109 or email: Bruce.Walker@dot.gov). Office hours are Monday through 
Friday from 8 a.m. to 6 p.m. (EST), except Federal holidays.

SUPPLEMENTARY INFORMATION:

I. Overview
II. Public Comments to the Proposed Interim Safety Certification 
Training
Provisions Federal Register Notice and FTA's Response to Public 
Comments
III. Purpose
IV. Applicability
V. Interim Safety Certification and Training Components--Revised
    1. Safety Management System Training Component (all 
participants)
    2. Technical Training Component (FTA/SSOA/contractor support)
VI. Paper Reduction Act
VII. Next Steps

I. Overview

    On October 1, 2012, the Moving Ahead for Progress in the 21st 
Century Act (MAP-21) (Pub. L. 112-141) authorized the Federal Transit 
Administration (FTA) to develop interim safety certification training 
provisions (interim program) for: 1) FTA and State agency personnel and 
their contractor support who conduct safety audits and examinations of 
public transportation systems; and 2) public transportation agency 
personnel who are directly responsible for safety oversight. A 
notification announcing FTA's proposed implementation of the interim 
program and request for comments was published in the Federal Register 
on April 30, 2014. (See 79 FR 24363).
    In that document, FTA stated that the focus of the interim program 
would be directed primarily towards requirements for Federal and State 
Safety Oversight Agency (SSOA) personnel and their contractor support 
while designated safety oversight personnel of both rail and non-rail 
transit agencies that receive FTA funding would be voluntary 
participants. FTA received comments from nineteen entities regarding 
its proposed implementation of the interim program. This document 
addresses comments received and explains changes FTA has made to 
implement the interim program in response to those comments.

Summary of Changes to the Proposed Interim Program

    The primary focus for the interim program remains on the training 
requirements for Federal personnel and their contractor support who 
conduct safety audits and examinations of public transportation 
systems, and SSOA personnel and their contractor support who conduct 
safety audits and examinations of rail transit systems. However, as 
recommended by commenters, FTA is expanding the interim program 
pursuant to 49 U.S.C. 5329(c)(2), to also require rail transit agency 
employees who are directly responsible for safety oversight as 
mandatory instead of voluntary participants. Compliance with the 
interim program will remain a grant condition for applicable recipients 
of Federal transit funding.
    Additionally, as a result of comments received, FTA has revised the 
interim program to recognize the experience and training of those 
safety professionals who have already completed the curriculum for the 
Transit Safety Security Program (TSSP) certificate program. These 
participants will only be required to complete specific Safety 
Management System (SMS) courses and applicable technical training in 
accordance with section V of this document. For those who have not yet 
completed the TSSP program, FTA is updating the curriculum to include 
an emphasis on SMS tools and techniques to promote the development, 
implementation and oversight of SMS safety policies, risk management, 
safety assurance, and safety promotion programs and initiatives. The 
revised curriculum will continue to support the requirements of 49 CFR 
part 659, by also providing for organization-wide safety policy, formal 
methods of identifying hazards and controlling their potential 
consequences, continual assessment of safety risk, and an effective 
employee safety reporting system.
    Recognizing that safety enhancement and promotion is of universal 
interest to the public transportation industry, FTA continues to 
encourage recipients with both bus and rail transit systems, as well as 
bus-only systems, to voluntarily participate in appropriate components 
of the interim provisions and to continue to avail themselves of FTA-
sponsored voluntary bus safety training programs.
    As a reminder, pursuant to 49 U.S.C. 5329(c)(1), FTA will establish 
the permanent Public Transportation Safety Certification Training 
Program (PTSCTP) through the rulemaking process. To that end, FTA 
issued an Advance Notice of Proposed Rulemaking (ANPRM) on all aspects 
of FTA's safety authority, including the training program, which was 
published in the Federal Register on October 3,

[[Page 10620]]

2013. (78 FR 61251, available at: https://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-23921.pdf). FTA is reviewing the comments received on 
the ANPRM and is developing, among other proposals, a notice of 
proposed rulemaking for the PTSCTP.
    Until the PTSCTP final rule is promulgated, the interim program 
will be in effect. In the meantime, FTA periodically may revise the 
interim program following an opportunity for public notice and comment.

II. Public Comments on the Proposed Interim Safety Certification 
Training Provisions and FTA's Response

    On April 30, 2014, FTA published a Federal Register document 
requesting public comment on its proposed implementation of the interim 
safety certification training provisions of MAP-21 (see 79 FR 24363). 
FTA received comments from nineteen entities, including trade 
associations, State Departments of Transportation (State DOTs) public 
transportation providers, and individuals. This document addresses the 
comments received and discusses changes FTA has made to the interim 
safety certification training provisions in response to public 
comments.
    FTA initially proposed that the interim program contain distinct 
mandatory and voluntary components. Each mandatory participant was to 
complete a series of training on SMS principles, tools and techniques. 
The proposed curriculum for the interim program would be organized 
around a series of competencies and basic skills that supported 
training gaps indicated through a review of National Transportation 
Safety Board (NTSB) accident investigations, SSOA audits, FTA's Program 
Oversight reviews, annual reports submitted by SSOAs, FTA's National 
Transit Database (NTD) assessments and special studies.
    In addition, FTA proposed that Federal and SSOA personnel and their 
respective contractor support would be required to develop technical 
training plans to address the competency areas specific to the rail 
transit system(s) for which they exercised safety oversight 
responsibility (e.g., track inspections, safety systems and 
technologies, traction power, etc.). FTA proposed that both voluntary 
and mandatory participants would be able to complete the interim 
program requirements, on average within three years from initial 
enrollment, and annual recertification thereafter. Relative to cost, 
FTA noted that a majority of the cost to participate in the proposed 
interim program would be an eligible expenditure of Federal financial 
assistance provided under sections 5307, 5311, and 5329 grants.
    Below are the questions FTA posed for public comment in the Federal 
Register document, the public's response to those questions, and FTA's 
response and revisions to the interim program as a result of the public 
comments:
    1. Are there existing safety certification programs other than 
those described in this document that FTA should consider for personnel 
with direct safety oversight of transit systems?
    Fourteen entities responded to this question noting the existence 
of other safety certification programs that address SMS principles that 
FTA should consider. Specific reference was made to the National Safety 
Council, World Safety Organization, Transportation Safety Institute, 
the American Society of Safety Engineers, Board of Certified Safety 
Professionals, National Association of Safety Professionals, Federal 
Railroad Administration (FRA), NTSB, vehicle manufacturer training and 
certification programs, and safety classes offered through colleges, 
universities, and technical schools.
    Commenters recommended that FTA provide `transfer credit' for those 
who have completed the appropriate certification requirements from 
these or similar programs. Some commenters indicated that FTA's 
proposed implementation was unreasonable because it did not leverage 
the existing TSSP Certificate program. They noted that over 700 transit 
industry personnel have received certificates through the TSSP program. 
These commenters indicated that the TSSP curriculum already covers a 
significant number of the competencies that FTA listed in the Appendix 
to the Federal Register document.
    FTA Response: Upon further review and evaluation of existing FTA-
sponsored safety training, FTA concurs with the commenters who 
recommended that FTA leverage its existing TSSP Certificate programs 
for the interim program. To that end, FTA is revising the interim 
safety certification training provisions to include credit for those 
safety professionals who already have completed the requirements for a 
TSSP Certificate. These participants will need only complete the 
supplemental SMS courses noted in Section V of this document within 
three years of the effective date of the interim program. In addition, 
SSOA personnel and their respective contractor support will be required 
to complete the technical training requirement.
    FTA also agrees that the existing TSSP Certificate curriculum 
should be revised to incorporate the SMS principles FTA has adopted, 
rather than FTA creating an entirely new curriculum for the interim 
program. Thus, the training required for participants who have not 
completed TSSP Certificate training will be very similar to the current 
TSSP Certificate curriculum, except that the curriculum will be 
modified to also include SMS principles. These participants would also 
need to complete the applicable technical training. Similarly, safety 
professionals who have begun, but not yet completed, the requirements 
for a TSSP certificate only will need to complete the remaining revised 
TSSP courses and the supplemental SMS courses noted in Section V. As 
with the current TSSP program, the revised TSSP program and the 
additional courses may be completed within three years of the date of 
enrollment in the TSSP Certificate program.
    Although commenters identified other non-FTA-sponsored SMS safety 
certification training programs for consideration, at this time FTA 
will not evaluate non-FTA-sponsored training for credit under the 
interim program. Credit for this type of training will be evaluated for 
consideration as FTA develops requirements for the proposed rule for 
the PTSCTP. However, as recommended by commenters, SSOAs will be able 
to include non-FTA- sponsored technical training as part of the 
technical training plan they will provide to FTA for evaluation as 
discussed in Section V of this document.
    2. How should FTA consider such additional training and 
certification programs in finalizing the interim provisions?
    Twelve of the fourteen entities who commented on this question 
indicated that FTA should allow experienced personnel who have already 
completed safety training requirements to be `grandfathered' from the 
requirements of the interim program and receive credit for their 
certifications and experience. A few commenters noted that some of 
these safety professionals often are utilized as instructors for FTA-
sponsored training. Two of the commenters indicated that FTA should not 
attempt to implement the interim program with significantly new and 
different requirements because SSO programs must continue to comply 
with 49 CFR part 659 until three years after the final SSOA rule 
becomes effective.

[[Page 10621]]

    FTA Response: As noted in the response to Question 1 above, FTA 
agrees in part that credit for existing safety certification and 
training should be granted for the interim program. As noted in Section 
V of this document, FTA has revised the training requirements for all 
participants who have obtained a TSSP Certificate. However, as stated 
above, FTA will not evaluate and provide credit for alternative 
certification programs offered through other non-FTA-sponsored 
programs. As the final rule for the PTSCTP is developed, FTA will 
revisit this recommendation.
    FTA disagrees with those commenters who suggested that the interim 
program should not include significantly new and different requirements 
at this time. FTA recognizes that 49 CFR part 659 remains in effect for 
the near-term and that the TSSP curriculum for rail certification was 
developed to support the systems management requirements of part 659. 
However, the current TSSP curriculum is not fully adaptable to the SMS 
framework FTA has adopted. FTA believes the revised TSSP curriculum and 
the SMS training noted in Section V of this document aligns systems 
management and SMS training while addressing those gaps identified with 
the current TSSP curriculum.
    3. FTA sought comment on the proposal to require Federal and SSOA 
personnel and their contractor support to participate in the interim 
program but allow the voluntary participation of public transportation 
personnel with direct safety oversight responsibilities.
    FTA received comments from eighteen entities regarding this 
proposal. Five commenters indicated that all public transportation 
safety personnel with direct oversight responsibility should be 
required to participate in the interim program. Eleven commenters 
specifically recommended that personnel directly responsible for safety 
oversight of rail transit systems should be required to participate in 
the interim program. Three commenters indicated that personnel directly 
responsible for bus safety on the State level or rural bus transit 
systems should not be required participants in the interim program. One 
of these commenters noted that the bus transit systems operating within 
its State were small, rural providers that do not have the resources to 
participate in the proposed voluntary curriculum of the interim 
program.
    A number of the commenters indicated that both SSOA personnel and 
rail transit personnel should receive the same SMS-centric training. 
These commenters suggested that if rail transit personnel are not 
required to participate in the interim program, it could result in 
disjointed implementation of the SMS safety requirements that FTA is 
introducing across the rail transit industry. These commenters noted 
that rail transit agency safety oversight personnel should have a 
strong understanding of both SMS principles and the technical 
components of their systems which lead to more effective safety 
management.
    Five commenters also noted that voluntary training requirements for 
rail transit personnel could result in a lack of participation by these 
safety partners. They indicated that voluntary participation could be a 
disincentive for public transit systems to host such training. 
Commenters noted that FTA's current training delivery model relies on 
local public transportation systems to host FTA-sponsored training 
events and voluntary participation could inadvertently increase the 
costs associated with the training. Three commenters also noted that 
joint SSOA and rail transit system participation in the interim program 
could facilitate cooperative relationships between State regulators and 
the regulated community.
    One commenter suggested that at a minimum, the Chief Safety Officer 
(or equivalent) of rail transit agencies and their staff should be 
required to obtain certification. Other commenters indicated that FTA 
should determine which rail transit personnel should be designated 
directly responsible for safety oversight, including the chief 
executive and board of directors. Lastly, one commenter indicated that 
the interim program should include personnel involved with the design 
and construction of rail transit systems.
    FTA Response: FTA concurs with the commenters who recommended that 
rail transit system personnel with direct safety oversight 
responsibility should be required participants in the interim safety 
certification training program. FTA agrees with those who noted that 
both SSOA personnel and rail transit system personnel should receive 
the same or similar training in order to more effectively implement 
safety management principles. To that end, pursuant to the authority of 
49 U.S.C. 5329(c)(2), the interim requirements noted in Section V also 
will apply to rail transit system personnel who are directly 
responsible for safety oversight. However, rail transit systems will 
not be required to submit technical training plans to FTA.
    On the other hand, FTA does not concur with the recommendation that 
FTA should determine which specific persons or positions within a rail 
transit system should be designated as having direct responsibility for 
safety oversight. Similar to the designation of safety sensitive 
personnel noted in the FTA Drug and Alcohol regulations, 49 CFR part 
655, FTA believes that each rail transit system is in a better position 
to determine which of its personnel has direct responsibility for 
safety oversight. FTA understands that the unique organizational 
framework of each rail transit system does not allow for uniform 
designation of the same position or function as having direct 
responsibility for safety oversight. For this reason, each rail transit 
system will designate its personnel who are required to participate in 
the interim program based on the function(s) of their position.
    For those commenters who indicated that bus recipients should not 
be required participants, FTA reiterates that since one of the initial 
objectives of the interim program is to develop the technical 
proficiency of rail transit personnel with direct safety oversight 
responsibility, at this time, non-rail safety oversight personnel are 
not mandatory participants in the interim program. FTA encourages State 
DOT personnel and bus transit system personnel who are directly 
responsible for safety oversight of bus transit systems to voluntarily 
participate in the interim program. We further emphasize that 
participation by small rural bus-only transit providers in any 
component of the interim program will be strictly voluntary. Hence, the 
scale and level of participation will be left to the discretion of 
these entities.
    In response to the comment to expand required participants to 
include personnel involved with the design and construction of rail 
transit operating systems, FTA notes that MAP-21 does not require their 
participation in the interim program. Hence, FTA will not require their 
participation in the interim program.
    4. Are there segments of the existing TSSP program that might be 
utilized to address the gaps and proposed competencies identified by 
FTA?
    FTA received comments from twelve entities on this question. Two 
commenters indicated that FTA did not present sufficient information in 
the Federal Register document to support its assertion that gaps exist 
between the TSSP program and the competencies listed in Appendix A that 
supported the curriculum for the interim program. Two other commenters 
noted that FTA has not published MAP-21 regulatory safety requirements; 
therefore, FTA is not yet able to determine what deficiencies exist. 
They indicated that

[[Page 10622]]

FTA had not presented sufficient evidence to warrant significant 
departure from the current FTA-sponsored training.
    Ten of the commenters suggested that FTA take another look at the 
TSSP curriculum and other FTA-sponsored training before implementing a 
new and untested training regime. Two of these commenters noted that 
FTA should wait until it has gained sufficient knowledge and 
experience, and developed the internal capacity before implementing an 
extensive new safety certification training program.
    One commenter noted that SMS should not replace current FTA-
sponsored training which is based in part on Military Standard 882 
series, the military's system safety program. Two commenters also noted 
that the all-hazards training in the TSSP program is complementary to 
the SMS-framework that FTA wishes to advance through the interim 
program.
    FTA Response: As noted in our response in Questions 1 and 2, FTA 
concurs with the commenters who indicated that requirements for the 
interim program should include credit for those who have already 
completed the requirements for a TSSP Certificate. To that end, as 
reflected in Section V of this document, FTA has revised the interim 
program to incorporate this recommendation. We also reiterate that FTA 
recognizes the benefit of the systems-based all-hazards training of the 
TSSP Certificate program and will retain those provisions in the TSSP 
curriculum as it is revised.
    Responding to those commenters who indicated FTA has not provided 
evidence to support the interim program, we note that as stated in the 
April 30, 2014 Federal Register document, FTA identified training gaps 
based on review of SSOA audits, FTA program oversight reviews, annual 
reports submitted by SSOAs, special studies, and FTA's NTD assessments, 
as well as investigations conducted by the NTSB, and Government 
Accountability Office reports. FTA continues to find that these 
references sufficiently document support for the competencies and 
curriculum developed for the interim program. That review indicated 
gaps relative to the TSSP curriculum and the SMS framework FTA has 
adopted for its safety programs. However, based on the recommendation 
of commenters, FTA reassessed the TSSP Certificate curriculum and 
agrees with those commenters who noted that it sufficiently reflects a 
number of SMS principles and should be included in the interim program. 
To that end, FTA determined that those who have already completed the 
TSSP Certificate program will be required to complete only the 
supplemental SMS courses noted in Section V of this document. FTA 
believes this revised approach to the interim program reasonably 
responds to those commenters who indicated that the program, as 
initially proposed, failed to consider the extensive experience and 
training already achieved by transit safety professionals.
    In response to the commenter who indicated that FTA should not 
replace the current training program for 49 CFR part 659, which is in 
part based on the Military Standard 882 series, FTA notes that the 
revised interim program includes the TSSP Certificate curriculum that 
was developed to support part 659. Therefore, FTA will proceed with 
implementing the interim program in accordance with 49 U.S.C. 
5329(c)(2).
    5. Is it possible to reduce the time commitment or other burdens 
associated with the proposed interim provisions, while still providing 
the necessary SMS and technical training? What additional or 
alternative training should be considered, and why?
    FTA received comments from seventeen entities on this question. 
Many of these commenters recommended that FTA leverage the TSSP 
Certificate program with web-based SMS training as a more appropriate 
course of action for implementing interim safety certification 
training, and include a test-out option for those capable of 
demonstrating proficiency in the relevant training competencies.
    Three commenters noted that FTA should reevaluate the need for 144 
hours of SMS-related training that was initially proposed. Other 
commenters indicated that the three-year timeframe proposed for 
completing the interim program was impractical based on the timeline 
between introducing the interim program and implementing the PTSCTP 
requirements. Three commenters noted that the proposed annual 
recertification for the interim program would not be realistic and 
would be an unnecessary administrative compliance burden. Two of the 
commenters indicated that FTA should provide more specific information 
regarding recertification/refresher training.
    Several commenters also recommended that FTA develop all of the 
training and host both technical and classroom training at various rail 
transit systems across the country. Three commenters suggested that FTA 
adopt the web-based training model used by the Pipeline and Hazardous 
Materials Safety Administration (PHMSA).
    One commenter suggested that training requirements for rural and 
tribal bus transit providers should focus on driver training, drug and 
alcohol compliance, vehicle maintenance and standards, and the outcome 
data reported to the NTD. Another commenter recommended that FTA use a 
``train-the-trainer'' approach for training delivery as a means of 
reducing cost and increasing convenience by expanding the availability 
of training sites. Lastly, other commenters indicated that FTA should 
cover the costs associated with the interim program.
    FTA Response: As noted in Section V of this document, the revised 
curriculum for the interim program adopts the recommendation to reduce 
the administrative burden for required participants by providing some 
of the SMS training in a web-based format. Additionally, FTA will grant 
credit for those participants who have completed the TSSP Certificate 
program. This action will reduce the administrative burden associated 
with achieving certification for personnel who have completed the TSSP 
program from 144 hours over a three-year period to approximately 36 
hours per person across a three-year timeframe. FTA has determined that 
this reduction will not compromise safety because the targeted safety 
professionals have already achieved much of the requisite safety 
training through the TSSP Certificate program and any gaps relative to 
SMS principles will be remediated through participation in the SMS 
training requirements noted in Section V of this document.
    FTA recognizes that requiring the participation of rail transit 
system personnel who are directly responsible for safety oversight 
increases the number of required participants. However, as noted in the 
April 30, 2014 Federal Register notification, FTA's records show that 
over 800 industry personnel have already completed the TSSP Certificate 
program. As a result, many will only need to complete the supplemental 
SMS courses and web-based training. FTA believes the revised program 
strikes an appropriate balance for those experienced professionals who 
have already received a TSSP Certificate, while providing a solid 
foundation for new safety oversight professionals who will participate 
in future FTA-sponsored safety training.
    Additionally, FTA concurs with the commenters who indicated that 
annual refresher training for the interim program would be an 
unnecessary

[[Page 10623]]

burden since the PTSCTP rule will likely be in effect by the time most 
participants have completed the requirements of the interim program. To 
address this concern, recertification will be required two years after 
the initial certification instead of one year as initially proposed. 
FTA continues to find that it is reasonable that the initial 
requirements of the interim program be completed within a three-year 
timeframe.
    Regarding training delivery, FTA believes its current training 
delivery model of allowing public transportation systems to host FTA-
sponsored training onsite is effective for the transit industry. FTA 
believes this practice increases participation and provides a training 
environment that is relevant to the subject matter. FTA notes that the 
PHMSA web-based training delivery model cannot fully cross-walk to the 
training objectives of the interim program because many of the FTA-
sponsored courses require in-person delivery. However, FTA recognizes 
the benefits associated with web-based training and has revised some of 
the interim program curriculum to include web-based training. As the 
PTSCTP rule is developed, FTA will look to incorporate additional web-
based training where practical.
    In response to the recommendation for the focus of rural bus 
training requirements, FTA notes that the interim program does not 
preclude any rural or tribal bus transit agency from continuing to 
focus on the training needs most relevant to its organization. It is 
important to note that much of this training is already supported 
through FTA-sponsored programs for bus safety and technical assistance.
    FTA also supports the recommendation that the interim program adopt 
a train-the-trainer process. While it is not feasible to develop and 
implement a train-the-trainer process for the interim program, FTA will 
consider this recommendation as the agency develops the proposed rule 
for the PTSCTP.
    With regard to the recommendation that FTA fully fund all costs 
associated with the interim program, FTA notes that Congress 
specifically authorized recipients of funds under 49 U.S.C. 5307 and 
5311 to use up to 0.5 percent of their Federal formula funds to cover 
up to 80 percent of the cost of participation by an employee with 
direct safety oversight responsibility. The FTA ELearning courses are 
free to public agency staff and the FTA sponsored in-person training 
charges a small materials fee but does not charge tuition to public 
agency staff. In addition, recipients of funds pursuant to 49 U.S.C. 
5329 are authorized to use grant funds to pay for up to 80 percent of 
the cost of participation by an SSOA employee. Therefore, FTA is 
statutorily precluded from funding more than 80 percent of the cost for 
participating in the interim program.
    6. Is it possible to reduce the time commitment or other burdens 
associated with the proposed technical training requirements proposed 
for SSOA personnel and their contractors? Is there additional or 
alternative technical training that should be considered, and why?
    Fifteen entities responded to this question. Seven commenters 
suggested that FTA develop the technical training component for the 
interim program instead of the SSOAs. Three commenters recommended that 
FTA reinstate the annual SSO training conference and workshop which 
would assist FTA in delivering training to the SSOAs. Another commenter 
recommended that SSOAs and rail transit agencies form partnerships with 
other subject matter experts to conduct technical training best suited 
for their respective systems.
    Commenters also suggested that credit should be given for existing 
training and experience, including allowing credit for technical 
knowledge gained during audits and review of transit maintenance and 
inspection activities, and that the SSOA should determine the time 
required for conducting technical training. One commenter also 
recommended that FTA provide guidance on the level of proficiency 
expected for the technical program.
    Two commenters requested clarification regarding the training 
requirements for SSOAs that are responsible for transit systems in 
multiple jurisdictions. Two other commenters indicated that FTA should 
take responsibility for determining the appropriate certification 
requirements for SSOA contractor support with a national certification 
process. One commenter also noted that the State should be allowed to 
determine the length of initial and refresher technical training 
required for its SSOA personnel. Lastly, two commenters suggested that 
FTA should fund the cost of the interim program beyond the Federal 
funds provided for under section 5329 grants.
    FTA Response: As indicated by a number of commenters, the SSOAs and 
rail transit systems already are engaged in activities that promote 
technical training competencies. Based on public comment, FTA has 
reviewed the proposed process for developing and conducting technical 
training requirements for the interim program. Recognizing that more 
enhanced technical training of FTA, SSOA, and rail transit personnel is 
an objective of MAP-21, FTA continues to believe that technical 
training should be tailored to the rail transit system(s) under the 
SSOA's jurisdiction. With that in mind, FTA concurs with commenters who 
indicated that each SSOA should determine the specific number of hours 
of initial and refresher technical training that should be performed by 
its safety oversight personnel and contractor support.
    However, FTA does not agree that FTA should develop and deliver the 
technical training for the interim program. In the April 30, 2014 
Federal Register document, FTA identified specific competencies common 
to rail transit systems. FTA believes each SSOA is in a better position 
to determine how it plans to train to those competency areas. The SSOA 
is better situated to determine the specifics of its technical training 
requirements based on the characteristics of the rail systems under its 
jurisdiction. This approach will allow the SSOA and the rail transit 
system to collaborate on training issues specific to the physical and 
operational characteristics of the rail systems and to align training 
plans with the competency areas identified by FTA.
    With regard to developing the SSOA training plan, FTA notes that 
one objective of the technical training plan is to align the technical 
training with the SSO certification work plans that most States have 
submitted to FTA as part of the requirements under 49 U.S.C. 5329(e). 
In the technical training plan, the SSOA will identify how its 
personnel and contractor support will train to the competencies of the 
technical training component in Section V of this document. Those 
SSOA's with rail transit systems in multiple jurisdictions will have 
the option of developing a consolidated technical training plan or 
preparing separate plans for each rail transit system. FTA will provide 
technical assistance to the SSOAs in developing the technical training 
plan and provide a web-based template to assist with this process.
    In addition, FTA concurs with those commenters who indicated that 
credit should be granted for prior technical training and experience 
including technical knowledge gained through audits and examinations. 
FTA also concurs that some of the technical training competencies may 
be achieved through web-based training. To that end, SSOAs may leverage 
such training as they develop their technical training

[[Page 10624]]

plan. FTA also will look to develop technical training courses for e-
learning delivery. As these courses come online they can be 
incorporated in the technical training plan. Also, FTA will consider 
reconvening the SSOA workshops which could provide opportunities to 
conduct technical training.
    In response to the recommendation that FTA provide a national 
certification for contractors who support SSOAs with conducting audits 
and examinations, FTA notes that the SSOA is responsible for ensuring 
that its contractors are qualified to perform the requirements of their 
respective contracts. Contractor personnel performing safety audits and 
examinations for the SSOA will be required to participate in the same 
interim safety certification training program noted in Section V as 
SSOA personnel; therefore, no additional certification process is 
required.
    Regarding the issue of FTA funding all costs associated with 
training for the SSO program, FTA notes that Congress has provided for 
cost-sharing with the States for section 5329 funding for the SSO 
program. Specifically, Congress has limited the Government share of 
funding to 80 percent of the cost; therefore, FTA is precluded from 
funding all of an SSOA's costs for participating in the interim 
program.

III. Purpose

    The interim safety certification training provisions are designed 
to advance FTA's proposed adoption of SMS to improve the safety of 
public transportation. (See FTA Dear Colleague letter dated May 13, 
2013, available at: https://www.fta.dot.gov/newsroom/12910_15391.html). 
The interim provisions consist of: (1) A required training program 
promoting SMS and ensuring technical competencies for FTA personnel and 
contractors who conduct safety audits and examinations and SSOA 
personnel and contractors who conduct safety audits and examinations of 
rail transit systems not subject to FRA regulation; (2) a required 
training program that includes promoting the adoption of SMS for 
designated rail transit systems employees who are directly responsible 
for safety oversight; and (3) a voluntary component for personnel who 
are directly responsible for safety oversight of non-rail transit 
systems (e.g., passenger ferry, bus, bus rapid transit, and community 
transportation providers).

IV. Applicability

    Pursuant to 49 U.S.C. 5329(c)(2), the interim safety certification 
training provisions will apply to the following covered personnel and 
will be effective until FTA issues a final rule for the PTSCTP:
    (1) FTA personnel and contractors who conduct safety audits and 
examinations of public transportation systems; \1\
---------------------------------------------------------------------------

    \1\ FTA anticipates that this category will include 
approximately 40 FTA personnel and contractors.
---------------------------------------------------------------------------

    (2) SSOA personnel and contractors who conduct safety audits and 
examinations of rail fixed guideway public transportation systems not 
subject to FRA regulation. In accordance with 49 U.S.C. 5329(e)(3)(E), 
each SSOA will designate its covered personnel or positions responsible 
for conducting the applicable safety audits and examinations and 
identify them in its annual FTA certification reporting requirements; 
\2\
---------------------------------------------------------------------------

    \2\ FTA anticipates that this category will include 
approximately 70 to 120 SSOA personnel and contractors.
---------------------------------------------------------------------------

    (3) Designated employees of re-cip-i-ents with rail transit systems 
subject to 49 CFR part 659 who are directly responsible for safety 
oversight.\3\
---------------------------------------------------------------------------

    \3\ FTA anticipates that this category will include 
approximately 340 rail transit agency personnel.
---------------------------------------------------------------------------

    (a) Each recipient will designate its covered personnel who are 
directly responsible for safety oversight of its rail transit system.
    (b) At a minimum, covered personnel should include the Chief Safety 
Officer and the primary staff directly responsible for safety oversight 
of the recipient's rail transit system. Directly responsible means 
safety staff who participate in the development, implementation or 
maintenance of the requirements of the oversight agency's program 
standard.
    (4) The following personnel may voluntarily participate in the 
applicable interim safety certification training provisions: \4\
---------------------------------------------------------------------------

    \4\ FTA anticipates that this will include approximately 2000 
personnel.
---------------------------------------------------------------------------

    (a) Personnel employed by recipients of Federal transit funds who 
are directly responsible for safety oversight of non-rail transit 
systems (e.g., passenger ferry, bus, bus rapid transit, and community 
transportation providers); and
    (b) Personnel of State DOTs or other State entities that receive 
Federal transit funds, who are directly responsible for safety 
oversight of non-rail transit systems such as passenger ferry, bus, bus 
rapid transit, and community transportation providers.

V. Interim Safety Certification and Training Requirements

A. Required Curriculum Over a Three-Year Period

 FTA/SSOA personnel and contractor support, and rail transit 
agency personnel with direct responsibility for safety oversight of 
rail transit systems not subject to FRA regulation:
    [cir] One (1) hour course on SMS Awareness--e-learning delivery 
(all required participants)
    [cir] Two (2) hour course on Safety Assurance--e-learning delivery 
(all required participants)
    [cir] Two (2) hour SMS Gap course (e-learning for existing TSSP 
Certificate holders)
    [cir] SMS Principles for Rail Transit (2 days--all required 
participants)
    [cir] SMS Principles for SSO Programs (2 days--FTA/SSOA/contractor 
support personnel only)
    [cir] Revised TSSP with SMS Principles Integration (not required of 
current TSSP Certificate holders--17.5 days for all other covered 
personnel)
    [cir] Rail System Safety
    [cir] Effectively Managing Transit Emergencies
    [cir] Transit System Security
    [cir] Rail Incident Investigation

 FTA/SSOA/contractor support personnel (technical training 
component):
    Each SSOA shall develop a technical training plan for covered 
personnel and contractor support personnel who perform safety audits 
and examinations. The SSOA will submit its proposed technical training 
plan to FTA for review and evaluation as part of the SSOA certification 
program in accordance with 49 U.S.C. 5329[euro](7). This review and 
approval process will support the consultation required between FTA and 
SSOAs regarding the staffing and qualification of the SSOAs' employees 
and other designated personnel in accordance with 49 U.S.C. 
5329[euro](3)(D).
    SSOA's should submit their technical training plan to FTA via the 
following Web site: safety.fta.dot.gov no later than May 28, 2015. FTA 
will provide technical assistance on a one-on-one basis after the 
technical training plans are submitted and reviewed.
    Recognizing that each rail fixed guideway public transportation 
system has unique characteristics, each SSOA will identify the tasks 
related to inspections, examinations, and audits, and all activities 
requiring sign-off, which must be performed by the SSOA to carry out 
its safety oversight requirements, and identify the skills and

[[Page 10625]]

knowledge necessary to perform each task at that system.
    At a minimum, the technical training plan will describe the process 
for receiving technical training from the rail transit agencies in the 
following competency areas appropriate to the specific rail fixed 
guideway system(s) for which safety audits and examinations are 
conducted:

 Agency organizational structure
 System Safety Program Plan and Security Program Plan
 Knowledge of agency:
    [cir] Territory and revenue service schedules
    [cir] Current bulletins, general orders, and other associated 
directives that ensure safe operations
    [cir] Operations and maintenance rule books
    [cir] Safety rules
    [cir] Standard Operating Procedures
    [cir] Roadway Worker Protection
    [cir] Employee Hours of Service and Fatigue Management program
    [cir] Employee Observation and Testing Program (Efficiency Testing)
    [cir] Employee training and certification requirements
    [cir] Vehicle inspection and maintenance programs, schedules and 
records
    [cir] Track inspection and maintenance programs, schedules and 
records
    [cir] Tunnels, bridges, and other structures inspection and 
maintenance programs, schedules and records
    [cir] Traction power (substation, overhead catenary system, and 
third rail), load dispatching, inspection and maintenance programs, 
schedules and records
    [cir] Signal and train control inspection and maintenance programs, 
schedules and records

    The SSOA will determine the length of time for the technical 
training based on the skill level of the covered personnel relative to 
the applicable rail transit agency(s). FTA will provide a template on 
its Web site to assist the SSOA with preparing and monitoring its 
technical training plan and will provide technical assistance as 
requested. Each SSOA technical training plan that is submitted to FTA 
for review will:

[cir] Require covered personnel to successfully:
    [ssquf] Complete training that covers the skills and knowledge the 
covered personnel will need to effectively perform his or her tasks.
    [ssquf] Pass a written and/or oral examination covering the skills 
and knowledge required for the covered personnel to effectively perform 
his or her tasks.
    [ssquf] Demonstrate hands-on capability to perform his or her tasks 
to the satisfaction of the appropriate SSOA supervisor or designated 
instructor.
[cir] Establish equivalencies or written and oral examinations to allow 
covered personnel to demonstrate that they possess the skill and 
qualification required to perform their tasks.
[cir] Require biennial refresher training to maintain technical skills 
and abilities which includes classroom and hands-on training, as well 
as testing. Observation and evaluation of actual performance of duties 
may be used to meet the hands-on portion of this requirement, provided 
that such testing is documented.
[cir] Require that training records be maintained to demonstrate the 
current qualification status of covered personnel assigned to carry out 
the oversight program. Records may be maintained either electronically 
or in writing and must be provided to FTA upon request.
[cir] Records must include the following information concerning each 
covered personnel:
    [ssquf] Name;
    [ssquf] The title and date each training course was completed and 
the proficiency test score(s) where applicable;
    [ssquf] The content of each training course successfully completed;
    [ssquf] A description of the covered personnel's hands-on 
performance applying the skills and knowledge required to perform the 
tasks that the employee will be responsible for performing and the 
factual basis supporting the determination;
    [ssquf] The tasks the covered personnel is deemed qualified to 
perform; and
    [ssquf] Provide the date that the covered personnel's status as 
qualified to perform the tasks expires, and the date in which biennial 
refresher training is due.
    [cir] Ensure the qualification of contractors performing oversight 
activities. SSOAs may use demonstrations, previous training and 
education, and written and oral examinations to determine if 
contractors possess the skill and qualification required to perform 
their tasks.
    [cir] Periodically assess the effectiveness of the technical 
training. One method of validation and assessment could be through the 
use of efficiency tests or periodic review of employee performance.

B. Voluntary Curriculum

 Bus transit system personnel with direct safety oversight 
responsibility and State DOTs overseeing safety programs for 5311 sub-
recipients
    [cir] FTA-sponsored Bus Safety Programs
    [cir] One (1) hour course on SMS Awareness--e-learning delivery
    [cir] SMS for Bus Operations
    [cir] TSSP Certificate (Bus)

VI. Paperwork Reduction Act

    In February 2014, in compliance with the Paperwork Reduction Act of 
1995 (PRA) (44 U.S.C. 3501 et seq.) and the Office of Management and 
Budget (OMB) implementing regulation at 5 CFR 1320.13, FTA received 
approval from OMB for an Information Collection for the State Safety 
Oversight Program (Information Collection number 2132-0558). The 
recordkeeping necessary to comply with the interim program would be 
consistent with the recordkeeping required for SSOA and rail fixed 
guideway public transportation agency training in the approved 
information collection.

VII. Next Steps

    1. FTA will host an informational webinar discussing the interim 
training program on or about 45 days after publication.
    2. Covered personnel will be able to log-in to FTA's Web site 
safety.fta.dot.gov and establish a user ID and password (the Web site 
link provided will be live at least 30 days after publication, periodic 
updates will be provided on the landing page for users). Once this is 
completed, each participant will be provided with a curriculum which is 
associated with their category. The dates that registration will open 
for courses listed in each participant's profile will be provided with 
the learning profile. Participants will be notified by email when there 
has been an update to their profile. Once the Web site registration 
process is completed, users will be able to register for available 
classroom training, participate in e-learning opportunities and track 
their progress towards completion of their requirements. If a 
participant has previously completed a course that is listed in their 
profile (e.g., TSSP), they may upload a copy of the certificate to 
their profile at safety.fta.dot.gov.

[[Page 10626]]

    3. FTA will provide technical assistance to SSOAs at 
safety.fta.dot.gov. Each SSOA should submit their technical training 
plan to FTA via the following Web site: safety.fta.dot.gov no later 
than May 28, 2015.

Therese McMillan,
Acting Administrator.
[FR Doc. 2015-03842 Filed 2-26-15; 8:45 am]
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