[Code of Federal Regulations]
[Title 49, Volume 5, Parts 400 to 999]
[Revised as of October 1, 1999]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR659]

[Page 993-996]
 
                        TITLE 49--TRANSPORTATION
 
                       CHAPTER VI--FEDERAL TRANSIT
                      ADMINISTRATION, DEPARTMENT OF
                             TRANSPORTATION
 
PART 659--RAIL FIXED GUIDEWAY SYSTEMS; STATE SAFETY OVERSIGHT

                      Subpart A--General Provisions

Sec.
659.1  Purpose.
659.3  Scope.
659.5  Definitions.
659.7  Withholding of funds for non-compliance.

                    Subpart B--The Role of the State

659.21  Designation of oversight agency.
659.23  Confidential investigation reports.

                 Subpart C--The Oversight Agency's Role

659.31  The system safety program standard.
659.33  System safety program plans.
659.35  Transit agency annual audit reports.
659.37  Safety reviews.
659.39  Transit agency report on accidents and unacceptable hazardous 
          conditions.
659.41  Investigations.
659.43  Corrective actions.
659.45  Oversight agency report to the Federal Transit Administration.
659.47  Use of contractors.
659.49  Certification of compliance.

Appendix to Part 659--Sample Certification of Compliance.

    Authority: 49 U.S.C. Sec. 5330.

    Source: 60 FR 67046, Dec. 27, 1995, unless otherwise noted.

                      Subpart A--General Provisions

Sec. 659.1  Purpose.

    This part implements 49 U.S.C. 5330 by requiring a State to oversee 
the safety of rail fixed guideway systems through a designated oversight 
agency.

Sec. 659.3  Scope.

    This part applies to a State that has within its boundaries a rail 
fixed guideway system not regulated by the Federal Railroad 
Administration (FRA).

Sec. 659.5  Definitions.

    As used in this part--
    Accident means any event involving the revenue service operation of 
a rail fixed guideway system if as a result:
    (1) An individual dies;
    (2) An individual suffers bodily injury and immediately receives 
medical treatment away from the scene of the accident; or
    (3) A collision, derailment, or fire causes property damage in 
excess of $100,000.
    APTA Guidelines means the American Public Transit Association's 
``Manual for the Development of Rail Transit System Safety Program 
Plans,'' published on August 20, 1991.
    Contractor means an entity that performs tasks required by this part 
on behalf of the oversight or transit agency. The transit agency may not 
be a contractor for the oversight agency.
    FTA means the Federal Transit Administration, an agency within the 
U.S. Department of Transportation.
    Hazardous condition means a condition that may endanger human life 
or property. It includes unacceptable hazardous conditions.
    Investigation means a process to determine the probable cause of an 
accident or an unacceptable hazardous condition; it may involve no more 
than a review and approval of the transit agency's determination of the 
probable cause of an accident or unacceptable hazardous condition.
    Oversight agency means the entity, other than the transit agency, 
designated by the State or several States to implement this part.
    Rail fixed guideway system means any light, heavy, or rapid rail 
system, monorail, inclined plane, funicular, trolley, or automated 
guideway that is:
    (1) Included in FTA's calculation of fixed guideway route miles or 
receives funding under FTA's formula program for urbanized areas (49 
U.S.C. 5336); and
    (2) Not regulated by the Federal Railroad Administration.
    Safety means freedom from danger.
    Safety review means a formal, comprehensive, on-site examination by 
the oversight agency of a transit agency's safety practices to determine 
whether they comply with the policies and procedures required under the 
transit agency's system safety program plan.
    Security means freedom from intentional danger.
    System safety program plan means a document adopted by the transit 
agency detailing its safety policies, objectives, responsibilities, and 
procedures.
    System safety program standard means the standard developed and 
adopted by the State oversight agency which, at a

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minimum, complies with the APTA Guidelines and which addresses personal 
security.
    Transit agency means an entity operating a rail fixed guideway 
system.
    Unacceptable hazardous condition means a hazardous condition 
determined to be an unacceptable hazardous condition using the APTA 
Guidelines' Hazard Resolution Matrix (APTA Guidelines, checklist number 
7).

Sec. 659.7  Withholding of funds for non-compliance.

    The Administrator of the FTA may withhold up to five percent of the 
amount required to be apportioned for use in any State or affected 
urbanized area in such State under FTA's formula program for urbanized 
areas for any fiscal year beginning after September 30, 1997, if the 
State in the previous fiscal year has not met the requirements of this 
part and the Administrator determines that the State is not making 
adequate efforts to comply with this part.

                    Subpart B--The Role of the State

Sec. 659.21  Designation of oversight agency.

    (a) For a transit agency or agencies operating within a single 
State, the State must designate an agency of the State, other than a 
transit agency, to serve as the oversight agency and to implement the 
requirements of this part.
    (b) For a transit agency operating a system within more than one 
State, those States may designate a single entity, other than the 
transit agency, to implement the requirements of this part.

Sec. 659.23  Confidential investigation reports.

    The State may prohibit an investigation report that may be prepared 
by the oversight agency from being admitted into evidence or used in a 
civil action for damages resulting from a matter mentioned in the 
report.

                 Subpart C--The Oversight Agency's Role

Sec. 659.31  The system safety program standard.

    (a) The oversight agency must develop and adopt a system safety 
program standard that, at a minimum--
    (1) Complies with the American Public Transit Association's ``Manual 
for the Development of Rail Transit System Safety Program Plans'' (APTA 
Guidelines) published on August 20, 1991, hereby incorporated by 
reference; and
    (2) Requires the transit agency to address the personal security of 
its passengers and employees.
    (b) The APTA Guidelines specify procedures for developing a system 
safety program plan, generally discuss the principles of system safety, 
and specifically address certain issues critical to the safe operation 
of a rail fixed guideway system.
    (c) The incorporation by reference of the APTA Guidelines has been 
approved by the Director of the Federal Register in accordance with 5 
U.S.C. 552(a) and 1 CFR Part 51. Copies of the APTA Guidelines may be 
obtained from the American Public Transit Association, 1201 New York 
Avenue, NW., Washington DC 20005-3917, (202) 893-4000. The Guidelines 
may be inspected at, and are available from the Federal Transit 
Administration, Office of Safety and Security, 400 7th Street, SW., 
Washington, D.C. 20590, and at the Office of the Federal Register, 800 
North Capitol Street, NW., Washington, DC.

Sec. 659.33  System safety program plans.

    (a) Except as provided in Sec. 659.33(b), the oversight agency must 
--
    (1) Require the transit agency to implement, beginning on January 1, 
1997, a system safety program plan conforming to the oversight agency's 
system safety program standard; and
    (2) Approve in writing before January 1, 1997, the transit agency's 
system safety program plan.
    (b) The oversight agency must --
    (1) Require the transit agency to implement beginning on January 1, 
1998,

[[Page 995]]

the security portion of its system safety program plan; and
    (2) Approve in writing before January 1, 1998, the security portions 
of the transit agency's system safety program plan.
    (c) After December 31, 1996, the oversight agency must review and 
approve, in writing, the transit agency's system safety program plan, as 
necessary, and require the transit agency to update its system safety 
program plan, as necessary.
    (d) The oversight agency may prohibit a transit agency from publicly 
disclosing the security aspects of the system safety program plan.

[60 FR 67046, Dec. 27, 1995, as amended at 61 FR 67493, Dec. 23, 1996]

Sec. 659.35  Transit agency annual audit reports.

    The oversight agency must--
    (a) Require that the transit agency submit, annually, a copy of the 
annual safety audit report prepared by the transit agency as a result of 
the Internal Safety Audit Process (APTA Guidelines, checklist number 9); 
and
    (b) Review the annual safety audit reports prepared by the transit 
agency.

Sec. 659.37  Safety reviews.

    At least every three years the oversight agency must conduct an on-
site safety review of the transit agency's implementation of its system 
safety program plan and prepare and issue a report containing findings 
and recommendations resulting from that review, which, at a minimum, 
must include an analysis of the efficacy of the system safety program 
plan and a determination of whether it should be updated.

Sec. 659.39  Transit agency report on accidents and unacceptable 
          hazardous conditions.

    The oversight agency must require that the transit agency report 
accidents and unacceptable hazardous conditions to the oversight agency 
within a specified period of time.

Sec. 659.41  Investigations.

    The oversight agency must--
    (a) Establish procedures to investigate accidents and unacceptable 
hazardous conditions.
    (b) Unless the National Transportation Safety Board has investigated 
or will investigate an accident, the oversight agency must investigate 
accidents and unacceptable hazardous conditions occurring at a transit 
agency under its jurisdiction.

Sec. 659.43  Corrective actions.

    The oversight agency must require the transit agency to minimize, 
control, correct, or eliminate any investigated hazardous condition 
within a time period specified by and in accordance with a corrective 
action plan approved by the oversight agency.

Sec. 659.45  Oversight agency report to the Federal Transit 
          Administration.

    (a) Initial submissions. Before January 1, 1997, the oversight 
agency must submit to FTA the following information, which must be 
updated as necessary:
    (1) The name and address of the oversight agency;
    (2) The name(s) and address(es) of the transit agency or agencies 
subject to the oversight agency's jurisdiction under this part; and
    (3) A written description of the oversight agency's oversight 
program including the following information:
    (i) A copy of its system safety program standard;
    (ii) Its procedures or process for reviewing and approving the 
transit agency's system safety program plan;
    (iii) Its investigatory procedures; and
    (iv) Its procedures for ensuring that appropriate corrective actions 
have been taken by the transit agency to correct, eliminate, minimize, 
or control investigated hazardous conditions.
    (b) Annual submissions. Before March 15 of each year, the oversight 
agency must submit to FTA a publicly available annual report summarizing 
its oversight activities for the preceding twelve months, including a 
description of the most common probable causal factors of accidents and 
unacceptable hazardous conditions.
    (c) Periodic submissions. Status reports of accidents, hazardous 
conditions, and corrective action plans must be forwarded to the FTA 
upon request.

[[Page 996]]

    (d) Addresses. Reports and annual summaries must be sent to: Federal 
Transit Administration, Office of Safety and Security, 400 7th Street, 
S.W., Washington, DC 20590.

[60 FR 67046, Dec. 27, 1995, as amended at 61 FR 67493, Dec. 23, 1996]

Sec. 659.47  Use of contractors.

    (a) The oversight agency may use a contractor to--
    (1) Develop a system safety program standard;
    (2) Review system safety program plans;
    (3) Review annual audit reports;
    (4) Conduct safety reviews;
    (5) Prepare safety review findings;
    (6) Establish investigation procedures;
    (7) Conduct investigations;
    (8) Review corrective action plans; and/or
    (9) Prepare initial or annual submissions to FTA.
    (b) The oversight agency may allow a transit agency to use a 
contractor to--
    (1) Develop or update a system safety program plan;
    (2) Prepare annual audit reports; and/or
    (3) Develop a corrective action plan.

Sec. 659.49  Certification of compliance.

    (a) Before January 1, 1997, and annually thereafter, the oversight 
agency must certify to the FTA that it has complied with the 
requirements of this part. Each certification shall comply with the 
applicable sample certification provided in the appendix to this part. 
Each certification shall be sent to: Federal Transit Administration, 
Office of Safety and Security, 400 7th Street, S.W., Washington, DC 
20590.
    (b) Each certification must be signed by an official authorized by 
the oversight agency and must comply with the applicable sample 
certification provided in the appendix to this part.

        Appendix to Part 659--Sample Certification of Compliance

    This appendix contains an example of certification language.
    I, (name), (title), certify that (name of the oversight agency) has 
implemented a State oversight program that meets the requirements of 49 
CFR part 659 and further certify that I have no conflict of interest 
with any rail fixed guideway system overseen as a result of 49 CFR part 
659, nor does (name of the oversight agency) and its contractors.