Title 49 Part 672
Title 49 → Subtitle B → Chapter VI → Part 672
Electronic Code of Federal Regulations e-CFR
Title 49 Part 672
PART 672—PUBLIC TRANSPORTATION SAFETY CERTIFICATION TRAINING PROGRAM
Appendix A to Part 672—Public Transportation Safety Certification Training Program
Authority: 49 U.S.C. 5329(c) and (f), and 49 CFR 1.91.
Source: 83 FR 34067, July 19, 2018, unless otherwise noted.
Subpart A—General Provisions
(a) This part implements a uniform safety certification training curriculum and requirements to enhance the technical proficiency of individuals who conduct safety audits and examinations of public transportation systems operated by public transportation agencies and those who are directly responsible for safety oversight of public transportation agencies.
(b) This part does not preempt any safety certification training requirements required by a State for public transportation agencies within its jurisdiction.
§672.3 Scope and applicability.
(a) In general, this part applies to all recipients of Federal financial assistance under 49 U.S.C. chapter 53.
(b) The mandatory requirements of this part will apply only to State Safety Oversight Agency personnel and contractors that conduct safety audits and examinations of rail fixed guideway public transportation systems, and designated personnel and contractors who are directly responsible for the safety oversight of a recipient's rail fixed guideway public transportation systems.
(c) Other FTA recipients may participate voluntarily in accordance with this part.
As used in this part:
Administrator means the Federal Transit Administrator or the Administrator's designee.
Contractor means an entity that performs tasks on behalf of FTA, a State Safety Oversight Agency, or public transportation agency through contract or other agreement.
Designated personnel means:
(1) Employees and contractors identified by a recipient whose job function is directly responsible for safety oversight of the public transportation system of the public transportation agency; or
(2) Employees and contractors of a State Safety Oversight Agency whose job function requires them to conduct safety audits and examinations of the rail fixed guideway public transportation systems subject to the jurisdiction of the agency.
Directly responsible for safety oversight means public transportation agency personnel whose primary job function includes the development, implementation and review of the agency's safety plan, and/or the SSOA requirements for the rail fixed guideway public transportation system pursuant to 49 CFR parts 659 or 674.
Examination means a process for gathering or analyzing facts or information related to the safety of a public transportation system.
FTA means the Federal Transit Administration.
Public transportation agency means an entity that provides public transportation service as defined in 49 U.S.C. 5302 and that has one or more modes of service not subject to the safety oversight requirements of another Federal agency.
Rail fixed guideway public transportation system means any fixed guideway system as defined in §674.7 of this chapter.
Recipient means a State or local governmental authority, or any other operator of a public transportation system receiving financial assistance under 49 U.S.C. chapter 53.
Safety audit means a review or analysis of safety records and related materials, including, but not limited to, those related to financial accounts.
State means 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 (SSOA) means an agency established by a State that meets the requirements and performs the functions specified by 49 U.S.C. 5329(e) and the regulations set forth in 49 CFR parts 659 and 674.
Subpart B—Training Requirements
§672.11 Designated personnel who conduct safety audits and examinations.
(a) Each SSOA shall designate its personnel and contractors who conduct safety audits and examinations of public transportation systems, including appropriate managers and supervisors of such personnel, that must comply with the applicable training requirements of Appendix A to this part.
(b) Designated personnel shall complete applicable training requirements of this part within three (3) years of their initial designation. Thereafter, refresher training shall be completed every two (2) years. The SSOA shall determine refresher training requirements which must include, at a minimum, one (1) hour of safety oversight training.
§672.13 Designated personnel of public transportation agencies.
(a) Each recipient that operates a rail fixed guideway public transportation system shall designate its personnel and contractors who are directly responsible for safety oversight and ensure their compliance with the applicable training requirements set forth in Appendix A to this part.
(b) Each recipient that operates a bus or other public transportation system not subject to the safety oversight of another Federal agency may designate its personnel who are directly responsible for safety oversight to participate in the applicable training requirements as set forth in Appendix A to this part.
(c) Personnel designated under paragraph (a) of this section shall complete applicable training requirements of this part within three (3) years of their initial designation. Thereafter, refresher training shall be completed every two (2) years. The recipient shall determine refresher training requirements which must include, at a minimum, one (1) hour of safety oversight training.
§672.15 Evaluation of prior certification and training.
(a) Designated personnel subject to this part may request that FTA evaluate safety training or certification previously obtained from another entity to determine if the training satisfies an applicable training requirement of this part.
(b) Designated personnel must provide FTA with an official transcript or certificate of the training, a description of the curriculum and competencies obtained, and a brief statement detailing how the training or certification satisfies the applicable requirements of this part.
(c) FTA will evaluate the submission and determine if a training requirement of this part may be waived. If a waiver is granted, designated personnel are responsible for completing all other applicable requirements of this part.
Subpart C—Administrative Requirements.
(a) General requirement. Each recipient shall ensure that its designated personnel are enrolled in the PTSCTP. Each recipient shall ensure that designated personnel update their individual training record as he or she completes the applicable training requirements of this part.
(b) SSOA requirement. Each SSOA shall retain a record of the technical training completed by its designated personnel in accordance with the technical training requirements of Appendix A to this part. Such records shall be retained by the SSOA for at least five (5) years from the date the record is created.
§672.23 Availability of records.
(a) Except as required by law, or expressly authorized or required by this part, a recipient may not release information pertaining to designated personnel that is required by this part without the written consent of the designated personnel.
(b) Designated personnel are entitled, upon written request to the recipient, to obtain copies of any records pertaining to his or her training required by this part. The recipient shall promptly provide the records requested by designated personnel and access shall not be contingent upon the recipient's receipt of payment for the production of such records.
(c) A recipient shall permit access to all facilities utilized and records compiled in accordance with the requirements of this part to the Secretary of Transportation, the Federal Transit Administration, or any State agency with jurisdiction over public transportation safety oversight of the recipient.
(d) When requested by the National Transportation Safety Board as part of an accident investigation, a recipient shall disclose information related to the training of designated personnel.
Subpart D—Compliance and Certification Requirements
§672.31 Requirement to certify compliance.
(a) A recipient of FTA financial assistance described in §672.3(b) shall annually certify compliance with this part in accordance with FTA's procedures for annual grant certification and assurances.
(b) A certification must be authorized by the recipient's governing board or other authorizing official, and must be signed by a party specifically authorized to do so.
Appendix A to Part 672—Public Transportation Safety Certification Training Program
A. Required Curriculum Over a Three-Year Period
(1) FTA/SSOA personnel and contractor support, and public transportation agency personnel with direct responsibility for safety oversight of rail fixed guideway public transportation systems:
(a) One (1) hour course on SMS Awareness—e-learning delivery (all required participants)
(b) Two (2) hour courses on Safety Assurance—e-learning delivery (all required participants)
(c) Twenty (20) hours on SMS Principles for Transit (all required participants)
(d) Sixteen (16) hours on SMS Principles for SSO Programs (FTA/SSOA/contractor support personnel only)
(e) TSSP curriculum (minus Transit System Security (TSS) course) (all required participants—credit will be provided if participant has a Course Completion Certificate of previously taken TSSP courses)
(i) Rail System Safety (36 hours)
(ii) Effectively Managing Transit Emergencies (32 hours)
(iii) Rail Incident Investigation (36 hours)
(2) FTA/SSOA/contractor support personnel (technical training component):
(a) Each SSOA shall develop a technical training plan for designated 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(e)(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(e)(3)(D).
(b) 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 knowledge necessary to perform each task at that system. At a minimum, the technical training plan will describe the process for receiving technical training in the following competency areas appropriate to the specific rail fixed guideway public transportation system(s) for which safety audits and examinations are conducted:
(i) Agency organizational structure
(ii) System Safety Program Plan and Security Program Plan
(iii) Knowledge of agency:
(I) Territory and revenue service schedules
(II) Current bulletins, general orders, and other associated directives that ensure safe operations
(III) Operations and maintenance rule books
(IV) Safety rules
(V) Standard Operating Procedures
(VI) Roadway Worker Protection
(VII) Employee Hours of Service and Fatigue Management program
(VIII) Employee Observation and Testing Program (Efficiency Testing)
(IX) Employee training and certification requirements
(X) Vehicle inspection and maintenance programs, schedules and records
(XI) Track inspection and maintenance programs, schedules and records
(XII) Tunnels, bridges, and other structures inspection and maintenance programs, schedules and records
(XIII) Traction power (substation, overhead catenary system, and third rail), load dispatching, inspection and maintenance programs, schedules and records
(XIV) Signal and train control inspection and maintenance programs, schedules and records
(c) The SSOA will determine the length of time for the technical training based on the skill level of the designated personnel relative to the applicable rail transit agency(s). FTA will provide a template as requested 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:
(i) Require designated personnel to successfully:
(I) Complete training that covers the skills and knowledge needed to effectively perform the tasks.
(II) Pass a written and/or oral examination covering the skills and knowledge required for the designated personnel to effectively perform his or her tasks.
(III) Demonstrate hands-on capability to perform his or her tasks to the satisfaction of the appropriate SSOA supervisor or designated instructor.
(ii) Establish equivalencies or written and oral examinations to allow designated personnel to demonstrate that they possess the skill and qualification required to perform their tasks.
(iii) 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.
(iv) Require that training records be maintained to demonstrate the current qualification status of designated 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.
(v) Records must include the following information concerning each designated personnel:
(II) The title and date each training course was completed and the proficiency test score(s) where applicable;
(III) The content of each training course successfully completed;
(IV) A description of the designated 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;
(V) The tasks the designated personnel are deemed qualified to perform; and
(VI) Provide the date that the designated personnel's status as qualified to perform the tasks expires, and the date in which biennial refresher training is due.
(vi) 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.
(vii) 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 subrecipients:
(a) SMS Awareness—e-learning delivery
(b) Safety Assurance—e-learning delivery
(c) SMS Principles for Transit
(d) Courses offered through the TSSP Certificate (Bus)
i. Effectively Managing Transit Emergencies
ii. Transit Bus System Safety
iii. Fundamentals of Bus Collision Investigation