Background

The Commission's responsibilities regarding rail transit safety are set forth in the California Public Utilities Code. In addition, there are applicable federal provisions relating to the Commission's oversight of the six major rail transit systems in the state. The key provisions include Public Utilities Code Section 99152 and 49 Code of Federal Regulations Part 659.

Public Utilities Code Section 99152 states:

"99152. Any public transit guideway planned, acquired, or constructed, on or after January 1, 1979, is subject to regulations of the Public Utilities Commission relating to safety appliances and procedures.

"The commission shall inspect all work done on those guideways and may make further additions or changes necessary for the purpose of safety to employees and the general public.

"The commission shall develop an oversight program employing safety planning criteria, guidelines, safety standards, and safety procedures to be met by operators in the design, construction, and operation of those guideways. Existing industry standards shall be used where applicable.

"The commission shall enforce the provisions of this section. (Amended by Stats. 1986, Ch. 483, Sec. 1.)"

The key federal provision is 49 CFR Part 659, "Rail Fixed Guideway Systems; State Safety Oversight; Final Rule." Among other elements, this rule requires each state to designate an agency to oversee the safety of rail transit systems. In California, the Commission is that agency.

Pursuant to 49 CFR Part 659, the Commission oversees the six major rail transit agencies. They are the Bay Area Rapid Transit District (BART), Los Angeles County Metropolitan Transit Authority (LACMTA), Sacramento Regional Transit District (SRTD), San Diego Trolley Incorporated (SDTI), San Francisco Municipal Railway (MUNI), and Santa Clara Valley Transportation Authority (SCVTA).

In addition to these six agencies, the Commission has safety oversight responsibility for other public transit guideways operating in California. The rules established in the proposed GO 164-C will apply to all public transit guideways in the state. As defined in the proposed general order, a public transit guideway includes all rail transit agencies, rail fixed guideways and all other light rail, rapid rail, monorail, inclined plane, funicular, trolley or automated guideway offering transit service to the public, whether or not federal guidelines or definitions apply.

The Federal Transit Administration (FTA) has recently developed "Guidelines for Safety and Security Management Plans" to assist transit agencies in developing management structures and work programs to effectively plan and implement safety and security-related elements of major capital projects. Furthermore, The Joint Task Force on System Safety, established by the FTA and the American Public Transportation Association has also prepared a "Safety Certification Handbook" which describes a process for developing and documenting a formal safety certification program for major capital projects and recommends a process for Safety Certification of new starts. These recommendations are described in FTA Final Report No. DOT-FTA-MA-90-5006-00-1 "Compliance Guidelines for States with New Starts Projects" dated June 2000. The FTA additionally recommends that the Commission issue a Pre-Revenue Service Program Standard. This would require the Commission to review and approve pre-revenue safety certification programs for any major capital project.

Major Capital Projects are new rail systems and extensions, the acquisition and integration of new vehicles and technologies into existing service, and the rehabilitation or renovation of aging facilities. The proposed GO 164-C will adopt these safety certification requirements for all public transit guideways in California, including those under FTA oversight.

Safety Certification is the process applied to project development to ensure that all practical steps have been taken to optimize the operational safety of the project. The existing GO 164-B identifies the various requirements for System Safety Program Plans and other elements, but not for pre-revenue safety certification. Currently, Safety Certification Program Plans, Safety Certification Plans, and Safety Certification Verification Reports are developed by the rail transit agencies and are submitted to the Commission staff. These documents are reviewed by staff, but are not required by GO 164-B and not required to be approved by the Commission. The type of safety certification documentation varies between agencies.