Summary of Proposed GO 164-D Changes

The proposed GO 164-D amends several sections of GO 164-C. These changes are summarized below.

Definitions:

Proposed GO 164-D eliminates the following definitions: American Public Transportation Association (APTA) Guidelines, Business Day, Fatality, First Aid, Hazardous Condition, Immediate Notification, Notice, Protest, Protester, Replies to Protests, Serious Injury, and Unacceptable Hazardous Conditions.

Proposed GO 164-D redefines the following definitions: Certifiable Elements List, Existing Industry Standards, Hazard Analysis, Major Projects, Person, Rail Fixed Guideway System, Safety, Safety Certification Plan, Safety Design Criteria, Security, Staff, and System Safety Program Plan.

Proposed GO 164-D introduces the following new definitions: Contractor, Corrective Action Plan, FRA, Hazard, Individual, Investigation, Mainline, Passenger, Person, Rail Transit Agency, Rail Transit Controlled Property, Rail Transit Vehicle, and System Security Plan.

Requirements for System Safety Program Plan (SSPP)

Proposed GO 164-D identifies the minimum requirements for the RTA's development of its SSPP. In GO 164-C, some of these requirements were contained in the APTA Manual, which was incorporated by reference, into the regulation. Proposed GO 164-D requires Staff to oversee an annual review by the RTA of its SSPP to determine whether or not plan must be modified or updated. Staff must review and approve any modifications or updates.

Requirements for System Security Plan

Proposed GO 164-D identifies the minimum requirements for the RTA's development of its System Security Plan. It requires the RTA to develop and maintain a separate System Security Plan. Staff must oversee an annual review by the RTA of its System Security Plan to determine whether or not plan must be modified or updated. Staff must review and approve any modifications or update. Additionally proposed GO 164-D requires the System Security Plan address the personal security of passengers, employees, and the general public. It allows Staff to perform inspections to assess whether the RTA complies with its System Security Plan.

Requirements for Internal Safety and Security Audits

Proposed GO 164-D continues to require the RTA to conduct annual internal safety and security audits. It requires Staff to review and approve the RTA's annual report documenting RTA internal safety and security audit findings. The RTA annual report must be accompanied by a formal letter of certification, signed by the RTA's chief executive officer, indicating that RTA is in compliance with its SSPP and Security Plan.

Requirements for Hazard Management Process

Proposed GO 164-D requires the RTA to develop a hazard management process as part of its SSPP, to be reviewed and approved by Staff. It requires the RTA to develop, in coordination with Staff, threshold for notification and reporting of hazards to Staff. Measures to eliminate or control hazards and the associated corrective actions are to be managed through the hazard management process, including RTA procedures for providing Staff for reports to track mitigation.

Requirements for Reporting Accidents

Proposed GO 164-D modifies the threshold for the notification and investigation of accidents. It requires RTAs to report the occurrence of accidents within two (2) hours. In those instances where the RTA shares track with the general railroad system and is subject to FRA notification requirements, the RTA must notify Staff within two (2) hours of an incident for which FRA is notified.

Requirements for Investigating Accidents

Proposed GO 164-D requires each RTA to investigate, on behalf of the Commission, all accidents meeting the notification and investigation thresholds. Staff may also perform separate, independent investigations at its own discretion. The proposed GO requires Staff to review and approve all procedures that will be used to conduct an investigation on its behalf.

In the event Staff does not accept the RTA's investigative report, it must either conduct its own investigation, or formally transmit its dissent to the findings of the accident investigation to the RTA, and negotiate with the RTA until a resolution on the findings is reached.

Furthermore, proposed GO 164-D includes the requirement that following any accident investigation conducted by the NTSB, the Staff and the RTA shall meet to address the NTSB findings and determine the appropriate corrective actions to be taken based on those findings and all other information available on the incident.

Requirements for Corrective Action Plan

Proposed GO 164-D requires the RTA to develop corrective action plans to address findings from accidents and Staff's three-year safety and security review. The proposed GO requires each RTA to submit an investigation corrective action plan to Staff within 60 calendar days of the occurrence of the accident as part of the investigation report or in a separate document. If the corrective action plan implementation takes longer than 60 calendar days to complete, the RTA shall submit interim status reports every 30 calendar days. The corrective action plan shall identify the action to be taken with an accompanying implementation schedule, and the individual or department responsible for the implementation.

Each RTA shall submit a corrective action plan based on the recommendations contained in the Staff triennial safety and security review reports as adopted by the Commission. RTA shall submit each corrective action plan to Staff for review and approval. The corrective action plan shall identify the action to be taken with an accompanying implementation schedule, and the individual or department responsible for the implementation. RTA shall submit to Staff corrective action plan interim status reports according to the Commission Resolution.

If Staff finds the corrective action plan acceptable, Staff shall issue a formal letter to the RTA approving the corrective action plan. If rejected, Staff shall identify the areas in the plan to be corrected. If the RTA does not agree with the rejection, RTA shall negotiate with Staff until resolution is achieved. If no resolution is achieved, the RTA shall appeal to the Commission pursuant to the Commission Rules of Practice and Procedure. Each RTA shall submit to Staff verification that the corrective action(s) has been implemented as described in the corrective action plan, or that a proposed alternate action(s) has been implemented subject to Staff approval.

Requirements for At-Grade Rail Crossings

Proposed GO 164-D establishes new procedures for Commission approval of the construction of at-grade crossings.

The new procedures require the RTA to consult with Staff in the initial phase of a new crossing project. The initial phase is defined as during either development of Draft Environmental Impact Report or prior to initiating preliminary engineering. The purpose of the consultation is for the RTA to provide justification to Staff why each at-grade crossing is not a good candidate for closure or grade-separation.

In the second phase, defined as during the preliminary engineering phase of the project, the RTA shall request Commission authorization for every at-grade crossing by either filing a Rail Crossing Hazard Analysis Report (RCHAR) or filing a formal application in accordance with Commission's Rules of Practice and Procedures.

If the RTA chooses to request Commission authorization by filing a RCHAR, then procedures are established for review and approval of requested authorization through a Commission Resolution.