The types of safety risks  associated with each rail mode differ somewhat. Four experts stated that  the extent of safety culture was generally low throughout the rail transit  industry and needed to be improved. In response to NTSB’s  recommendations to improve its safety culture, WMATA is taking a  number of actions, including:  the development of procedures to ensure clear communication and  distribution of safety-related information and the monthly review of data  and trend analyses, the establishment of a safety hotline and email for employees to report  safety concerns,   an updated whistleblower policy to encourage employee participation and  upper management review of identified safety concerns,   an amended mission statement to reflect the agency’s commitment to    a newly formed committee of WMATA’s Board of Directors to make  recommendations monthly on assuring safety at WMATA. Multiple Factors Have Made Staffing and Training a Challenge for Large Transit Agencies

In addition to instilling safety culture at transit agencies, maintaining an  adequate level of skilled staff and ensuring that they receive needed safety  training are also challenges the largest transit agencies face in ensuring  safety. In addition, in five of the eight rail  transit accident investigations conducted by the NTSB since 2004,  employee errors, such as not following procedures, were identified as a  probable cause of the accidents. 2). In a study of the seven largest rail transit systems  completed in 2009, FTA determined that more than a third of these  agencies’ assets were in poor or marginal condition, indicating that they  were near or had already surpassed their expected useful life. According to FTA officials, the transit industry has been slow to adopt  asset management practices that would allow transit agencies to  efficiently manage state of good repair needs. Proposed legislation would give FTA the authority to set and enforce  safety standards, which could also strengthen transit agencies’ safety  culture through increased oversight, in addition to assistance. To help address transit agency safety training challenges, FTA has  provided funding to support a variety of training classes. In 2009, the  House of Representatives Committee on Transportation and Infrastructure  issued draft legislation to reauthorize surface transportation programs that  would require FTA to form a national council to identify skill gaps in  transit agency maintenance departments, develop programs to address the  recruitment and retention of transit employees, and make  recommendations to FTA and transit agencies on how to increase  apprenticeship programs, among other things. Increase technical training. State of Good Repair

FTA’s assistance to transit agencies to help achieve a state of good  repair—and therefore help ensure safe operations—has primarily  consisted of providing grant funding, although FTA has also conducted  studies and is taking steps to provide more guidance to agencies on asset  management. The various proposals suggesting additional steps that FTA could take to  provide safety-related assistance to transit agencies or strengthen their  accountability for effectively managing their assets have the potential, if  implemented, to enhance rail transit safety. DOT is currently developing a surface transportation  reauthorization proposal. Leading Practices Could Help FTA Target and Track the Results of Its Safety Efforts

As FTA undertakes efforts to help transit agencies address their safety  culture, staffing and training, and state of good repair challenges, setting  performance goals and measures can help it target these efforts and track  results. While FTA has  created plans and other tools to help guide and manage its safety efforts, it  has not fully adopted these practices. However, FTA has not  identified specific performance goals that make clear the direct results its  safety activities are trying to achieve and related measures that would  enable the agency to track and demonstrate its progress in achieving those  results. Without such specific goals and measures, it is not clear how  FTA’s safety activities contribute toward DOT’s overall strategic goal of  reducing transportation-related injuries and fatalities, including rail transit  injuries and fatalities. While these leading practices are useful, problems with FTA’s rail transit  safety data could hamper the agency’s ability to measure its safety  performance. We are not recommending at this time that DOT take actions  on proposals for improving rail transit safety, as the department is  considering various options for improving transportation safety, including  rail transit safety, in developing its reauthorization proposal. As FTA helps transit agencies ensure safety, setting clear performance  goals and related measures for its safety efforts, based on leading  practices, will be vital to improve FTA’s ability to set priorities and  determine progress—both in overseeing transit agencies and in helping  them maintain safety on their systems. Both provided technical comments and clarifications, which we  incorporated into the report as appropriate. DOT agreed to consider our  recommendation. For six of these eight accidents, contributing factors  identified involved deficiencies in safety management or oversight,  including weaknesses in transit agencies’ safety rules and procedures and  in their processes for ensuring employees’ adherence to these rules and  procedures, lack of a safety culture within the transit agency, and lack of  adequate oversight by the transit agency’s state safety oversight agency  and the Federal Transit Authority (FTA). We obtained documents  from and interviewed officials at five large heavy rail transit systems and  three large light rail transit systems operated by seven transit agencies.
Why GAO Did This Study

Although transit service is generally safe, recent high-profile accidents on several large rail transit systems--notably the June 2009 collision in Washington, D.C., that resulted in nine fatalities and 52 injuries--have raised concerns. The Federal Transit Administration (FTA) oversees state agencies that directly oversee rail transit agencies' safety practices. FTA also provides assistance to transit agencies, such as funding and training, to enhance safety. GAO was asked to determine (1) the challenges the largest rail transit systems face in ensuring safety and (2) the extent to which assistance provided by FTA addresses these challenges. GAO visited eight large rail transit systems and their respective state oversight agencies, reviewed pertinent documents, and interviewed rail transit safety experts and officials from FTA and the National Transportation Safety Board (NTSB).

What GAO Found

The largest rail transit agencies face several challenges in trying to ensure safety on their systems. First, according to some experts we interviewed, the level of safety culture--awareness of and organizational commitment to the importance of safety--varies across the transit industry and is low in some agencies. NTSB found that the lack of a safety culture contributed to the June 2009 fatal transit accident in Washington, D.C. Second, with many employees nearing retirement age, large transit agencies have found it difficult to recruit and hire qualified staff. It is also challenging for them to ensure that employees receive needed safety training because of financial constraints and the limited availability of technical training. Training helps ensure safe operations; NTSB has identified employee errors, such as not following procedures, as a probable cause in some significant rail transit accidents. Third, more than a third of the largest agencies' assets are in poor or marginal condition. While agencies have prioritized investments to ensure safety, delays in repairing some assets, such as signal systems, can pose safety risks. The transit industry has been slow to adopt asset management practices that can help agencies set investment priorities and better ensure safety. FTA has provided various types of assistance to transit agencies to help them address these challenges, including researching how to instill a strong safety culture at transit agencies, supporting a variety of safety-related training classes for transit agency staff, and providing funding to help agencies achieve a state of good repair. The Department of Transportation (DOT) has proposed legislation that would give FTA the authority to set and enforce rail transit safety standards, which could help improve safety culture in the industry. FTA is also planning improvements to its training program and the development of asset management guidance for transit agencies, among other things. Some legislative proposals, studies, experts, and agency officials have identified further steps that FTA could take to address transit agencies' safety challenges, such as requiring transit agencies to implement asset management practices. Some of these suggested further steps may have the potential, if implemented, to enhance rail transit safety. DOT is currently developing a legislative proposal for reauthorizing surface transportation programs and may include new rail transit safety initiatives in this proposal. In addition, clear and specific performance goals and measures could help FTA target its efforts to improve transit safety and track results. GAO has identified leading practices to establish such performance goals and measures, but FTA has not fully adopted these practices. For example, FTA has not identified specific performance goals that make clear the direct results its safety activities are trying to achieve and related measures that would enable the agency to track and demonstrate its progress in achieving those results. Without such specific goals and measures, it is not clear how FTA's safety activities contribute toward DOT's strategic goal of reducing transportation-related injuries and fatalities, including rail transit injuries and fatalities. Furthermore, problems with FTA's rail transit safety data could hamper the agency's ability to track its performance.

What GAO Recommends

GAO is making recommendations for improving these data in a separate report (GAO-11-217R). To guide and track the performance of FTA's rail transit safety efforts, DOT should direct FTA to use leading practices to set clear and specific goals and measures for these efforts. DOT and NTSB reviewed a draft of this report and provided technical comments and clarifications, which we incorporated as appropriate. DOT agreed to consider the recommendation.