In the SSO program, state oversight agencies are responsible for directly  overseeing rail transit agencies. FTA’s role in overseeing safety and security of rail transit is relatively  limited. Rail transit has been one of the safest modes of transportation in the  United States. Our 2006 Report Found Most Participants Stated That the State Safety Oversight Program Was Worthwhile but FTA Faced Several Challenges in Administering the Program Effectively

Our 2006 report found that officials from the majority of oversight and  transit agencies with whom we spoke stated that the SSO program  enhances rail transit safety. Officials at several state oversight agencies we spoke with stated that since  FTA provided little to no funding for rail transit safety oversight functions,  and because of competing priorities for limited state funds, they were  limited in the number of staff they could hire and the amount of training  they could provide. For  example, we found that 13 oversight agencies dedicated less than one full- time equivalent (FTE) staff member to oversight. To help ensure that oversight agency staff were adequately trained for their  duties, we recommended that FTA develop a suggested training curriculum  for oversight agency staff and encourage those staff to complete it. Enforcement powers of oversight agencies varied. In our 2006 report, we stated that 19 of 27 oversight  agencies had no punitive authority, such as authority to issue fines, and  those that did have such authority stated that they rarely, if ever, used it. Preliminary Observations on DOT’s Plans For Revamping Rail Transit Safety Oversight and Key Issues Congress May Need to Consider

DOT is planning to propose major changes in FTA’s role that would shift  the balance of federal and state responsibilities for setting safety standards  for rail transit agencies and overseeing their compliance with those  standards. Based on information provided to us by DOT, the department  plans to propose a new federal safety program for rail transit, at an  unspecified future date, with the following key elements:    FTA, through legislation, would receive authority to establish and  enforce minimum safety standards for rail transit systems not already  regulated by FRA. States could become authorized to enforce the federal minimum safety  standards by submitting a program proposal to FTA and receiving  approval of their program. In determining whether to approve state  safety programs, FTA would consider a state’s capability to undertake  rail transit oversight, including staff capacity, and its financial  independence from the transit systems it oversees. DOT would provide  federal assistance to approved state safety programs. These changes  would bring its authority more in line with that of other modal  administrations within DOT. The new program DOT is planning to propose has the potential to address  some challenges and issues we cited in our 2006 report. Requiring that participating states not receive funds from transit  agencies would make the state agencies more independent of the transit  agencies they oversee. Providing FTA and participating states with the  authority to enforce minimum federal safety standards across the nation’s  transit systems could help ensure compliance with the standards and  improved safety practices, and might prevent some accidents as a result. While the new program, as envisioned by DOT, may have some potential  benefits, our work on the SSO program, other transit programs, and  regulatory programs suggests there are a number of issues Congress may  need to consider in deciding whether or how to act on DOT’s proposal. These  include finding the appropriate level of FTA oversight of state programs  and allocating costs between the federal government and the states. Enforcement.
Why GAO Did This Study

Rail transit generally has been one of the safest forms of public transportation. However, several recent notable accidents are cause for concern. For example, a July 2009 crash on the Washington Metro Red Line resulted in nine deaths. The federal government does not directly regulate the safety of rail transit. Through its State Safety Oversight program, the Federal Transit Administration (FTA) requires states to designate an oversight agency to directly oversee the safety of rail transit systems. In 2006, GAO issued a report that made recommendations to improve the program. The Department of Transportation (DOT) is planning to propose legislation that, if passed, would result in a greater role for FTA in regulating and overseeing the safety of these systems. This statement (1) summarizes the findings of GAO's 2006 report and (2) provides GAO's preliminary observations on key elements DOT has told us it will include in its legislative proposal for revamping rail transit safety oversight. It is based primarily on GAO's 2006 report, an analysis of key elements of DOT's planned proposal through review of documents and interviews with DOT officials, and GAO's previous work on regulatory programs that oversee safety within other modes of transportation. GAO's 2006 report was based on a survey of the 27 state oversight agencies and transit agencies covered by FTA's program. GAO provided a draft of this testimony to DOT officials and incorporated their comments as appropriate.

What GAO Found

GAO's 2006 report found that officials from the majority of the state oversight and transit agencies stated that the State Safety Oversight program enhances rail transit safety but that FTA faced several challenges in administering the program. For example, state oversight agencies received little or no funding from FTA and had limited funding for staff. In fact, some required that the transit agencies they oversaw reimburse them for services. Also, expertise, staffing levels, and enforcement powers varied widely from agency to agency. This resulted in a lack of uniformity in how oversight agencies carried out their duties. As of 2006, 13 oversight agencies were devoting the equivalent of less than one full-time employee to oversight functions. Also, 19 oversight agencies GAO contacted lacked certain enforcement authority, such as authority to issue fines, and those that did have such authority stated that they rarely, if ever, used it. DOT is planning to propose major changes in FTA's role that would shift the balance of federal and state responsibilities for oversight of rail transit safety. According to DOT officials, under this proposal, the agency would receive authority to establish and enforce minimum standards although states still could maintain an oversight program. States could become authorized to enforce these standards if FTA determines their program capable and financially independent of the transit system they oversee. FTA would provide financial assistance to approved programs. Such changes would have the potential to address challenges GAO cited in its 2006 report. For example, providing funding to participating state agencies could help them maintain an adequate number of trained staff, and providing FTA and participating states with enforcement authority could help better ensure that transit systems take corrective actions when problems are found. Congress may need to consider several issues in deciding whether or how to act on DOT's proposal. These include determining whatlevel of government has the best capacity to oversee transit safety, ensuring that FTA and state oversight agencies would have adequate and qualified staff to carry out the envisioned program, and understanding the potential budgetary implications of the program.