Rail transit operations that do not  receive FTA formula funds are not subject to oversight through FTA’s  program. Many Agencies Are Involved in the State Safety Oversight Program

FTA designed the State Safety Oversight program as one in which FTA,  other federal agencies such as DHS, states, and rail transit agencies  collaborate to ensure the safety and security of rail transit systems. As the program administrator, FTA is responsible for developing the rules  and guidance that state oversight agencies are to use to perform their  oversight of rail transit agencies. For  example, the program standard must include, at a minimum, areas  dealing with the oversight agency’s responsibilities, how the program  standard will be modified, how the oversight agency will oversee the  transit agency’s internal safety and security reviews, how the oversight  agency will conduct the triennial audits, and requirements for the rail  transit agency to report accidents. Also, TSA has hired  100 rail security inspectors, as authorized by Congress. Transit and Oversight Agencies Perceive the Program as Worthwhile; However, FTA Does Not Have Goals or Performance Measures to Document the Impact of the State Safety Oversight Program on Safety and Security

The majority of officials from transit and oversight agencies with whom we  spoke agreed that the State Safety Oversight program improves safety and  security in their organizations. In addition to transit agency officials, officials from 23 of the 24 state safety  oversight agencies with whom we spoke believed that the State Safety  Oversight program is valuable or very valuable for improving transit  systems’ safety and security. In addition, it has not issued a  report since 2003. However, FTA largely discontinued the audit program after the  September 11, 2001, terrorist attacks and acknowledged that the agency’s  priorities shifted in the wake of the attacks. FTA Faces Challenges in Managing and Implementing the State Safety Oversight Program

Despite the program’s popularity with participants, FTA faces challenges in  implementing the program’s revised rule and continuing to manage the  program. Officials at several  transit agencies were also confused about what standards they would be  required to meet. Recommendations

In order to assure that FTA devotes an appropriate level of staff resources  to the State Safety Oversight program, obtains sufficient information to  evaluate the performance of the program, and supports state oversight  agencies in adequately training their staff to perform their oversight duties,  we recommend that the Secretary of Transportation take the following two  actions:  Direct the Administrator of FTA to take advantage of the opportunity  presented by having new program leadership to set short- and long-term  goals for the program, along with measures to ensure that the program  is making progress toward meeting those goals; develop performance  goals for the agency’s other approaches for evaluating the impact of this  program on safety and security; and develop a plan for maintaining FTA’s  stated schedule of auditing oversight agencies at least once every 3  years. Furthermore, to reduce confusion among transit and oversight agencies  about the role of TSA in transit security oversight and reduce the potential  duplication of effort that would inconvenience transit agencies, we  recommend that the Secretary of Homeland Security direct the Assistant  Secretary of TSA to:   coordinate with the Administrator of FTA to clearly articulate to state  oversight agencies and transit agencies the roles and responsibilities  TSA develops for its rail inspectors; and  work with state oversight agencies to coordinate their security audits  whenever possible and include FTA in this communication to help  ensure effective coordination with these agencies. To determine how the program functions in regions where transit systems  cross state boundaries, we visited three systems that crossed state  boundaries.
Why GAO Did This Study

The U.S. rail transit system is a vital component of the nation's transportation infrastructure. Safety and security oversight of rail transit is the responsibility of state-designated oversight agencies following Federal Transit Administration (FTA) requirements. In this report, GAO addressed: (1) how the State Safety Oversight program is designed; (2) what is known about the program's impact; and (3) challenges facing the program. We also provide information about oversight of transit systems that cross state boundaries. To do our work we surveyed state oversight agencies and transit agencies covered by FTA's program.

What GAO Found

FTA designed the State Safety Oversight program as one in which FTA, other federal agencies, states, and rail transit agencies collaborate to ensure the safety and security of rail transit systems. FTA requires states to designate an agency to oversee the safety and security of rail transit agencies that receive federal funding. Oversight agencies are responsible for developing a program standard that transit agencies must meet and reviewing the performance of the transit agencies against that standard. While oversight agencies are to include security reviews as part of their responsibilities, TSA also has security oversight authority over transit agencies. Officials from 23 of the 24 oversight agencies and 35 of the 37 transit agencies with whom we spoke found the program worthwhile. Several transit agencies cited improvements through the oversight program, such as reductions in derailments, fires, and collisions. While there is ample anecdotal evidence suggesting the benefits of the program, FTA has not definitively shown the program's benefits and has not developed performance goals for the program, to be able to track performance as required by Congress. Also, because FTA was reevaluating the program after the September 11, 2001, terrorist attacks, FTA did not keep to its stated 3-year schedule for auditing state oversight agencies, resulting in a lack of information to track the program's trends. FTA officials recognize it will be difficult to develop performance measures and goals to help determine the program's impact, especially since fatalities and incidents involving rail transit are already low. However, FTA has assigned this task to a contractor and has stated that the program's new leadership will make auditing oversight agencies a top priority. FTA faces some challenges in managing and implementing the program. First, expertise varies across oversight agencies. Specifically, officials from 16 of 24 oversight agencies raised concerns about not having enough qualified staff. Officials from transit and oversight agencies with whom we spoke stated that oversight and technical training would help address this variation. Second, transit and oversight agencies are confused about what role oversight agencies are to play in overseeing rail security, since TSA has hired rail inspectors to perform a potentially similar function, which could result in duplication of effort.