Rail Transit: Federal Transit Administration Can Strengthen Safety Oversight by Improving Guidance to States
Highlights
What GAO Found
The Department of Transportation's (DOT) Federal Railroad Administration (FRA) and Federal Transit Administration (FTA) carry out different approaches to rail safety oversight. FRA has a more centralized safety oversight program for railroads, while FTA's program for oversight of rail transit safety largely relies on state safety agencies to monitor and enforce rail transit safety, as established in federal statute. Key characteristics of both programs include: (1) safety regulations, (2) inspections and other oversight activities, and (3) enforcement mechanisms to ensure that safety deficiencies are addressed (see figure).
Key Characteristics of the Federal Railroad Administration's (FRA) and Federal Transit Administration's (FTA) Rail Safety Oversight Programs
There are strengths and limitations to FRA's and FTA's approaches to their safety oversight missions, including how the two agencies develop safety regulations, conduct inspections, and carry out enforcement. The National Transportation Safety Board has reported, and stakeholders GAO spoke with generally agreed, that strengths of FRA's rail safety oversight program include its safety regulations, its risk-based inspection program, and its enforcement authorities. FRA also has potential limitations in its oversight framework, though, such as difficulty evaluating the effectiveness of its enforcement mechanisms. FTA has made some progress implementing changes to the rail transit safety program. However, FTA has not provided all the necessary guidance and support to states' safety agencies to ensure they develop appropriate and effective rail transit safety inspection programs. In particular, FTA has not provided states with guidance on how to develop and implement risk-based inspection programs. Though FTA has said that it will develop such guidance, it does not have a plan or timeline to do so. Without guidance from FTA on how to develop and carry out risk-based inspections, state safety agencies may not allocate their limited resources efficiently, and important safety issues may go undetected. In addition, FTA has not developed a process or methodology to evaluate whether state safety agency enforcement authorities and practices are effective. Without clear evidence that state safety agencies' enforcement is effective, states and FTA may not be able to compel rail transit operators to remedy safety deficiencies. As a result, deficiencies may remain for long periods, potentially contributing to safety incidents.
Why GAO Did This Study
In 2012 and 2015, DOT was provided with additional authority to oversee the safety of rail transit. Within DOT, FTA is now implementing this authority. The DOT's Office of Inspector General has reported, though, that FTA faces challenges in carrying out its enhanced safety oversight. FRA, also in DOT, has long carried out safety oversight of freight, intercity passenger, and commuter railroads.
GAO was asked to review various rail safety and oversight issues, including the differences between FRA's and FTA's rail safety oversight programs. This report examines (1) key characteristics of FRA's and FTA's rail safety oversight programs and (2) strengths and limitations of FRA's and FTA's rail safety oversight programs. GAO assessed FRA's and FTA's information about rail safety oversight activities against guidance from the Office of Management and Budget, leading practices developed by the transit industry, and federal standards for internal control. GAO also interviewed stakeholders, including rail operators chosen based on mode, size, and location.
Recommendations
GAO recommends that FTA (1) create a plan, with timeline, for developing risk-based inspection guidance for state safety agencies, and (2) develop and communicate a method for how FTA will monitor whether state safety agencies' enforcement practices are effective. DOT agreed with our recommendations. DOT, NTSB, and WMATA provided technical comments that we incorporated as appropriate.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Federal Transit Administration |
Priority Rec.
The Office of Transit Safety and Oversight should create a plan, with a timeline, for developing guidance for state safety agencies about how to develop and implement a risk-based inspection program. (Recommendation 1) |
In 2012, the Moving Ahead for Progress in the 21st Century Act (MAP-21) provided the United States Department of Transportation (DOT) with additional authority and responsibilities to oversee the safety of the nation's rail public transportation systems. Within DOT, the Federal Transit Administration (FTA) is now implementing this authority. In 2018, GAO reported that, though FTA now has more robust inspection authorities, states will continue to conduct front-line rail transit safety oversight activities. To strengthen states' abilities to conduct oversight activities, FTA has recommended that state safety agencies develop risk-based inspection programs. In the materials FTA provided to states, it said that it intends to provide guidance to states on risk-based inspections but did not provide GAO with a plan or timeline for doing so. Without guidance from FTA, GAO found, state safety agencies may not develop effective risk-based inspection programs and thus not use their resources efficiently. As a result, GAO recommended that FTA's Office of Transit Safety and Oversight create a plan, with a timeline, for developing guidance for state safety agencies about how to develop and implement a risk-based inspection program. In 2019, GAO confirmed that FTA had created a plan, with a timeline, for developing risk-based inspection guidance for states. Further, GAO confirmed that FTA has developed draft guidance, evidence that the agency is carrying out its plan. By taking these steps, FTA will help ensure that states are able to effectively identify and resolve rail transit safety issues.
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| Federal Transit Administration |
Priority Rec.
The Office of Transit Safety and Oversight should develop and communicate a method for how it will monitor the effectiveness of the enforcement authorities and practices of state safety agencies. (Recommendation 2) |
Until recent years, safety oversight of public transportation systems has been largely the responsibility of state entities. However, the Moving Ahead for Progress in the 21st Century Act and the Fixing America's Surface Transportation Act enhanced federal safety oversight by providing the Federal Transit Administration (FTA) more authorities and responsibilities. As we reported in 2018, FTA's expanded role in rail transit safety oversight sought to, among other things, improve historically weak state safety agency enforcement authorities. FTA required state safety oversight agencies (SSOA) to adopt enforcement authorities that were sufficient to enable states to compel action from rail transit agencies to address identified deficiencies. However, we found that FTA had not developed a method to evaluate the effectiveness of states' enforcement practices. SSOAs will be evaluated for continued compliance with FTA regulations every three years, and this triennial review process (for rail safety) seeks to ensure that states are effectively carrying out their responsibilities. While FTA officials told us that they will evaluate SSOAs' enforcement during the triennial reviews, FTA had not developed a process or methodology to evaluate whether state enforcement authorities and practices as a whole are effective. Accordingly, we recommended that FTA's Office of Transit Safety and Oversight (TSO) develop and communicate a method for how it will monitor the effectiveness of the enforcement authorities and practices of SSOAs. In 2021, we confirmed that TSO incorporated a question about enforcement effectiveness into its state safety oversight Auditor's Guide, which is the question matrix for all triennial reviews. Additionally, TSO communicated with the SSOA program managers regarding this additional question. FTA also provided us with examples of recent triennial reviews, which illustrated how FTA examined the enforcement authorities possessed and used by SSOAs and whether the use of those authorities were effective. This expansion of the triennial audit assessment will better position FTA to identify any ineffective state safety enforcement and thereby remedy safety deficiencies.
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