DOT 49 CFR PART 659-2010 RAIL FIXED GUIDEWAY SYSTEMS STATE SAFETY OVERSIGHT.pdf

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1、483 Federal Transit Admin., DOT Pt. 659 related to the accident under investiga-tion. (f) Records shall be made available to a subsequent employer upon receipt of a written request from the covered em-ployee. Subsequent disclosure by the employer is permitted only as ex-pressly authorized by the ter

2、ms of the covered employees request. (g) An employer may disclose infor-mation required to be maintained under this part pertaining to a covered employee to the employee or the deci-sionmaker in a lawsuit, grievance, or other proceeding initiated by or on be-half of the individual, and arising from

3、the results of a drug or alcohol test under this part (including, but not lim-ited to, a workers compensation, un-employment compensation, or other proceeding relating to a benefit sought by the covered employee.) (h) An employer shall release infor-mation regarding a covered employees record as dir

4、ected by the specific, writ-ten consent of the employee author-izing release of the information to an identified person. (i) An employer may disclose drug and alcohol testing information re-quired to be maintained under this part, pertaining to a covered employee, to the State oversight agency or gr

5、ant-ee required to certify to FTA compli-ance with the drug and alcohol testing procedures of 49 CFR parts 40 and 655. 655.74655.80 Reserved Subpart ICertifying Compliance 655.81 Grantee oversight responsi-bility. A grantee shall ensure that the re-cipients of funds under 49 U.S.C. 5307, 5309, 5311

6、or 23 U.S.C. 103(e)(4) comply with this part. 655.82 Compliance as a condition of financial assistance. (a) General. A recipient may not be eligible for Federal financial assistance under 49 U.S.C. 5307, 5309, or 5311 or under 23 U.S.C. 103(e)(4), if a recipient fails to establish and implement an a

7、nti-drug and alcohol misuse program as required by this part. Failure to cer-tify compliance with these require-ments, as specified in 655.83, may re-sult in the suspension of a grantees eligibility for Federal funding. (b) Criminal violation. A recipient is subject to criminal sanctions and fines f

8、or false statements or misrepresenta-tions under 18 U.S.C. 1001. (c) States role. Each State shall cer-tify compliance on behalf of its 49 U.S.C. 5307, 5309, 5311 or 23 U.S.C. 103(e)(4) subrecipients, as applicable. In so certifying, the State shall ensure that each subrecipient is complying with th

9、e requirements of this part. A section 5307, 5309, 5311 or 103(e)(4) sub-recipient, through the administering State, is subject to suspension of fund-ing from the State if such subrecipient is not in compliance with this part. 655.83 Requirement to certify compli-ance. (a) A recipient of FTA financi

10、al as-sistance shall annually certify compli-ance, as set forth in 655.82, to the ap-plicable FTA Regional Office. (b) A certification must be author-ized by the organizations governing board or other authorizing official, and must be signed by a party specifically authorized to do so. (c) A recipie

11、nt will be ineligible for further FTA financial assistance if the recipient fails to establish and imple-ment an anti-drug and alcohol misuse program in accordance with this part. (d) FTA may determine that a recipi-ent, who fails to comply with the USCG chemical and alcohol testing re-quirements, s

12、hall be in noncompliance with the alcohol misuse and controlled substances testing requirements of this part. A finding of noncompliance by FTA may lead to the suspension of eli-gibility for Federal public transpor-tation funding. 66 FR 42002, Aug. 9, 2001, as amended at 71 FR 69198, Nov. 30, 2006 P

13、ART 659RAIL FIXED GUIDEWAY SYSTEMS; STATE SAFETY OVERSIGHT Subpart AGeneral Provisions Sec. 659.1 Purpose. 659.3 Scope. 659.5 Definitions. VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00493 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot f

14、or ResaleNo reproduction or networking permitted without license from IHS-,-,-484 49 CFR Ch. VI (10110 Edition) 659.1 Subpart BRole of the State 659.7 Withholding of funds for noncompli-ance. 659.9 Designation of oversight agency. 659.11 Confidentiality of investigation re-ports and security plans.

15、Subpart CRole of the State Oversight Agency 659.13 Overview. 659.15 System safety program standard. 659.17 System safety program plan: general requirements. 659.19 System safety program plan: con-tents. 659.21 System security plan: general re-quirements. 659.23 System security plan: contents. 659.25

16、 Annual review of system safety pro-gram plan and system security plan. 659.27 Internal safety and security reviews. 659.29 Oversight agency safety and security reviews. 659.31 Hazard management process. 659.33 Accident notification. 659.35 Investigations. 659.37 Corrective action plans. 659.39 Over

17、sight agency reporting to the Federal Transit Administration. 659.41 Conflict of interest. 659.43 Certification of compliance. AUTHORITY: 49 U.S.C. 5330. SOURCE: 70 FR 22578, Apr. 29, 2005, unless otherwise noted. Subpart AGeneral Provisions 659.1 Purpose. This part implements 49 U.S.C. 5330 by requ

18、iring a state to oversee the safety and security of rail fixed guide-way systems through a designated oversight agency. 659.3 Scope. This part applies only to states with rail fixed guideway systems, as defined in this part. 659.5 Definitions. Contractor means an entity that per-forms tasks required

19、 on behalf of the oversight or rail transit agency. The rail transit agency may not be a con-tractor for the oversight agency. Corrective action plan means a plan developed by the rail transit agency that describes the actions the rail tran-sit agency will take to minimize, con-trol, correct, or eli

20、minate hazards, and the schedule for implementing those actions. FRA means the Federal Railroad Ad-ministration, an agency within the U.S. Department of Transportation. FTA means the Federal Transit Ad-ministration, an agency within the U.S. Department of Transportation. Hazard means any real or pot

21、ential condition (as defined in the rail transit agencys hazard management process) that can cause injury, illness, or death; damage to or loss of a system, equip-ment or property; or damage to the en-vironment. Individual means a passenger; em-ployee; contractor; other rail transit facility worker;

22、 pedestrian; trespasser; or any person on rail transit-controlled property. Investigation means the process used to determine the causal and contrib-uting factors of an accident or hazard, so that actions can be identified to pre-vent recurrence. New Starts Project means any rail fixed guideway syst

23、em funded under FTAs 49 U.S.C. 5309 discretionary con-struction program. Oversight Agency means the entity, other than the rail transit agency, des-ignated by the state or several states to implement this part. Passenger means a person who is on board, boarding, or alighting from a rail transit vehi

24、cle for the purpose of travel. Passenger Operations means the pe-riod of time when any aspect of rail transit agency operations are initiated with the intent to carry passengers. Program Standard means a written document developed and adopted by the oversight agency, that describes the policies, obj

25、ectives, responsibil-ities, and procedures used to provide rail transit agency safety and security oversight. Rail Fixed Guideway System means any light, heavy, or rapid rail system, monorail, inclined plane, funicular, trolley, or automated guideway that: (1) Is not regulated by the Federal Railroa

26、d Administration; and (2) Is included in FTAs calculation of fixed guideway route miles or receives funding under FTAs formula program for urbanized areas (49 U.S.C. 5336); or VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00494 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DX

27、X6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-485 Federal Transit Admin., DOT 659.9 (3) Has submitted documentation to FTA indicating its intent to be in-cluded in FTAs calculation of fixed guideway route miles to receive fund-ing

28、under FTAs formula program for urbanized areas (49 U.S.C. 5336). Rail Transit Agency means an entity that operates a rail fixed guideway sys-tem. Rail Transit-Controlled Property means property that is used by the rail transit agency and may be owned, leased, or maintained by the rail transit agency

29、. Rail Transit Vehicle means the rail transit agencys rolling stock, includ-ing but not limited to passenger and maintenance vehicles. Safety means freedom from harm re-sulting from unintentional acts or cir-cumstances. Security means freedom from harm resulting from intentional acts or cir-cumstanc

30、es. State means a State of the United States, the District of Columbia, Puer-to Rico, the Northern Mariana Islands, Guam, American Samoa, and the Vir-gin Islands. System Safety Program Plan means a document developed and adopted by the rail transit agency, describing its safety policies, objectives,

31、 responsibil-ities, and procedures. System Security Plan means a docu-ment developed and adopted by the rail transit agency describing its security policies, objectives, responsibilities, and procedures. Subpart BRole of the State 659.7 Withholding of funds for non-compliance. (a) The Administrator

32、of the FTA may withhold up to five percent of the amount required to be distributed to any state or affected urbanized area in such state under FTAs formula pro-gram for urbanized areas, if: (1) The state in the previous fiscal year has not met the requirements of this part; and (2) The Administrato

33、r determines that the state is not making adequate efforts to comply with this part. (b) The Administrator may agree to restore withheld formula funds, if com-pliance is achieved within two years (See 49 U.S.C. 5330). 659.9 Designation of oversight agen-cy. (a) General requirement. Each state with a

34、n existing or anticipated rail fixed guideway system regulated by this part shall designate an oversight agency consistent with the provisions of this section. For a rail fixed guide-way system that will operate in only one state, the state must designate an agency of the state, other than the rail

35、transit agency, as the oversight agency to implement the requirements in this part. The states designation or re-des-ignation of its oversight agency and submission of required information as specified in this section, are subject to review by FTA. (b) Exception. States which have des-ignated oversi

36、ght agencies for purposes of this part before May 31, 2005 are not required to re-designate to FTA. (c) Timing. The state designation of the oversight agency shall: (1) Coincide with the execution of any grant agreement for a New Starts project between FTA and a rail transit agency within the states

37、 jurisdiction; or (2) Occur before the application by a rail transit agency for funding under FTAs formula program for urbanized areas (49 U.S.C. 5336). (d) Notification to FTA. Within (60) days of designation of the oversight agency, the state must submit to FTA the following: (1) The name of the o

38、versight agency designated to implement requirements in this part; (2) Documentation of the oversight agencys authority to provide state oversight; (3) Contact information for the rep-resentative identified by the des-ignated oversight agency with respon-sibility for oversight activities; (4) A desc

39、ription of the organiza-tional and financial relationship be-tween the designated oversight agency and the rail transit agency; and (5) A schedule for the designated agencys development of its State Safe-ty Oversight Program, including the projected date of its initial submission, as required in 659

40、.39(a). VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00495 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-486 49 CFR Ch. VI (10110 Edition) 659.11 (e) Multiple

41、 states. In cases of a rail fixed guideway system that will oper-ate in more than one state, each af-fected state must designate an agency of the state, other than the rail transit agency, as the oversight agency to im-plement the requirements in this part. To fulfill this requirement, the affected

42、states: (1) May agree to designate one agen-cy of one state, or an agency represent-ative of all states, to implement the re-quirements in this part; and (2) In the event multiple states share oversight responsibility for a rail fixed guideway system, the states must en-sure that the rail fixed guid

43、eway sys-tem is subject to a single program standard, adopted by all affected states. (f) Change of designation. Should a state change its designated oversight agency, it shall submit the information required under paragraph (d) of this section to FTA within (30) days of its change. In addition, the

44、 new oversight agency must submit a new initial sub-mission, consistent with 659.39(b), within (30) days of its designation. 659.11 Confidentiality of investiga-tion reports and security plans. (a) A state may withhold an inves-tigation report that may have been prepared or adopted by the oversight

45、agency from being admitted as evi-dence or used in a civil action for dam-ages resulting from a matter men-tioned in the report. (b) This part does not require public availability of the rail transit agencys security plan and any referenced proce-dures. Subpart CRole of the State Oversight Agency 65

46、9.13 Overview. The state oversight agency is respon-sible for establishing standards for rail safety and security practices and pro-cedures to be used by rail transit agen-cies within its purview. In addition, the state oversight agency must oversee the execution of these practices and procedures, t

47、o ensure compliance with the provisions of this part. This sub-part identifies and describes the var-ious requirements for the state over-sight agency. 659.15 System safety program stand-ard. (a) General requirement. Each state oversight agency shall develop and dis-tribute a program standard. The p

48、ro-gram standard is a compilation of proc-esses and procedures that governs the conduct of the oversight program at the state oversight agency level, and provides guidance to the regulated rail transit properties concerning processes and procedures they must have in place to be in compliance with th

49、e state safe-ty oversight program. The program standard and any referenced program procedures must be submitted to FTA as part of the initial submission. Sub-sequent revisions and updates must be submitted to FTA as part of the over-sight agencys annual submission. (b) Contents. Each oversight agency shall develop a written program stand-ard that meets the requirements speci-fied in this part and includes, at a min-imum, the areas