Rail Fixed Guideway Public Transportation System State Safety Oversight Formula Grant Program

To improve public transportation safety by assisting States with the financing of safety oversight of rail fixed guideway public transportation systems in the jurisdiction of the state not regulated by the Federal Railroad Administration.

A final rule was published on March 16, 2016 that will
enhance the State Safety Oversight Program.

This final rule will replace the current State Safety Oversight (SSO) rule, which will be rescinded no later than three years following the effective date of this rule.
Examples of Funded Projects

Fiscal Year 2016: The funding provided for the State Safety Oversight Program (SSO) is not for actual projects.

The federal funds provided through the SSO Formula Grant Program allows for eligible states to develop or carry out their SSO programs.

The SSO attended the Annual SSO workshop and they conducted SSO triennial audits of their Rail Transit Agencies (RTA) they oversee.

Some SSO?s conducted Safety and Security Readiness Reviews (SSRR) of new projects and extensions at their RTAs.

Many completed TSI training and they continue to work towards Certification.

Fiscal Year 2017: The funding provided for the State Safety Oversight Program (SSO) is not for actual projects.

The federal funds provided through the SSO Formula Grant Program allows for eligible states to develop or carry out their SSO programs.

The SSO?s attended the annual SSO workshop to receive training and learn technical skills to enhance their ability to provide oversight of the rail transit agency within their jurisdiction.

In addition, the SSO conducted their triennial SSO audits and some States conducted Safety and Security Readiness Reviews.

All States continue to work towards getting their Certification by April 2019.

Fiscal Year 2018: No Current Data Available


Agency - Department of Transportation

The Department of Transportation's mission is to ensure fast, safe, efficient, accessible and convenient transportation that meets vital national interests and enhances the quality of life of the American people, today and into the future.

Office - See Regional Agency Offices.



Selected Recipients for this Program


RecipientAmount Start DateEnd Date
Transportation, Tennessee Department Of $ 622,102   2018-01-122025-03-30
California Public Utilities Commission $ 3,137,626   2019-07-082024-09-30
Transportation, Ohio Department Of $ 2,218,816   2017-07-272024-03-31
Transportation, Wisconsin Department Of $ 568,045   1999-10-012024-03-30
Transportation, Arizona Department Of $ 446,373   2019-07-252023-09-30
Transportation, Oklahoma Department Of $ 222,790   2019-07-152023-09-30
California Public Utilities Commission $ 3,072,489   2018-07-032023-09-30
Transportation And Development, Louisiana Department Of $ 293,157   2019-07-092023-06-30
Transportation, Wisconsin Department Of $ 569,330   2017-09-012023-03-31
Transportation, Michigan Department Of $ 1,194,108   2018-08-032023-03-31



Program Accomplishments

Fiscal Year 2016: On March 16, 2016 FTA published a Final Rule for the SSO program that significantly strengthens state safety oversight and enforcement authority to prevent and mitigate accidents and incidents on rail transit systems. It applies to States where a rail transit system operates, and carries out several explicit Federal statutory requirements, including that a State must submit its State Safety Oversight (SSO) program to FTA for certification and that the designated SSO Agency must have financial and legal independence from the rail transit agencies it oversees. In addition, the final rule requires that a State must ensure that the SSO Agency adopts and enforces relevant Federal and state safety laws, has investigatory authority, and has appropriate financial and human resources for the number, size and complexity of the rail transit systems within its jurisdiction. Furthermore, SSO Agency personnel responsible for performing safety oversight activities must have proper training and certification. Within three years of the effective date of this final rule, States with an operating rail transit system must have an SSO program certified by FTA. Fiscal Year 2017: Funding for this program will continue. The SSO final rule was published March 16, 2016 and the States have three years to comply with 49 CFR 674. The State Safety Oversight (SSO) Program is not a typical federal assistance project, but a program that requires routine monitoring of 30 States by the FTA to review, approve, and certify programmatic aspects, as well as provide technical assistance, as needed. Fiscal Year 2018: No Current Data Available

Uses and Use Restrictions

The funds may only be used to provide grants to States for State safety oversight program expenses that will bring the State Safety Oversight Agency into compliance with the MAP-21 requirements codified at 49 USC 53299e).

The Federal grants shall cover up to 80 percent of the allowable costs to develop or carry out such a program, and the local matching share may include in-kind contributions by an eligible State.

The non-Federal share may not be met by any Federal funds, any funds received from a public transportation agency or any revenues earned by a public transportation agency.

The use of the funds shall be subject to uniform administrative requirements for grants and cooperative agreements to State and local governments under part 1201 of title2, Code of Federal Regulations, as well as other requirements for funds provided under Chapter 53 of title 49, United States Code, except to the extent that the Secretary of Transportation determines that the requirements are inconsistent with the purpose of the grants.

The funds may only be used to provide grants to States for State safety oversight program expenses.

The Federal grants shall be for 80 percent of the reasonable cost to develop or carry out such a program, and the matching fund shall include in-kind contributions by an eligible State.

The match may not be met by any Federal funds, any funds received from a public transportation agency or any revenues earned by a public transportation agency.

The use of the funds shall be subject to uniform administrative requirements for grants and cooperative agreements to State and local governments under part 18 of title 49, Code of Federal Regulations, as well as other requirements for funds provided under Chapter 53 of title 49, United States Code, except to the extent that the Secretary of Transportation determines that the requirements are inconsistent with the purpose of the grants.

Eligibility Requirements

Applicant Eligibility

Eligible States are those with a rail fixed guideway public transportation system within the jurisdiction of the State that is not subject to regulation by the Federal Railroad Administration; or a rail fixed guideway public transportation system in the engineering or construction phase of development within the jurisdiction of the State that will not be subject to regulation by the Federal Railroad Administration.

Subrecipients must be public agencies that are eligible to become Federal Transit Administration recipients.

Beneficiary Eligibility

Eligible States are those with a rail fixed guideway public transportation system within the jurisdiction of the State that is not subject to regulation by the Federal Railroad Administration; or a rail fixed guideway public transportation system in the engineering or construction phase of development within the jurisdiction of the State that will not be subject to regulation by the Federal Railroad Administration. Subrecipients must be public agencies that are eligible to become Federal Transit Administration recipients.

Credentials/Documentation

.Recipients must complete certifications and assurances as compiled in FTA's Annual List of Certifications and Assurances. Eligible costs will be in accordance with OMB cost principles for State and local governments in part 225 of Title 2 of the Code of Federal Regulations. Federal Register Notice FTA Fiscal Year Apportionments, Allocations, and Program Information, published annually, contain the capital investment apportionments. . Grant requirements will also be published in the Federal Register along with the program?s Fiscal Year apportionment. Apportionment notices and other grant information is available on the FTA website: www.fta.dot.gov/. Subrecipients State Safety Oversight Agencies must be included in the State Safety Oversight Program submission. 2 CFR 200, Subpart E - Cost Principles applies to this program.

Aplication and Award Process

Preapplication Coordination

In order to ensure a new State to the program is considered eligible and included in the formula apportionment, new states to this formula program must contact their regional office sixty days in advance of FTA?s annual apportionment notice.

Environmental impact information is not required for this program.

This program is excluded from coverage under E.O.

12372.

Application Procedures

2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards applies to this program. Given the applicant and beneficiary eligibility, This program is subject to the provisions of 2 CFR part 1201, incorporating by reference 2 CFR 200,and FTA Circulars 4220 and 5010.

Award Procedures

An FTA grant award obligating Federal funds is reflected in a grant agreement. Grants are awarded electronically using FTA's Transportation Electronic Award Management (TEAM) system, http://ftateamweb.fta.dot.gov/fta-flash2b.html. In order to access this system, a user name and password are needed and can be obtained by contacting the regional offices. Once the funds are reserved in TEAM and the project information has been reviewed and approved by Headquarters, the recipient must execute the grant agreement to access the funds.

Deadlines

Not Applicable.

Authorization

Moving Ahead for Progress in the 21st Century (MAP-21). Fixing America?s Surface Transportation (FAST) Act in 2015. , 49 U.S.C 5330.

Range of Approval/Disapproval Time

Not Applicable.

Appeals

Not Applicable.

Renewals

Funding is made available annually through the appropriation process. A separate grant application is executed for each fiscal year as funds are appropriated by Congress.

Assistance Considerations

Formula and Matching Requirements

Statutory Formula: Title USC 49, Part 5329(e)(6), Subpart 5330. CFR Part 659 - The rules at 49 CFR part 659 will be replaced by 49 CFR part 674 three years following the effective date of the final rule (April 15, 2019). CFR Part 674. Matching Requirements: Percent: 20%. 80% Federal / 20% State. Matching fund shall include in-kind contributions by an eligible State. The non-Federal share may not be met by any Federal funds, any funds received from a public transportation agency or any revenues earned by a public transportation agency. This program does not have MOE requirements.

Length and Time Phasing of Assistance

Funds are available until spent. See the following for information on how assistance is awarded/released: Applicant is required to submit grant applications in FTA?s grant management system, Transportation Electronic Award Management System (TEAM). Awards are made within the grant management system.

Post Assistance Requirements

Reports

The Annual State Safety Oversight program reports are due annually per 49 CFR 674.39.

The State Safety Oversight Agency will submit evidence once a year that each of its employees and contractors is in compliance with the applicable Safety Training Certification requirements.

The State Safety Oversight Agency will submit a summary of the 3 year audits completed the previous year and the Rail Transit Agency?s progress in carrying out any corrective action plans arising from those audits.

The State Safety Oversight Agency will review and approve any changes to the Public Transportation Agency Safety Plans during the preceding year.

No cash reports are required.

Quarterly Milestone status reports are required.

Quarterly Federal Financial Reports (FFR) are required.

FTA staff must review and sign off on all quarterly FFRs.

Audits

In accordance with the provisions of 2 CFR 200, Subpart F - Audit Requirements, non-Federal entities that expend financial assistance of $750,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Non-Federal entities that expend less than $750,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in 2 CFR 200.503.

Records

The grantee must record and maintain all financial transactions for a period of 3 years after the close of a grant. The grantee must maintain an asset inventory for the useful life of capital acquisitions.

Financial Information

Account Identification

69-1128-0-1-401.

Obigations

(Project Grants (Contracts)) FY 16 $1,000,000; FY 17 Estimate Not Available; and FY 18 Estimate Not Available

Range and Average of Financial Assistance

No Data Available.

Regulations, Guidelines, and Literature

FTA Circular 5010.1D for Grants Management FTA Circular 4220.1F for Third-Party Procurements

Information Contacts

Regional or Local Office

See Regional Agency Offices.

Headquarters Office

Maria Wright 1200 New Jersey Avenue, SE, Washington, District of Columbia 20590 Email: maria.wright@dot.gov Phone: (202) 366-6922

Criteria for Selecting Proposals

Proposed grant activities must be used to develop or carry out State Safety Oversight programs that comply with the statutory requirements and advance a Safety Management Systems approach.



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