1. A. The SSOA must investigate or require an investigation of any safety event that requires notification under 49 CFR 674.33. The SSOA is ultimately responsible for the sufficiency and thoroughness of all investigation reports, whether conducted by the SSOA, the RTA, or a third party. Investigations can be conducted by the SSOA, be delegated to the RTA by the SSOA, or conducted jointly by the SSOA and RTA.

   1. 1. RTA Investigations. In most cases, the SSOA requires the RTA to investigate its own safety event. The SSOA will conduct an independent review of the RTA’s findings of causation. When conducting a safety event investigation on behalf of the SSOA, investigations are performed in accordance with safety event investigation procedures developed by the RTA and approved by the SSOA. The RTA will develop safety event investigation procedures that meet or exceed all rules, guidance or industry standards associated with investigation procedures, including this SSOPS. Safety event investigation procedures will be reviewed annually by the RTA. They will be compared to industry standards and updated as appropriate and necessary. During safety event investigations conducted by the RTA, the SSOA will provide any technical assistance or guidance requested by the RTA in support of the safety event investigation.

   2. 2. SSOA Investigations. If the SSOA determines that it will conduct its own investigation, the SSOA will:

      1. a. inform the RTA of its decision to conduct or participate in an investigation,
      2. b. use investigation personnel other than those employed or utilized by the RTA, and
      3. c. use the RTA’s approved investigation procedures.
   3. 3. SSOA investigation personnel will have the proper investigation training and expertise as outlined in the public transportation certification training program. The RTA will be provided with a list of SSOA investigation team members. The SSOA investigation team will arrive at the RTA as soon as practicable. The SSOA investigation team will wait until the RTA and/or other emergency response personnel have secured the scene before commencing its investigation. The SSOA reserves the right to request that the RTA preserve the scene to the maximum extent feasible until arrival and start of the investigation. All SSOA investigation personnel will be granted authority to access records, materials, data, analysis, and other information, which is pertinent to the investigation. The RTA is expected to provide the SSOA investigation team with the resources and information necessary to conduct the investigation in an effective and efficient manner.

   4. 4. Joint Investigations. The SSOA may request joint participation in an investigation. In such cases, the RTA will cooperate, to the extent practicable, in preserving the scene until SSOA investigation team members arrive. The SSOA investigation team will observe or participate in field analysis, operational surveys, interviews, record checks, data analysis, and other on-site and off-site tasks that may be necessary for a comprehensive investigation. The SSOA investigation team will observe or participate in assessing physical evidence of the scene. They will document the environmental and physical factors of the scene through measurements, diagrams, and photographs. As part of the investigation, the SSOA investigation team will observe or participate in:

      1. a. assessing compliance with operating rules and procedures;
      2. b. conducting follow-up interviews (if required);
      3. c. analyzing employee records and the results of post- safety event drug and alcohol tests; and
      4. d. conducting vehicle and equipment inspections.
   5. 5. If the SSOA investigation team requires information or analysis which is not readily available, or which may require additional resources by the RTA, it will request this information or analysis in a written request to the RTA.
   6. 6. National Transportation Safety Board (NTSB) Investigations. In any instance in which a safety event on the RTA’s RFGPTS is the subject of an investigation by the NTSB, the SSOA will participate in the investigation. They will evaluate whether the findings or recommendations by the NTSB require CAP development by the RTA. If CAP development is needed, the SSOA will order the RTA to develop and carry out the CAP.

   7. 7. Reporting. All safety event investigations will result in a formal investigation report. Safety event reports will:

      1. a. describe the investigation activities;
      2. b. identify the factors that caused or contributed to the safety event; and
      3. c. set forth a CAP, as necessary or appropriate.
   8. 8. In most cases, the RTA will conduct investigations of its own safety event. They will be required to produce a final safety event investigation report within 30 days of the safety event. This time period will not be enforced if the RTA is delayed by circumstances (e.g. unresolved medical reports) or missing information (e.g. incomplete police reports). The RTA will provide a monthly safety event log update detailing the status of all investigations through closure and adoption by the SSOA. Upon submission of a final safety event investigation report by the RTA, the SSOA will conduct an independent review of the findings of causation. The SSOA will either provide acceptance and adoption of the report in a timely manner or ask for additional information or analysis. In cases where the SSOA does not believe that adequate investigation into the cause of a safety event has been performed, it may conduct its own investigation. In cases where the SSOA decides to conduct its own investigation, the SSOA will produce a safety event investigation report within 30 days of the safety event. This time period will not be enforced if the SSOA is delayed by circumstances (e.g. unresolved medical reports) or missing information (e.g. incomplete police reports). The final safety event report will be provided to the RTA for review and concurrence. If the RTA does not concur with the SSOA’s report, the RTA may submit a written dissent of the report. The SSOA may include the RTA’s written dissent in the final report. In cases where the SSOA and RTA conduct a joint safety event investigation, both agencies will collaborate on investigation, analysis, and determination of causal or contributing factors. Both agencies will also collaborate on developing the final safety event investigation report. Upon completion, the SSOA will adopt the final report. In special circumstances, the FTA may conduct an independent investigation of a safety event or review the findings of causation contained in a safety event report. The SSOA and RTA will cooperate, to the extent practicable, with the FTA’s investigation and provide support for findings and recommendations.
   9. 9. Corrective Actions. If a final investigation report contains findings and/or recommendations for addressing deficiencies or unsafe conditions identified during the investigation process, the RTA will be responsible for developing appropriate CAPs. The SSOA will review and approve or ask for revisions to CAPs as appropriate. If, after reviewing an investigation report not resulting in a CAP and the SSOA determines that a CAP was necessary or appropriate, the SSOA will communicate the need to develop the CAP to the RTA.

   10. 10. Records Confidentiality. The Louisiana Public Records Act, also known as Louisiana's Sunshine Law, was enacted by the State Legislature in 1940, and is currently provided for in R.S. 44:1, et seq. Under Louisiana’s Sunshine Law, the SSOA generally cannot legally protect the confidentiality of safety event investigation reports from discovery. The exceptions to this is when the report contains sensitive security information, or when otherwise exempted for in law, jurisprudence, and/or R.S. 44:1, et seq. Anyone can request public records; and no purpose is required. There are no restrictions on what can be done with the public documents once a records requester has them in hand. The custodian of the records must respond to requests within three business days.

       Exemptions: Pending criminal litigation; juvenile status offenders; sexual offense victims; security procedures; trade secrets; and some public employee information.

Authority Note

AUTHORITY NOTE: Promulgated in accordance with R.S. 48:214; 49 C.F.R. Part 674; 49 U.S.C. § 5329.

Historical Note

HISTORICAL NOTE: Promulgated by the Department of Transportation and Development, Office of Multimodal Commerce, LR 44:926 (May 2018), amended LR 52:364 (March 2026).