1. A. Introduction. In November 2021, the Bipartisan Infrastructure Law amended 49 U.S.C. § 5329 to require that SSOAs conduct risk-based inspections (RBI) of the RTAs that they oversee. In October 2022, FTA issued Special Directive 22-32, under authority of 49 U.S.C. § 5329(k) and 49 CFR Part 670. This Special Directive requires LADOTD, as the Louisiana SSOA, to develop and implement a risk-based inspection program. According to the Special Directive, a risk-based inspection program uses qualitative and quantitative data analysis to perform ongoing inspection activities. Risk-based inspection programs are designed to prioritize inspections to address safety concerns and hazards associated with the highest levels of safety risk. As described in 49 U.S.C. § 5329(k), the SSOA must develop policies and procedures for inspection access and data collection in consultation with each RTA that it oversees. LADOTD’s RBI Program is added to this SSOPS. It addresses the SSOA’s authority to do the following:

   1. 1. conduct inspections;
   2. 2. collect data from the RTA to support risk-based inspection monitoring and prioritization activities;
   3. 3. implement inspection activities in a way that is commensurate with the size and complexity of the RTA the SSOA oversees; and
   4. 4. train employees for RBI program implementation.
   5. 5. Additional details about how LADOTD implements its RBI program are in its accompanying State Safety Oversight Procedures Manual.
2. B. SSO Authority. R.S. 48:214 re-designated the LADOTD as the SSOA in 2014, providing it with the authority to establish and enforce minimum standards for the safety of all RTAs within its oversight. R.S. 48:214(B)(1) includes the SSOA’s authority to enter onto and inspect the property of fixed guideway rail transit operators without prior notice. R.S. 48:214(B)(7) provides the SSOA the authority to implement rules and regulations as necessary to fulfill its obligations under federal law. In 2018, the Legislature added the SSOPS into this chapter of Louisiana Administrative Code. This provides the SSOA the authority to develop rules and procedures needed to enforce minimum safety standards of operation by the agency. In 2024, this Section was added to the SSOPS and LAC 70:IX. Chapter 15 to include the authorities necessary to implement an effective RBI program, per 49 U.S.C. § 5329(k)(1)(A) and § 5329(k)(1)(B). These additions include the authority to collect and analyze data regarding safety program implementation at RTAs. They also include the authority to access each RTA property, with and without advanced notice, for the purposes of conducting inspections into RTA activities regarding the implementation of their safety programs. The authority to access RTA property includes access to infrastructure, equipment, records, personnel, and data. These authorities extend to contractors acting on behalf of the SSOA, who are required to have the capability to physically access the RTA the SSOA oversees as well as have the training necessary to safely access facilities.
3. C. Risk-Based Inspection Policies and Procedures. Per 49 U.S.C. § 5329(k)(1)(B) and § 5329(k)(3), the SSOA will access RTA facilities for risk-based inspections, both with and without advanced notice. Policies and procedures for these inspections were developed in close consultation between LADOTD and the RTA it oversees. The LADOTD SSOA will conduct inspections at the RTA a minimum of four times per year. The LADOTD SSOA has the authority to conduct as many inspections as are needed depending on observed system risk. The LADOTD SSOA defines unannounced inspections as those in which the SSOA notifies the RTA when inspectors arrive onsite for inspection. Whether an announced or unannounced inspection, LADOTD SSO staff and contractors will not enter publicly inaccessible areas without an agency escort. The RTA must provide an agency escort when requested. The SSOA must ensure all personnel leading inspections have been trained and certified according to 49 CFR Part 672, PTSCTP, TSSP, and RTA specifications to safely access RTA properties and rights-of-way. The SSOA will conduct inspections on the various procedures used to maintain RTA equipment, infrastructure, and practices of each RTA. The areas and locations for inspection will be determined through the RBI prioritization process. As part of the RBI process, the LADOTD SSOA will monitor the physical aspects of RTA facilities and equipment. The LADOTD SSO will also monitor the conduct and performance of ongoing personnel involved in day-to-day operations. The RBI process will use the data and analysis to generate a prioritized list of operational aspects that should be monitored to ensure conformance with RTA procedures and processes. This will include monitoring operations centers, maintenance facilities, and training activities. Risk-based inspections do not replace other regularly scheduled inspections of infrastructure, equipment, records, personnel, and data.

4. D. Data Sources and Collection. Per 49 U.S.C. § 5329(k)(2)(A), § 5329(k)(2)(B), and § 5329(k)(4)(B), LADOTD SSO Program staff, including support contractors, will require all safety, inspection, and maintenance data elements be submitted from the RTA quarterly as part of the RBI process. , (Capital projects and financial data will be submitted annually.) The SSO has the authority to increase this frequency if it deems it necessary to evaluate system-wide safety risk. Data submitted is used by the SSO to substantiate conditions and conduct analyses of trends, remedies, and remediations. The SSO will then prioritize inspections accordingly. Category 3 of the RTA specific Procedures Manual contains details on the policies and secure processes used for data sharing and data management between the RTA and the SSOA. Data management policies in the Procedures Manual include agency specific details on data storage, organization, retention, maintenance, and accuracy. The Procedures Manual also identifies which records will be shared across safety, maintenance, and inspection data. It also details the components and formats for each data item.

   1. 1. For safety program data, records include but are not limited to records of events, hazards, safety risk mitigations, corrective action plans (CAPs), and near misses. Safety data must also include that which the RTA collects when identifying hazards and assessing and mitigating safety risk.
   2. 2. Maintenance data shared include but are not limited to maintenance records and report forms, work orders, records of failures and defects, records of revenue vehicles out of service, major maintenance activity schedules and progress, and adherence to maintenance schedules.
   3. 3. Inspection data include but are not limited to inspection records and report forms, records of failures and defects, records of speed restrictions, incident and safety risk mitigation verification, adherence to inspection schedules, capital project schedules and progress, and financial data. LADOTD SSOA requests for data may also include items not identified as part of the previous three categories but identified as critical to completion of the RBI process. These additional requests may include but are not limited to records on internal audits, National Transit Database (NTD) reporting elements, security data and more.
5. E. Inspection Prioritization. The SSOA will prioritize inspection activity through analysis of maintenance, safety, and past inspection data, as is required in 49 U.S.C. § 5329(k)(4)(B). The SSOA will use qualitative and quantitative data to evaluate potential safety risks related to the equipment, infrastructure, and practices specific to each RTA it oversees, identifying concerns to be prioritized for inspection. This ongoing analysis will inform inspection planning so that the highest risk conditions are addressed first. To evaluate relative risk of system equipment, infrastructure, and practices, the SSOA will use metrics in its safety analysis to determine priorities for inspection across each of the records described in Category 3 of the Procedures Manual. Category 4 of the Procedures Manual includes the comprehensive list of metrics used to evaluate risk across safety, maintenance, inspection, and other data sources requested by the SSOA. To prioritize relative safety risk, the SSOA will use its safety risk matrix based on the industry standard (MIL-STD-882E) that includes probability and severity ratings, with equipment, facilities, or procedures whose potential failures intersect at higher levels of probability and severity receiving higher overall risk ratings. The highest scoring equipment, infrastructure, and practices will be prioritized for inspection first. The SSOA will include clear documentation showing how safety concern ratings inform inspection prioritization. The SSOA’s data analysis and prioritization process is ongoing and will be updated to reflect changing safety conditions. This process is independent from the RTA’s own safety risk assessment practices for hazard mitigation. When system conditions change, the SSOA will analyze new data and develop new prioritization ratings. These new ratings will inform potential revisions to inspection priorities. Unless required by activities or changes in system safety, the SSOA will schedule and perform an updated safety analysis and inspection prioritization quarterly at a minimum. The Procedures Manual details how the SSOA follows with each RTA before, during, and after inspection prioritization.
6. F. RBI Program Commensurate with RTA Number, Size, and Complexity. As is authorized in 49 U.S.C. § 5329(k)(4)(A), the SSOA conducts risk-based inspections commensurate with the number, size, and complexity of RFGPTS in the state. Inspection policies and procedures are tailored to an RTA's risk profile based on its size and complexity, which are described in Category 5 of the Procedures Manual. Currently, the SSOA only oversees one agency’s RFGPTS (New Orleans Regional Transit Authority’s streetcar system), so policies and procedures are tailored for this RTA specifically. The size and complexity of an RFGPTS are measured by its mode, physical characteristics, and operational characteristics. Because these physical and operational characteristics can change over time, the SSOA will use data reported to and verified by NTD to determine system size and complexity for a given year. Physical characteristics may include but are not limited to system vehicles and facilities, and operational characteristics may include but are not limited to operating expenses, ridership, and revenue mileage. 49 U.S.C. § 5329(k)(4)(A) requires consistent and ongoing site inspections of a transit system associated with the highest levels of safety risk. At a minimum, the SSOA will conduct at least four onsite risk-based inspections per RFGPTS per year no matter the risk profile or distance between the SSOA and RFGPTS it oversees. If an agency's size or complexity changes in a way that affects its risk profile, the SSOA will update inspection policies to account for this change. Inspections must cover the full spectrum of activities at the RTA, including infrastructure, equipment, records, personnel, and data, including the data the RTA collects when identifying and evaluating safety risks. Inspections will be prioritized based on relevant data including safety program, maintenance, and inspection data collected by the SSOA.

7. G. SSO Staffing, Qualification, and Training. In accordance with 49 U.S.C. § 5329(k)(4)(C), the LADOTD SSO program will need sufficient personnel and skill sets to effectively implement and manage a risk-based inspection program. To ensure adequate staffing, training, and resources, three elements will be reviewed and updated annually:

   1. 1. the SSO Workload Assessment;
   2. 2. inspection personnel qualifications; and
   3. 3. a Technical Training Plan (TTP).
8. H. These three elements are detailed in Category 6 of the Procedures Manual. The SSO Workload Assessment determines the staffing levels needed based on the requirements of the SSO oversight program. The LADOTD SSOA will also develop a training matrix that corresponds to the various technical training elements of the SSO program and will identify personnel and training needs. The matrix will track each technical training requirement. It will be specific to the RTA based on its size, complexity, and the number of personnel that should be trained in each skill set. The TTP identifies both the general technical training requirements of the SSOA program and the specific skill sets and knowledge necessary to carry out the SSOA program at the RTA overseen by the program.

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 44:928 (May 2018), amended LR 48:2188 (August 2022), LR 52:366 (March 2026).