Proposed Rule2023-08777
Public Transportation Agency Safety Plans
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
April 26, 2023
Issuing agencies
Transportation DepartmentFederal Transit Administration
Abstract
The Federal Transit Administration (FTA) is proposing new requirements for Public Transportation Agency Safety Plans (PTASP) that include revised requirements for Agency Safety Plans (ASP), safety committees, cooperation with frontline transit worker representatives in the development of ASPs, safety risk reduction programs, safety performance targets, de-escalation training for certain transit workers, and addressing infectious diseases through the Safety Management System (SMS) process. FTA also proposes revisions to the regulation to coordinate and align with other FTA programs and safety rulemakings.
Full Text
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<title>Federal Register, Volume 88 Issue 80 (Wednesday, April 26, 2023)</title>
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[Federal Register Volume 88, Number 80 (Wednesday, April 26, 2023)]
[Proposed Rules]
[Pages 25336-25351]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-08777]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
49 CFR Part 673
[Docket No. FTA-2023-0007]
RIN 2132-AB44
Public Transportation Agency Safety Plans
AGENCY: Federal Transit Administration (FTA), Department of
Transportation (DOT).
ACTION: Notice of Proposed Rulemaking (NPRM).
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SUMMARY: The Federal Transit Administration (FTA) is proposing new
requirements for Public Transportation Agency Safety Plans (PTASP) that
include revised requirements for Agency Safety Plans (ASP), safety
committees, cooperation with frontline transit worker representatives
in the development of ASPs, safety risk reduction programs, safety
performance targets, de-escalation training for certain transit
workers, and addressing infectious diseases through the Safety
Management System (SMS) process. FTA also proposes revisions to the
regulation to coordinate and align with other FTA programs and safety
rulemakings.
DATES: Comments should be filed by June 26, 2023. FTA will consider
comments received after that date to the extent practicable.
ADDRESSES: You may send comments, identified by docket number FTA-2023-
0007, by any of the following methods:
<bullet> Federal eRulemaking Portal: <a href="https://www.regulations.gov">https://www.regulations.gov</a>.
Follow the instructions for sending comments.
<bullet> Fax: (202) 493-2251.
<bullet> Mail: Docket Management Facility, U.S. Department of
Transportation, 1200 New Jersey Avenue SE, West Building Ground Floor,
Room W12-140, Washington, DC 20590-0001.
<bullet> Hand Delivery/Courier: West Building Ground Floor, Room
W12-140, 1200 New Jersey Avenue SE, Washington, DC, between 9 a.m. and
5 p.m. ET, Monday through Friday, except Federal holidays.
Instructions: All submissions received must include the agency name
and docket number or Regulatory Information Number (RIN) for this
rulemaking. All comments received will be posted without change to
<a href="https://www.regulations.gov">https://www.regulations.gov</a>, including any personal information
provided. For detailed instructions on sending comments and additional
information on the rulemaking process, see the ``Public Participation''
heading of the SUPPLEMENTARY INFORMATION section of this document.
Docket: For internet access to the docket to read background
documents and comments received, go to <a href="https://www.regulations.gov">https://www.regulations.gov</a>.
Background documents and comments received may also be viewed at the
U.S. Department of Transportation, 1200 New Jersey Ave. SE, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, Washington,
DC 20590-0001, between 9 a.m. and 5 p.m. EST, Monday through Friday,
except Federal holidays.
FOR FURTHER INFORMATION CONTACT: For program matters, contact Stewart
Mader, Office of Transit Safety and Oversight, (202) 366-9677 or
<a href="/cdn-cgi/l/email-protection#4d3e39283a2c3f3963202c29283f0d292239632a223b"><span class="__cf_email__" data-cfemail="0b787f6e7c6a797f25666a6f6e794b6f647f256c647d">[email protected]</span></a>. For legal matters, contact Heather Ueyama,
Office of Chief Counsel, (202) 366-7374 or <a href="/cdn-cgi/l/email-protection#79111c180d111c0b570c1c00181418391d160d571e160f"><span class="__cf_email__" data-cfemail="a8c0cdc9dcc0cdda86ddcdd1c9c5c9e8ccc7dc86cfc7de">[email protected]</span></a>.
Office hours are from 8:30 a.m. to 5:00 p.m., Monday through
Friday, except Federal holidays.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Executive Summary
A. Purpose of Regulatory Action
B. Statutory Authority
C. Questions About Transit Worker Safety Reporting Programs
II. Section-by-Section Analysis
III. Regulatory Analyses and Notices
I. Executive Summary
A. Purpose of Regulatory Action
This Notice of Proposed Rulemaking (NPRM) proposes to amend the
Public Transportation Agency Safety Plans (PTASP) regulation at 49 CFR
part 673 with new requirements that would incorporate explicit
statutory changes in the Bipartisan Infrastructure Law, enacted as the
Infrastructure Investment and Jobs Act (Pub. L. 117-58; November 15,
2021). The Bipartisan Infrastructure Law amends FTA's safety program at
49 U.S.C. 5329(d) by adding to the PTASP requirements for public
transportation systems that receive Federal financial assistance under
49 U.S.C. chapter 53 (chapter 53).
In response to these statutory changes, this NPRM proposes several
revisions to the PTASP regulation, including requirements for the
development, update, and approval of Agency Safety Plans (ASP); the
establishment of a Safety Committee; cooperation with frontline transit
worker representatives in the development of ASPs; the establishment of
a safety risk reduction program for transit operations to improve
safety by reducing the number and rates of safety events, injuries, and
assaults on transit workers based on data submitted to the National
Transit Database (NTD); the establishment of safety performance targets
for risk reduction programs; the establishment of de-escalation
training for certain transit workers; and the incorporation of
guidelines from the CDC or a State health authority regarding exposure
to infectious diseases into the agency's SMS processes. FTA also
proposes revisions to 49 CFR part 673 based on coordination and
alignment with other FTA programs and forthcoming safety rulemakings.
Prior to publishing this NPRM, FTA engaged in stakeholder outreach
regarding the new Bipartisan Infrastructure Law PTASP requirements. In
accordance with the Department of Transportation's Guidance on
Communication with Parties outside of the Federal Executive Branch (Ex
Parte Communications),\1\ FTA has added a memorandum summarizing these
communications to the docket for this rulemaking. Where FTA has
incorporated stakeholder suggestions into its regulatory proposals, FTA
discusses such suggestions in the corresponding sections below.
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\1\ Available at: <a href="https://www.transportation.gov/regulations/memorandum-secretarial-officers-and-heads-operating-administrations">https://www.transportation.gov/regulations/memorandum-secretarial-officers-and-heads-operating-administrations</a>.
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B. Statutory Authority
Congress directed FTA to establish a comprehensive Public
Transportation Safety Program, one element of which is the requirement
for PTASP, in the Moving Ahead for Progress in the 21st Century Act
(Pub. L. 112-141; July 6, 2012) (MAP-21), which was reauthorized by the
Fixing America's Surface Transportation Act (Pub. L. 114-94; December
4, 2015). To implement the requirements of 49 U.S.C. 5329(d), FTA
issued a final rule on July 19, 2018, that added part 673, ``Public
Transportation Agency Safety Plans,'' to title 49 of the Code of
Federal Regulations (83 FR 34418).
The Bipartisan Infrastructure Law continues the Public
Transportation Safety Program and adds to the PTASP requirements for
public transportation systems that receive Federal financial assistance
under chapter 53.
[[Page 25337]]
The Bipartisan Infrastructure Law made several changes to 49 U.S.C.
5329(d). This proposed rule would revise portions of part 673 to
incorporate these new requirements. The Bipartisan Infrastructure Law
amended 49 U.S.C. 5329(d)(1)(B) to require that each recipient serving
an urbanized area with a population of fewer than 200,000 (small
urbanized area) develop its ASP in cooperation with frontline employee
representatives.
In addition, the Bipartisan Infrastructure Law added several new
requirements that apply to each recipient of Urbanized Area Formula
Program funds under 49 U.S.C. 5307 (section 5307) that serves an
urbanized area with a population of 200,000 or more (large urbanized
area). The statute requires these agencies to undertake the following
activities:
<bullet> Establish a Safety Committee that is convened by a joint
labor-management process and consists of an equal number of (1)
frontline employee representatives, selected by a labor organization
representing the plurality of the frontline workforce employed by the
recipient or, if applicable, a contractor to the recipient, to the
extent frontline employees are represented by labor organizations; and
(2) management representatives. (49 U.S.C. 5329(d)(5)). This Safety
Committee has responsibility, at a minimum, for:
[cir] Approving the transit agency's ASP and any updates to the ASP
before approval by the agency's Board of Directors or equivalent entity
(49 U.S.C. 5329(d)(1)(A));
[cir] Setting safety performance targets for the safety risk
reduction program using a three-year rolling average of the data
submitted by the transit agency to the NTD (49 U.S.C. 5329(d)(4)(A));
[cir] Identifying and recommending risk-based mitigations or
strategies necessary to reduce the likelihood and severity of
consequences identified through the agency's safety risk assessment (49
U.S.C. 5329(d)(5)(A)(iii)(I));
[cir] Identifying mitigations or strategies that may be
ineffective, inappropriate, or were not implemented as intended (49
U.S.C. 5329(d)(5)(A)(iii)(II)); and
[cir] Identifying safety deficiencies for purposes of continuous
improvement (49 U.S.C. 5329(d)(5)(A)(iii)(III)).
<bullet> Establish a risk reduction program for transit operations
to improve safety by reducing the number and rates of accidents,
injuries, and assaults on transit workers based on data submitted to
the NTD, including:
[cir] A reduction of vehicular and pedestrian accidents involving
buses that includes measures to reduce visibility impairments for bus
operators that contribute to accidents, including retrofits to buses in
revenue service and specifications for future procurements that reduce
visibility impairments; and
[cir] The mitigation of assaults on transit workers, including the
deployment of assault mitigation infrastructure and technology on
buses, including barriers to restrict the unwanted entry of individuals
and objects into bus operator workstations when a risk analysis
performed by the Safety Committee determines that such barriers or
other measures would reduce assaults on and injuries to transit workers
((49 U.S.C. 5329(d)(1)(I)).
<bullet> Allocate not less than 0.75 percent of its section 5307
funds to safety-related projects eligible under section 5307 (safety
set-aside). In the event the transit agency fails to meet a safety risk
reduction program safety performance target:
[cir] Allocate the transit agency's safety set-aside in the
following fiscal year to projects that are reasonably likely to assist
the agency in meeting the target, including modifications to rolling
stock and de-escalation training (49 U.S.C. 5329(d)(4)).
<bullet> Ensure the agency's comprehensive staff training program
includes maintenance personnel and de-escalation training. (49 U.S.C.
5329(d)(1)(H)(ii)).
In addition, the Bipartisan Infrastructure Law requires that each
agency's ASP address strategies to minimize exposure to infectious
diseases, consistent with guidelines of the CDC or a State health
authority (49 U.S.C. 5329(d)(1)(D)).
C. Questions About Confidential Close-Call/Near-Miss Transit Worker
Safety Reporting Programs
This NPRM does not propose any new requirements related to transit
worker safety reporting programs. Through voluntary review of ASPs and
technical assistance provided by its PTASP Technical Assistance Center,
FTA has observed that many transit agencies have incorporated
mechanisms to allow for confidential close call/near-miss reporting as
part of their transit worker safety reporting programs. FTA is
interested in hearing from the transit industry and other interested
stakeholders regarding any experience establishing confidential
reporting methods for transit workers and would appreciate feedback to
the following questions:
<bullet> Have transit agencies offered transit workers methods to
submit confidential reports of near-misses or safety concerns?
[cir] If so, please share a brief summary of such methods,
including how transit agencies ensure reports are submitted
confidentially.
[cir] How many reports do such programs receive annually?
[cir] How has this reporting improved or not improved transit
agencies' ability to manage safety risk?
[cir] What challenges, if any, have transit agencies encountered,
including in protecting information to ensure reports remain
confidential, and in taking action on reports that are redacted?
[cir] What has been the annual cost of operating such programs?
<bullet> Have transit agencies participated in a close-call or
near-miss reporting program facilitated by a third party to protect the
confidentiality of reporters?
[cir] If so, please share a brief summary of how the program works,
including whether transit agencies receive only de-identified reports
specific to the agency, or if de-identified reports are shared with all
participants in the program.
[cir] How many reports do transit agencies receive annually?
[cir] How has this participation improved or not improved transit
agencies' ability to manage safety risk?
[cir] What are the annual estimated costs for participation in such
programs?
<bullet> If transit agencies do not have a confidential close-call
or near-miss reporting program, have such agencies assessed the
feasibility of establishing a program? What are the expected benefits
and barriers that transit agencies have identified, if any?
Respondents may respond to any question and do not need to respond
to all questions.
II. Section-by-Section Analysis
FTA proposes several terminology changes that would apply
throughout part 673. FTA proposes to change the term ``agency'' to
``transit agency'' for clarity. FTA also proposes to replace the term
``employee'' with ``transit worker'' for consistency with the changes
to section 673.5 discussed below. Similarly, where FTA incorporates
Bipartisan Infrastructure Law requirements involving transit employees
into the regulation, FTA uses the term ``transit worker.''
In addition, FTA proposes three terminology changes to ensure the
regulatory language aligns with SMS terminology commonly used in the
transit industry. FTA would:
<bullet> Replace the term ``risk'' with ``safety risk,''
<bullet> Replace the term ``mitigation'' with ``safety risk
mitigation,'' and
[[Page 25338]]
<bullet> Replace the term ``consequence'' with ``potential
consequence.''
Subpart A--General
1.1 Applicability
This section sets forth the applicability of the PTASP regulation.
Currently, the regulation applies to any State, local governmental
authority, and any other operator of a public transportation system
that receives Federal financial assistance under 49 U.S.C. chapter 53.
FTA has deferred applicability to operators that only receive Federal
financial assistance under 49 U.S.C. 5310 or 5311, or both 49 U.S.C.
5310 and 5311.
Through guidance, FTA has consistently interpreted this provision
to mean that the PTASP regulation applies to two categories of
recipients: (1) section 5307 recipients; and (2) rail transit agencies.
For consistency with this existing practice, FTA proposes revising
section 673.1(b) to clarify that the exception for section 5310 and
section 5311 recipients does not apply to operators of rail fixed
guideway public transportation systems. Accordingly, this change
clarifies FTA's existing practice that all rail transit agencies must
meet the requirements of part 673 if they receive Federal financial
assistance under chapter 53.
1.2 Definitions
This section sets forth the definitions of key terms used in the
regulation. FTA proposes several changes to this section for clarity,
as well as several changes related to Bipartisan Infrastructure Law
requirements.
Amendments for Clarity
FTA proposes adding, amending, and deleting several definitions in
section 673.5. These modifications provide greater clarity and are not
intended to change the application of any existing requirements.
FTA would remove the definitions of ``accident,'' ``event,''
``incident,'' ``occurrence,'' and ``serious injury'' from section
673.5. In their place, FTA would add a single term: ``safety event.''
This change is intended to simplify the classification of safety
events.
FTA proposes to add a definition of ``emergency'' to clarify
requirements related to emergency response and preparedness plans. This
definition would mirror the statutory definition in 49 U.S.C. 5324.
FTA would replace the existing term ``Equivalent Authority'' with
``equivalent entity'' to conform with the statutory term used in 49
U.S.C. 5329(d)(1)(A).
FTA would add definitions for the terms ``near-miss'' and
``roadway'' to clarify new requirements that FTA is proposing to the
regulation.
FTA proposes to add a definition of ``public transportation.'' This
definition mirrors the statutory definition provided in 49 U.S.C. 5302.
Similarly, FTA would add definitions of the terms ``potential
consequence,'' ``recipient,'' ``direct recipient,'' and
``subrecipient'' for clarity. All of these terms are used frequently in
the regulation, but they were not defined previously in this section.
FTA proposes to make minor edits to the definition of ``rail fixed
guideway public transportation system'' for clarity.
FTA would modify the existing terms ``risk'' and ``risk
mitigation'' by adding the word ``safety'' before each to ensure
regulatory language aligns with SMS terminology commonly used in the
transit industry.
FTA would modify the definition of ``Safety Management Policy,''
``Safety Management System,'' and ``Safety Risk Management'' for
clarity and to ensure regulatory language aligns with SMS terminology
commonly used in the transit industry.
FTA would modify the definition of ``small public transportation
provider'' to align with the definition of Tier II Provider in FTA's
Transit Asset Management regulation (49 CFR 625). This is consistent
with FTA's existing interpretation of small public transportation
provider. FTA notes that certain transit agencies will meet the
definition of both ``small public transportation provider'' and ``large
urbanized area provider.'' This would occur if the small public
transportation provider serves a large urbanized area. In such cases,
the transit agency must meet all large urbanized area provider
requirements, including establishing a Safety Committee and safety risk
reduction program.
Finally, FTA would amend the definition of ``transit agency'' to
clarify FTA's existing practice that PTASP applies only to rail transit
agencies and section 5307 recipients and subrecipients, as discussed
above.
Amendments Related to the Bipartisan Infrastructure Law
FTA proposes adding definitions to section 673.5 related to the new
Bipartisan Infrastructure Law PTASP requirements.
The Bipartisan Infrastructure Law amended 49 U.S.C. 5302 to add a
definition of ``assault on a transit worker.'' FTA would incorporate
the statutory definition of this term into section 673.5 without
change.
FTA proposes to add a definition of ``CDC,'' which relates to the
statutory requirement in 49 U.S.C. 5329(d)(1)(D) about minimizing
exposure to infectious diseases. In addition, FTA proposes to add
definitions for the terms ``joint labor-management process,'' ``safety
committee,'' and ``safety set aside.'' Each of these terms relates to
Bipartisan Infrastructure Law requirements for Safety Committees and
safety risk reduction programs.
Many of the Bipartisan Infrastructure Law PTASP requirements only
apply to section 5307 recipients and subrecipients that serve an
urbanized area with a population of 200,000 or more (large urbanized
area). FTA proposes to capture this category of transit agencies by
adding a new defined term to section 673.5: ``large urbanized area
provider.'' For clarity, FTA also proposes to define the term
``urbanized area.'' The proposed definition mirrors how the term is
defined in 49 U.S.C. 5302.
FTA would make a minor change to the definition of ``State Safety
Oversight Agency'' to add a citation to the State Safety Oversight
Agency (SSOA) inspection provision at 49 U.S.C. 5329(k), which was
added by the Bipartisan Infrastructure Law.
Finally, FTA would add a definition of ``transit worker'' that
includes employees, contractors, and volunteers working on behalf of
the transit agency. This definition would ensure that transit worker-
related requirements, such as training, will apply to volunteers, such
as volunteer transit operators who are a crucial part of the staff at
some transit agencies, especially in rural areas.
Subpart B--Safety Plans
673.11 General Requirements
This section establishes general PTASP requirements. FTA proposes
revising section 673.11(a) to remove language about the initial
regulatory deadline for establishing an ASP because the deadline has
already passed. FTA also proposes to add the word ``State'' to clarify
that States have a role in ASP development for certain small public
transportation providers. This is a clarification that does not change
any existing requirements.
The Bipartisan Infrastructure Law amended 49 U.S.C. 5329(d) to
require that the Safety Committee of section 5307 recipients that serve
a large urbanized area must approve the ASP and any updates to the ASP.
Per statute, this approval must occur before the
[[Page 25339]]
transit agency's Board of Directors or equivalent entity approves the
ASP or update. FTA proposes revising section 673.11(a)(1) to
incorporate this statutory requirement. The requirement to obtain
Safety Committee approval applies only to large urbanized area
providers. For all other transit agencies, the existing requirement for
Board or equivalent entity approval remains unchanged.
Section 673.11(a)(3) provides that ASPs must include safety
performance targets based on the safety performance measures
established under FTA's National Public Transportation Safety Plan
(NSP). FTA proposes to clarify FTA's existing practice that the safety
performance targets are set annually. FTA also proposes revising this
section to clarify that performance targets for the safety risk
reduction program under section 673.20 are required only for large
urbanized providers.
FTA proposes revising section 673.11(a)(6) to add paragraph (ii)
requiring rail transit agencies to include or incorporate by reference
in their ASPs the policies and procedures regarding rail transit
workers on the roadway. This requirement relates to FTA's forthcoming
Roadway Worker Protection (RWP) proposed rule. This RWP proposal is
responsive to National Transportation Safety Board (NTSB)
recommendations related to roadway worker protection.
FTA also proposes revising section 673.11(a)(6) to add paragraph
(iii) requiring rail transit agencies to include or incorporate by
reference in their ASPs the policies and procedures to provide access
to facilities and required data regarding the SSOA's risk-based
inspection programs. This proposal relates to Bipartisan Infrastructure
Law requirements regarding SSOA risk-based inspection programs at 49
U.S.C. 5329(k).
FTA proposes adding section 673.11(a)(7) to require large urbanized
area providers to include in their ASP a safety risk reduction program
that meets the requirements of section 673.20. Agencies may choose to
document safety risk reduction program elements in the Safety Risk
Management and Safety Assurance sections of their ASP.
FTA is not proposing any changes to 673.11(d), which requires a
State to draft and certify an ASP for a small public transportation
provider that is located in that State. However, FTA wants to make
clear that a small public transportation provider may also be a large
urbanized area provider and thus required to have an ASP with the
attendant provisions, such as a Safety Committee and risk reduction
program. FTA proposes striking the current language at section
673.11(e) to remove reference to the ``System Safety Program Plan''
under part 659. The requirement to have a System Safety Program Plan
has been replaced by the requirement to have an ASP, and FTA rescinded
part 659 on February 7, 2022 (87 FR 6783). In response to this change,
FTA would redesignate existing paragraph (f) as paragraph (e). In the
new section 673.11(e), FTA proposes minor wording changes for clarity.
673.13 Certification of Compliance
This section sets forth certification requirements. FTA proposes
revising section 673.13(a) to remove an outdated initial certification
deadline and to clarify FTA's existing practice that a direct recipient
or State's initial PTASP certification must occur by the start of
operations. In addition, FTA proposes to revise section 673.13 to
clarify that only direct recipients and States must certify compliance
with part 673. This is not a change to FTA's current practice. FTA
notes for clarity that subrecipients are not required to certify
compliance with PTASP; direct recipients certify on behalf of their
subrecipients.
673.17 Cooperation With Frontline Transit Worker Representatives
In a new section 673.17, FTA proposes requirements for transit
agency cooperation with frontline transit worker representatives, as
required by the Bipartisan Infrastructure Law. In section 673.17(a),
FTA would incorporate the statutory requirement that a large urbanized
area provider must establish a Safety Committee. Section 673.17(b)
incorporates the statutory requirement that a transit agency that is
not a large urbanized area provider must develop its ASP in cooperation
with frontline transit worker representatives, as required by the
Bipartisan Infrastructure Law. In this section, FTA also proposes that
such providers must include or incorporate by reference in the ASP a
description of how frontline transit worker representatives cooperate
in the development and update of the ASP.
Subpart C--Safety Committee and Safety Risk Reduction Program
FTA proposes creating a new subpart C, ``Safety Committee and
Safety Risk Reduction Program'' that incorporates Bipartisan
Infrastructure Law requirements for Safety Committees and Safety Risk
Reduction Programs.
673.19 Safety Committee
The Bipartisan Infrastructure Law requires that transit agencies
serving a large urbanized area establish a Safety Committee that meets
certain requirements. FTA proposes a new section 673.19(a) in response
to the statutory requirement that the Safety Committee be convened by a
joint-labor management process and adds a requirement that the Safety
Committee be appropriately scaled to the size, scope, and complexity of
the transit agency.
In section 673.19(b), FTA incorporates the statutory requirement
that the Safety Committee consist of an equal number of frontline
transit worker representatives and management representatives. FTA
notes that there must be an equal number of frontline transit worker
representative and management representative voting members on the
Safety Committee. However, this requirement does not prohibit
designation of additional non-voting participants, such as management
representative alternates who may serve in a voting capacity in the
event of a management representative voting member absence, or
frontline transit worker representative alternates who may serve in a
voting capacity in the event of a frontline transit worker
representative voting member absence. FTA also proposes a requirement
that the Safety Committee include frontline transit worker
representatives from major transit service functions to the extent
practicable.
The Bipartisan Infrastructure Law requires that the frontline
transit worker representatives be selected by a labor organization
representing the plurality of the frontline workforce. FTA incorporates
this statutory requirement into section 673.19(b). FTA also proposes a
requirement that the Safety Committee include frontline transit worker
representatives from major transit service functions to the extent
practicable. FTA also proposes that if a transit agency's frontline
transit workers are not represented by a labor organization, the
transit agency must adopt a mechanism to ensure that frontline transit
workers select frontline transit worker representatives for the Safety
Committee. FTA is proposing this requirement to ensure that in
situations where frontline transit workers are not represented by a
labor organization, frontline transit workers select the frontline
transit worker representatives.
FTA proposes section 673.19(c), which requires that certain
policies and procedures about the composition, responsibilities, and
operations of the Safety Committee be included or incorporated by
reference in the ASP. One of these proposed policies and
[[Page 25340]]
procedures addresses how the Safety Committee will manage disputes and
tie votes to ensure it carries out its operations. Through outreach
meetings with FTA, some stakeholders voiced concerns that Safety
Committees could become deadlocked. This has the potential to delay the
development or update of an agency's ASP and the operation of the
agency's SMS. FTA finds this concern to be valid and therefore proposes
that ASPs include policies or procedures to address this situation.
Additional details about FTA's stakeholder outreach meetings can be
found in the docket to this rulemaking.
FTA proposes section 673.19(d), which identifies statutorily
required activities that the Safety Committee must take, including ASP
review and approval, setting annual safety performance targets to
support the safety risk reduction program, and support of SMS
activities. The proposed activities of the Safety Committee implement
requirements of the Bipartisan Infrastructure Law.
673.20 Safety Risk Reduction Program
The Bipartisan Infrastructure Law requires recipients serving large
urbanized areas to establish a safety risk reduction program for
transit operations to improve safety by reducing the number and rates
of accidents, injuries, and assaults on transit workers based on data
submitted to the NTD, including: (1) a reduction of vehicular and
pedestrian accidents involving buses, including measures to reduce
visibility impairments for bus operators that contribute to accidents;
and (2) the mitigation of assaults on transit workers, including the
deployment of assault mitigation infrastructure and technology on
buses. Section 5329(d)(1)(I) describes specific mitigations for
reducing safety events, including retrofits to buses in revenue service
and specifications for future procurements that reduce visibility
impairments, and barriers to restrict the unwanted entry of individuals
and objects into the workstations of bus operators.
To incorporate this requirement, FTA proposes a new section
673.20(a), which requires large urbanized area providers to establish a
safety risk reduction program that includes the two statutory areas
discussed above. FTA proposes that a key element of this program would
be the consideration of safety risk mitigations consistent with
proposed sections 673.20(a)(2) through (a)(4).
In these sections, FTA proposes that when carrying out the Safety
Risk Management (SRM) process for risk relating to vehicular and
pedestrian safety events involving transit vehicles, and for risk
relating to assaults on transit workers, a large urbanized area
provider must consider specific mitigations. These safety risk
mitigations are based on the mitigations listed in 49 U.S.C.
5329(d)(1)(I) described above. However, section 673.20(a)(2) would
require consideration of operator visibility impairment mitigations for
any type of transit vehicles, not just buses. Similarly, section
673.20(a)(3) would require consideration of assault mitigation
infrastructure and technology in any type of transit vehicle and in
transit facilities, not just buses. FTA believes that tying the safety
risk reduction program to transit agencies' existing Safety Risk
Management (SRM) process will support and reinforce consistent
application of SMS practices for all safety risk mitigation, including
for the two statutory areas identified in section 5329(d)(1)(I).
FTA is proposing this requirement pursuant to 49 U.S.C.
5329(d)(1)(I) and 49 U.S.C. 5329(d)(1)(C) and (D). In using the word
``including'' when describing the risk reduction program, 49 U.S.C.
5329(d)(1)(I)(i) and (ii) outline a non-exclusive list of program
elements. FTA therefore believes that requiring consideration of
additional mitigations in the risk reduction program is appropriate. In
addition, 49 U.S.C. 5329(d)(1)(C) and (D) require that each agency's
ASP include ``methods for identifying and evaluating safety risks
throughout all elements of the public transportation system,'' and
``strategies to minimize the exposure of the public, personnel, and
property to hazards and unsafe conditions,'' respectively. As described
in FTA's 2018 PTASP final rule, ``[e]ach of these requirements is
consistent with the second component of SMS--Safety Risk Management.''
(83 FR 34418, at 34453). The proposed requirement to consider specific
mitigations through the SRM process would enable agencies to evaluate
visibility impairment and transit worker assault safety risks more
effectively, and would enable them to minimize the exposure of the
public, personnel, and property to related hazards and unsafe
conditions. FTA believes that this requirement will lead to improved
safety performance at all applicable transit agencies.
To incorporate the statutorily required role of the Safety
Committee, FTA proposes section 673.20(a)(4). Pursuant to this section,
when a Safety Committee performs a safety risk analysis, determines
that particular safety risk mitigations would reduce assaults on
transit workers and injuries to transit workers, and recommends such
mitigations to the Accountable Executive, the transit agency must
implement one or more of these recommended mitigations. Consistent with
existing PTASP regulation requirements, the Accountable Executive
retains direction over the human and capital resources needed to
develop and maintain the ASP and has ultimate accountability for the
agency's safety performance. Accordingly, if in exercising this
responsibility the Accountable Executive determines that safety risk
mitigations recommended by the Safety Committee are not feasible or
effective in improving the agency's overall safety performance, it may
decline to implement such mitigation. The Accountable Executive should
document such decisions consistent with the recordkeeping requirements
of section 673.31.
The Bipartisan Infrastructure Law requires that the Safety
Committees of recipients serving large urbanized areas establish
performance targets for the safety risk reduction program using a 3-
year rolling average of data submitted by the recipient to the NTD. FTA
proposes to incorporate those requirements into section 673.20(b) and
proposes that these targets must be set on an annual basis. These
targets will be based on performance measures and standards that FTA
will propose in a separate action, the National Public Transportation
Safety Plan, which is to be published for public comment at a later
date. As required by the Bipartisan Infrastructure Law, these
performance measures for a safety risk reduction program must be
included in the National Public Transportation Safety Plan (49 U.S.C.
5329(b)(2)(A)). Once those performance measures are established in the
National Public Transportation Safety Plan, transit agencies will use
these measures to set targets for the safety risk reduction program, as
required by 49 U.S.C. 5329(d).
Some large urbanized area providers that qualify as Reduced
Reporters for NTD reporting purposes may not currently report detailed
safety event information to the NTD. FTA is considering revisions to
NTD safety data forms to support more granular data collection from
these transit agencies. However, these revisions have not gone into
effect yet. Accordingly, for purposes of annual safety performance
target setting for the safety risk reduction program, FTA is proposing
to require that the Safety Committees of large urbanized area providers
set these targets only based on the level of detail the transit agency
is required to report
[[Page 25341]]
to the NTD. If a transit agency has not been required to report three
years of data to the NTD relating to a performance measure yet, the
Safety Committee would not set a risk reduction performance target for
that specific measure yet. Target setting for the performance measure
would begin once the transit agency has been required to report three
years of data to the NTD corresponding to the performance measure.
FTA is not proposing to require that a defined amount of annual
reduction be reflected in the safety risk reduction program performance
targets. FTA believes that Safety Committees should have flexibility
regarding the amount of annual reduction defined by their targets, as
long as the methodology uses a three-year rolling average of data
reported to the NTD and the targets reflect an annual reduction.
FTA also proposes section 673.20(d), which leverages the continuous
improvement processes established under section 673.27(d) to require
that transit agencies monitor their safety performance against the
annual safety performance targets the Safety Committee sets for the
safety risk reduction program.
Section 673.20(e) incorporates Bipartisan Infrastructure Law
requirements addressing failure to meet an annual safety performance
target set under the safety risk reduction program. This includes the
requirement that if a large urbanized area provider does not meet one
of the safety risk reduction performance targets, it must allocate at
least 0.75% of its section 5307 funds in the following fiscal year to
safety-related projects eligible under section 5307 that are reasonably
likely to assist the agency in meeting the target in the future. FTA
proposes that large urbanized area providers that do not meet an
established target assess the associated safety risk using the methods
or processes established under section 673.25(c) and mitigate
associated safety risk based on the results of the safety risk
assessment.
Subpart D--Safety Management Systems
FTA proposes redesignating existing subpart C as subpart D, Safety
Management Systems.
673.23 Safety Management Policy
In section 673.23(a), FTA proposes adding a requirement for the
transit agency's Safety Management Policy to include a description of
the transit agency's Safety Committee or approach to cooperation with
frontline transit worker representatives, as applicable. This ensures
the policy describes the coordination with frontline transit workers
required under the Bipartisan Infrastructure Law.
Section 673.23(b) currently requires agencies to establish and
implement a safety reporting process. FTA proposes two changes to this
paragraph. First, FTA proposes to replace the words ``safety
conditions'' with ``safety concerns,'' and to add a few examples of
safety concerns. This change describes the reporting process
requirement more accurately. Second, with respect to required
protections for transit workers who report, FTA also proposes to delete
the words ``safety conditions to senior management.'' This wording is
duplicative of information already conveyed in the paragraph. This is a
minor change that does not alter any existing requirements.
In section 673.23(d)(1), FTA proposes adding a requirement for the
Accountable Executive to receive and consider safety risk mitigation
recommendations of the Safety Committee. This additional Accountable
Executive responsibility ensures that the Safety Committee has a
meaningful voice in safety-related decision-making. Further, in section
673.23(d)(3), FTA proposes to require that large urbanized area
providers establish the necessary authorities, accountabilities, and
responsibilities for the management of safety for the Safety Committee.
In section 673.23(d)(5), FTA proposes adding the Safety Committee to
the list of groups which the transit agency may designate as key staff
in developing, implementing, and operating the transit agency's SMS.
This addition relates to Bipartisan Infrastructure Law Safety Committee
requirements and requires large urbanized area providers to address new
Safety Committee requirements through the Safety Management Policy
component of their SMS.
673.25 Safety Risk Management
FTA proposes amending section 673.25(b)(2) to clarify existing
requirements for transit agencies to consider certain data and
information as a source for hazard identification. In addition, the
Bipartisan Infrastructure Law requires ASPs to address minimizing
exposure to infectious diseases, consistent with guidelines from the
CDC or a State health authority. In response to this statutory
requirement, FTA proposes also amending section 673.25(b)(2) to require
transit agencies to consider data and information from the CDC or a
State health authority regarding exposure to infectious disease as a
source for hazard identification. FTA also proposes that transit
agencies consider safety concerns identified through the transit
agency's Safety Assurance activities. FTA proposes this change to
establish the link more clearly between Safety Risk Management and
Safety Assurance activities.
In section 673.25(c)(2), FTA proposes wording changes to clarify
the application of existing safety risk assessment requirements and the
connection between safety risk assessment and safety risk mitigation.
One of these changes clarifies that safety risk assessments should
ultimately inform the prioritization of safety risk mitigation activity
rather than simply the prioritization of identified hazards. This
change is intended to clarify FTA's original intent that safety risk
assessment activity informs the prioritization of safety resources to
mitigate safety risk.
In section 673.25(d)(1), FTA proposes minor wording changes
consistent with the changes proposed in section 673.5. FTA also
proposes that the safety risk management process of large urbanized
area providers must address the role of the agency's Safety Committee.
This ensures that the SMS of these providers incorporates the Safety
Committee's statutorily required responsibilities relating to safety
risk management.
FTA proposes adding section 673.25(d)(2), which would require
transit agencies to consider guidance provided by an oversight
authority, if applicable, and FTA as a source for safety risk
mitigation. In response to Bipartisan Infrastructure Law requirements,
this paragraph would also require agencies to consider CDC or State
health authority guidelines to prevent or control exposure to
infectious diseases.
673.27 Safety Assurance
FTA proposes amending the continuous improvement requirement in
section 673.27(d)(1) to specify that a transit agency must establish a
process to assess its safety performance annually. FTA proposes that
the process include identifying deficiencies in the transit agency's
SMS and in the agency's safety performance against its safety
performance targets, including safety performance targets required for
all transit agencies at section 673.11(a)(3) and safety performance
targets set by the Safety Committees of large urbanized area providers
for the safety risk reduction program as required at section 673.20(b).
This updated requirement clarifies FTA's intent for the frequency and
substance of this performance assessment, and addresses industry
[[Page 25342]]
concerns that the regulation did not specify a timeline for assessing
safety performance. For large urbanized area providers, FTA also
proposes that the continuous improvement process must address the role
of the transit agency's Safety Committee. This ensures that the SMS of
these providers incorporates the Safety Committee's statutorily
required responsibilities relating to continuous improvement.
FTA further proposes to require that rail transit agencies must
address internal safety review requirements established by SSOAs as
part of the continuous improvement element of Safety Assurance. FTA
proposes minor wording changes in section 673.25(d)(2) for clarity.
In section 673.27(a), FTA proposes to extend the continuous
improvement requirements to small public transportation providers. In
the current regulation, small public transportation providers are
exempt from this requirement. This change is responsive to the
Bipartisan Infrastructure Law, which requires large urbanized area
providers to establish a Safety Committee and a safety risk reduction
program that involves key elements of continuous improvement, such as
safety performance target setting, safety performance monitoring, and
the identification of safety deficiencies and safety performance
issues. Certain small public transportation providers meet the
definition of large urbanized area provider and are therefore subject
to these statutory requirements. Additionally, under the existing rule,
all small public transportation providers already are required to set
safety performance targets based on the safety performance measures
established in the NSP. FTA does not believe that the continuous
improvement requirements will be burdensome for small public
transportation providers. Based on the experience that these providers
have gained by operating an SMS and carrying out required safety
performance measurement activities, FTA expects they will be able to
formalize these continuous improvement activities and document them in
their ASP.
In addition, FTA proposes a change to the safety performance
monitoring and measurement requirements in section 673.27(b). FTA
proposes that for large urbanized area providers, these activities must
address the role of the agency's Safety Committee. This ensures that
the SMS of these providers incorporates the Safety Committee's
statutorily required responsibilities relating to safety performance
monitoring and measurement.
673.29 Safety Promotion
Pursuant to 49 U.S.C. 5329(d)(1)(H), each agency's ASP must include
a comprehensive staff training program. The Bipartisan Infrastructure
Law amended this provision to require that large urbanized area
providers include maintenance workers and de-escalation training in
their training programs.
To incorporate the de-escalation training requirement, FTA proposes
adding language to section 673.29(a) that would require transit
agencies to include de-escalation training in their comprehensive
safety training program. This requirement would apply to all agencies,
not just large urbanized area providers. FTA is proposing this
requirement pursuant to 49 U.S.C. 5329(d)(1)(H)(i). In using the word
``including'' when describing the comprehensive safety training
program, 49 U.S.C. 5329(d)(1)(H)(i) outlines a nonexclusive list of
program elements. FTA therefore believes that requiring de-escalation
training for operations personnel and personnel directly responsible
for safety at all transit agencies is appropriate. FTA believes this is
appropriate and necessary to enhance the safety outcomes for all
transit workers and users of transportation, not just those in large
urbanized areas.
FTA also proposes that the training program must include training
on safety concern identification and reporting. This training
requirement would address a common industry need for greater
understanding of how to report safety concerns through safety reporting
programs.
This section would also incorporate the statutory requirement that
large urbanized area providers must include maintenance workers in
their training programs in new section 673.29(a)(2).
In section 673.29(b), FTA proposes to require transit agencies to
integrate the results of cooperation with frontline transit worker
representatives and joint labor-management Safety Committee activities
into their safety communication activities. FTA proposes this modified
requirement to address the communication impacts resulting from the new
requirements for cooperation with frontline transit worker
representatives and joint labor-management Safety Committee activities
and to make sure that the results of these activities are communicated
throughout the organization.
Subpart E--Safety Plan Documentation and Recordkeeping
FTA proposes establishing a new subpart E for Safety Plan
Documentation and Recordkeeping.
673.31 Safety Plan Documentation
FTA proposes a minor edit to the safety plan documentation
requirements in section 673.31 to clarify that a transit agency must
make documents available upon request by a State having jurisdiction.
III. Regulatory Analyses and Notices
Executive Order 12866 (Regulatory Planning and Review) and Executive
Order 13563 (Improving Regulation and Regulatory Review)
Executive Order 12866 (``Regulatory Planning and Review''), as
supplemented by Executive Order 13563 (``Improving Regulation and
Regulatory Review''), directs Federal agencies to assess the benefits
and costs of regulations, to select regulatory approaches that maximize
net benefits when possible, and to consider economic, environmental,
and distributional effects. It also directs the Office of Management
and Budget (OMB) to review significant regulatory actions, including
regulations with annual economic effects of $100 million or more. OMB
has determined that the proposed rule is not significant within the
meaning of Executive Order 12866 and has not reviewed it under that
order.
Overview and Need for Regulation
The proposed rule, which implements amendments made by the
Bipartisan Infrastructure Law, would add requirements for transit
agencies subject to the existing regulation for Public Transportation
Agency Safety Plans. The applicable agencies include all rail transit
agencies and all transit agencies receiving section 5307 funding.
Agencies would need to incorporate de-escalation training into their
safety training programs and would need to incorporate guidelines for
infectious disease exposure into their safety management system
processes. In addition, small public transportation providers would
need to establish continuous improvement processes to assess safety
performance; current regulation requires transit providers to establish
processes but exempts small providers.
The proposed rule would also create requirements for transit
agencies based on the urbanized areas they serve. Agencies serving
urbanized areas with 200,000 or more people would need to establish
safety committees, safety risk reduction programs with safety
performance targets, and include maintenance workers in their safety
training programs. The agencies would need to allocate at least 0.75
percent of
[[Page 25343]]
their section 5307 funding to eligible safety projects. If an agency
did not meet a safety performance target, it would need to allocate its
set-aside funding to projects that are reasonably likely assist the
agency in meeting the target. Agencies serving urbanized areas with
fewer than 200,000 people would need to develop their agency safety
plans in cooperation with frontline transit worker representatives.
Benefits
The proposed rule would reduce the risk of fatalities and injuries
for transit workers, bus passengers, drivers, and pedestrians if
transit agencies adopt safety risk mitigations that they would not have
adopted under current agency safety plans or spending levels. FTA
expects that agencies would be more likely to adopt mitigations to
reduce the risk of bus collisions and transit worker assault. Example
mitigations include bus sensors and surveillance systems to detect
objects and pedestrians, or bus operator barriers to protect drivers.
At the same time, some mitigations like de-escalation training for
transit operators have already been widely adopted. FTA currently does
not have information to determine what additional mitigations agencies
would adopt due to the proposed rule and has therefore not estimated
the associated benefits.
FTA seeks information from commenters to estimate the benefits of
the proposed rule. What safety interventions would agencies be more
likely to adopt as a result of developing risk reduction programs or
explicitly considering bus collisions and transit worker assaults?
Costs
Transit agencies may incur economic costs to adopt safety
interventions if the proposed rule leads to changes in safety plans or
spending levels. While the proposed rule would require agencies to
allocate at least 0.75 percent of section 5307 funds to eligible safety
projects, the resulting changes in spending are unknown for two
reasons. First, FTA does not have information to estimate the risk
reduction targets agencies would set or the likelihood that agencies
would not meet the targets. Second, if an agency spends more of its
section 5307 funding on safety interventions but can offset the
increased spending by spending less of its state and local funding,
then total spending may increase by a smaller amount or even remain
unchanged.
Transit agencies would also incur costs to meet the new
administrative and reporting requirements. To estimate the costs, FTA
subject-matter experts estimated the number of transit agencies
affected, the number and type of staff involved, and the time needed
(Table 1). FTA determined that the requirements would affect 428
agencies in large urbanized areas and 280 agencies in small urbanized
areas. Within an agency, safety managers, operations managers, and
frontline worker representatives would spend the most time to meet the
requirements each year. FTA then used the estimates to calculate costs
for the first ten years of the rule from 2023--the assumed effective
date of the rule--to 2032.
The estimates in Table 1 account for current transit agency
practices. For de-escalation training, almost all agencies established
programs after the Transportation Security Administration issued a
security directive in January 2021 requiring mask use on public
transportation.\2\ The directive, which is no longer in effect as of
April 2022,\3\ required agencies to brief employees responsible for
enforcing the directive. Agencies established de-escalation training
programs as part of their briefings, and FTA developed free online
training resources allowing frontline employees to complete training by
themselves.\4\ For agency safety plans, FTA has the understanding that
most agencies already involve frontline worker representatives; for
that reason, the estimated hours and staff for frontline worker
involvement only cover new reporting requirements.
---------------------------------------------------------------------------
\2\ Transportation Security Administration (January 31, 2021).
``Security Directive SD 1582/84-21-01.'' <a href="https://www.tsa.gov/sites/default/files/sd-1582_84-21-01.pdf">https://www.tsa.gov/sites/default/files/sd-1582_84-21-01.pdf</a>.
\3\ Transportation Security Administration (April 18, 2022).
``Statement regarding face mask use on public transportation.''
<a href="https://www.tsa.gov/news/press/statements/2022/04/18/statement-regarding-face-mask-use-public-transportation">https://www.tsa.gov/news/press/statements/2022/04/18/statement-regarding-face-mask-use-public-transportation</a>.
\4\ Federal Transit Administration (August 2022). ``FTA-
Sponsored Training Courses.'' <a href="https://www.transit.dot.gov/regulations-and-guidance/safety/fta-sponsored-training-courses">https://www.transit.dot.gov/regulations-and-guidance/safety/fta-sponsored-training-courses</a>.
---------------------------------------------------------------------------
Some agencies also began meeting requirements after FTA issued a
Dear Colleague letter in February 2022 describing statutory changes in
the Bipartisan Infrastructure Law.\5\ In that case, however, FTA keeps
the agencies in its cost analysis because agencies would not have
incorporated the requirements without the Congressional mandate.
---------------------------------------------------------------------------
\5\ Federal Transit Administration. February 17, 2022. ``Dear
Colleague Letter: Bipartisan Infrastructure Law Changes to PTASP
Requirements.'' <a href="https://www.transit.dot.gov/safety/public-transportation-agency-safety-program/dear-colleague-letter-bipartisan-infrastructure">https://www.transit.dot.gov/safety/public-transportation-agency-safety-program/dear-colleague-letter-bipartisan-infrastructure</a>.
Table 1--Staff and Hours Needed To Meet Administrative and Reporting Requirements
----------------------------------------------------------------------------------------------------------------
First-year Annual
Requirement Affected entities Staff hours hours
----------------------------------------------------------------------------------------------------------------
De-escalation training............ 12,000 frontline Frontline personnel............ 2 0.25
employees (5% of
240,000 as of June
2022).
Continuous improvement processes.. 572 small public Chief Safety Officer........... 1 4
transit providers.
Safety manager................. 1 8
Safety committee with frontline 428 agencies in large HR manager..................... 24 ........
worker representatives. UZAs. Safety manager................. 24 21
Union representative........... 24 ........
Operations manager............. .......... 21
Maintenance manager............ .......... 21
Frontline representative....... .......... 63
Risk reduction program............ 428 agencies in large Chief Safety Officer........... 1 1
UZAs.
Safety manager................. 1 2
Data analyst................... .......... 8
Frontline worker involvement with 270 agencies in small Chief Safety Officer........... .......... 2
agency safety plans. UZAs. Safety manager................. 4 2
----------------------------------------------------------------------------------------------------------------
Source: FTA analysis.
To estimate the value of staff time spent on the requirements, FTA
used occupational wage data from the Bureau of Labor Statistics as of
May 2021 (Table 2).\6\ FTA used median hourly wages for workers in the
Transit and Ground
[[Page 25344]]
Passenger Transportation industry (North American Industry
Classification System code 485000) as a basis for the estimates,
multiplied by 1.62 to account for employer benefits.\7\
---------------------------------------------------------------------------
\6\ Bureau of Labor Statistics. 2022. ``May 2021 National
Occupational Employment and Wage Estimates: United States.'' <a href="https://www.bls.gov/oes/2021/may/oes_nat.htm">https://www.bls.gov/oes/2021/may/oes_nat.htm</a>.
\7\ Multiplier derived using Bureau of Labor Statistics data on
employer costs for employee compensation for June 2022 (<a href="https://www.bls.gov/news.release/archives/ecec_09202022.pdf">https://www.bls.gov/news.release/archives/ecec_09202022.pdf</a>). Employer costs
for state and local government workers averaged $55.47 an hour, with
$34.23 for wages and $21.25 for benefit costs. To estimate full
costs from wages, one would use a multiplier of $55.47/$34.23, or
1.62.
Table 2--Occupational Categories and Wages Used To Value Staff Time
[$2021]
----------------------------------------------------------------------------------------------------------------
Median hourly Wage with
Staff Occupational category Code wage benefits
----------------------------------------------------------------------------------------------------------------
HR manager.............................. Human Resources Managers... 11-3121 $45.64 $73.77
Safety manager.......................... Occupational Health and 19-5011 37.29 60.27
Safety Specialists.
Union representative.................... Occupational Health and 19-5011 37.29 60.27
Safety Specialists.
Chief Safety Officer.................... Health and Safety Engineers 17-2111 49.21 79.54
Data analyst............................ Operations Research 15-2031 57.71 93.27
Analysts.
Frontline worker........................ Transportation and Material 53-0000 22.10 35.72
Moving Occupations.
Operations manager...................... General and Operations 11-1021 45.60 73.70
Manager.
Maintenance manager..................... Facilities Managers........ 11-3013 43.88 70.92
----------------------------------------------------------------------------------------------------------------
Source: Bureau of Labor Statistics, May 2021 National Occupational Employment and Wage Estimates.
The administrative and reporting requirements of the proposed rule
have estimated costs of $2.4 million in the first year in 2021 dollars
and annual costs of $4.9 million in later years (Table 3). The largest
annual costs are for de-escalation training ($2.2 million) and the
safety committees ($2.1 million).
Table 3--First-Year and Annual Costs for Administrative and Reporting
Requirements
[$2021]
------------------------------------------------------------------------
First-year
Requirement costs Annual costs
------------------------------------------------------------------------
De-escalation training.................. $868,000 $2,171,000
Continuous improvement processes........ 76,000 433,000
Safety committee with frontline worker 1,374,000 2,084,000
representatives........................
Risk reduction program.................. 58,000 195,000
Frontline worker involvement with agency 45,000 52,000
safety plans...........................
-------------------------------
Total............................... 2,420,000 4,934,000
------------------------------------------------------------------------
Totals may not sum due to rounding.
Summary
Table 4 summarizes the economic effects of the proposed rule over
the ten-year analysis period. The rule would have total costs of $46.8
million in 2021 dollars and annualized costs of $3.3 million at a 7
percent discount rate (discounted to 2023) and $3.9 million at 3
percent. To quantify benefits and assess net benefits, FTA would need
information on the safety interventions transit agencies would adopt.
Table 4--Summary of Economic Effects, 2023-2033
[$2021, discounted to 2023]
----------------------------------------------------------------------------------------------------------------
Annualized Annualized
Item Total (7%) (3%)
----------------------------------------------------------------------------------------------------------------
Benefits........................................................ Unquantified .............. ..............
Costs:
De-escalation training.......................................... $20,403,000 $1,417,000 $1,677,000
Continuous improvement processes................................ 3,970,000 273,000 325,000
Safety committee with frontline worker representatives.......... 20,132,000 1,411,000 1,662,000
Risk reduction program.......................................... 1,810,000 125,000 149,000
Frontline worker involvement with agency safety plans........... 512,000 36,000 42,000
-----------------------------------------------
Total costs................................................. 46,827,000 3,263,000 3,855,000
Net benefits................................................ Unquantified .............. ..............
----------------------------------------------------------------------------------------------------------------
Totals may not sum due to rounding.
[[Page 25345]]
Regulatory Flexibility Act
The Regulatory Flexibility Act of 1980 (RFA) (5 U.S.C. 601 et seq.)
requires Federal agencies to assess the impact of a regulation on small
entities unless the agency determines that the regulation is not
expected to have a significant economic impact on a substantial number
of small entities. FTA has determined that the proposed rule would not
have a significant effect on a substantial number of small entities.
The proposed rule would require public transit agencies serving an
urbanized area with a population of less than 200,000 to work with
frontline transit worker representatives while developing agency safety
plans. Most transit agencies are public-sector organizations. Under the
Act, local governments and other public-sector organizations qualify as
a small entity if they serve a population of less than 50,000. The rule
would affect 280 agencies in small urbanized areas, with some
qualifying as small entities under the Regulatory Flexibility Act.
FTA estimates that the requirement would have an annual cost of
less than $300 for a transit agency. Most agencies already involve
frontline transit worker representatives and would only need to spend
time on associated reporting. FTA estimates that a transit agency would
need 4 hours of staff time--2 hours for a Chief Safety Officer; 2 hours
for a safety manager--to meet the reporting requirement. Using
occupational wage data from the Bureau of Labor Statistics as of May
2021, FTA estimates the value of the time spent at $265.00, which would
not have a significant effect on the agency.
Unfunded Mandates Reform Act of 1995
FTA has determined that this rule does not impose unfunded
mandates, as defined by the Unfunded Mandates Reform Act of 1995 (Pub.
L. 104-4, March 22, 1995). This rule does not include a Federal mandate
that may result in the expenditure by State, local, and tribal
governments, in the aggregate, or by the private sector of $100 million
or more (adjusted for inflation) in any one year. Additionally, the
definition of ``Federal mandate'' in the Unfunded Mandates Reform Act
excludes financial assistance of the type in which State, local, or
tribal governments have authority to adjust their participation in the
program in accordance with changes made in the program by the Federal
Government. The Federal Transit Act permits this type of flexibility.
Executive Order 13132 (Federalism Assessment)
Executive Order 13132 requires agencies to assure meaningful and
timely input by State and local officials in the development of
regulatory policies that may have a substantial direct effect on the
States, on the relationship between the national government and the
States, or on the distribution of power and responsibilities among the
various levels of government. This action has been analyzed in
accordance with the principles and criteria contained in Executive
Order 13132, dated August 4, 1999, and FTA determined this action will
not have a substantial direct effect or sufficient federalism
implications on the States. FTA also determined this action will not
preempt any State law or regulation or affect the States' ability to
discharge traditional State governmental functions.
Executive Order 12372 (Intergovernmental Review)
The regulations implementing Executive Order 12372 regarding
intergovernmental consultation on Federal programs and activities apply
to this program.
Paperwork Reduction Act
In compliance with the Paperwork Reduction Act of 1995 (44 U.S.C.
3501 et seq.) (PRA), and the White House Office of Management and
Budget's (OMB) implementing regulation at 5 CFR 1320.8(d), FTA is
seeking approval from OMB for a currently approved information
collection that is associated with a Notice of Proposed Rulemaking. The
information collection (IC) was previously approved on October 4, 2022.
However, this submission includes revised requirements authorized by
the Bipartisan Infrastructure Law, including cooperation with frontline
transit worker representatives in the development of an Agency Safety
Plan (ASP), establishment of a Safety Committee, Safety Committee
approval of an ASP, establishment of a risk reduction program for
transit operations, establishment of safety performance targets for the
risk reduction program, and establishment of strategies to minimize
exposure to infectious diseases.
Type of Collection: Operators of public transportation systems.
Type of Review: OMB Clearance. Previously Approved Information
Collection Request.
Summary of the Collection: The information collection includes (1)
The development and certification of a Public Transportation Agency
Safety Plan; (2) the implementation and documentation of the SMS
approach; (3) associated recordkeeping; and (4) periodic requests.
Need for and Expected Use of the Information to be Collected:
Collection of information for this program is necessary to ensure that
operators of public transportation systems are performing their safety
responsibilities and activities required by law at 49 U.S.C. 5329(d).
Without the collection of this information, FTA would be unable to
determine each recipient's and State's compliance with 49 U.S.C.
5329(d).
Respondents: Respondents include operators of public transportation
as defined under 49 U.S.C. 5302. FTA is deferring regulatory action at
this time on recipients of FTA financial assistance under 49 U.S.C.
5310 and/or 49 U.S.C. 5311, unless those recipients operate rail
transit. The total number of respondents is 758. This figure includes
186 respondents that are States, rail fixed guideway systems, or large
bus systems that receive Urbanized Area Formula Program funds under 49
U.S.C. 5307. This figure also includes 572 respondents that receive
Urbanized Area Formula Program funds under 49 U.S.C. 5307, operate one
hundred or fewer vehicles in revenue service, and do not operate rail
fixed guideway service that may draft and certify their own safety
plans.
Frequency: Annual, Periodic.
National Environmental Policy Act
Federal agencies are required to adopt implementing procedures for
the National Environmental Policy Act (NEPA) that establish specific
criteria for, and identification of, three classes of actions: (1)
Those that normally require preparation of an Environmental Impact
Statement, (2) those that normally require preparation of an
Environmental Assessment, and (3) those that are categorically excluded
from further NEPA review (40 CFR 1507.3(b)). This rule qualifies for
categorical exclusions under 23 CFR 771.118(c)(4) (planning and
administrative activities that do not involve or lead directly to
construction). FTA has evaluated whether the rule will involve unusual
or extraordinary circumstances and has determined that it will not.
Executive Order 12630 (Taking of Private Property)
FTA has analyzed this rule under Executive Order 12630,
Governmental Actions and Interference with
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Constitutionally Protected Property Rights. FTA does not believe this
rule affects a taking of private property or otherwise has taking
implications under Executive Order 12630.
Executive Order 12988 (Civil Justice Reform)
This rule meets applicable standards in sections 3(a) and 3(b)(2)
of Executive Order 12988, Civil Justice Reform, to minimize litigation,
eliminate ambiguity, and reduce burden.
Executive Order 13045 (Protection of Children)
FTA has analyzed this rule under Executive Order 13045, Protection
of Children from Environmental Health Risks and Safety Risks. FTA
certifies that this action will not cause an environmental risk to
health or safety that might disproportionately affect children.
Executive Order 13175 (Tribal Consultation)
FTA has analyzed this rule under Executive Order 13175, dated
November 6, 2000, and believes that it will not have substantial direct
effects on one or more Indian tribes; will not impose substantial
direct compliance costs on Indian tribal governments; and will not
preempt tribal laws. Therefore, a tribal summary impact statement is
not required.
Executive Order 13211 (Energy Effects)
FTA has analyzed this action under Executive Order 13211, Actions
Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. FTA has determined that this action is not a
significant energy action under that order and is not likely to have a
significant adverse effect on the supply, distribution, or use of
energy. Therefore, a Statement of Energy Effects is not required.
Executive Order 12898 (Environmental Justice)
Executive Order 12898 (Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations) and DOT
Order 5610.2(a) (77 FR 27534, May 10, 2012) (<a href="https://www.transportation.gov/transportation-policy/environmental-justice/department-transportation-order-56102a">https://www.transportation.gov/transportation-policy/environmental-justice/department-transportation-order-56102a</a>) require DOT agencies to achieve
Environmental Justice (EJ) as part of their mission by identifying and
addressing, as appropriate, disproportionately high and adverse human
health or environmental effects, including interrelated social and
economic effects, of their programs, policies, and activities on
minority and low-income populations. All DOT agencies must address
compliance with Executive Order 12898 and the DOT Order in all
rulemaking activities. On August 15, 2012, FTA's Circular 4703.1 became
effective, which contains guidance for recipients of FTA financial
assistance to incorporate EJ principles into plans, projects, and
activities (<a href="https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/environmental-justice-policy-guidance-federal-transit">https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/environmental-justice-policy-guidance-federal-transit</a>).
FTA has evaluated this action under the Executive Order, the DOT
Order, and the FTA Circular and FTA has determined that this action
will not cause disproportionately high and adverse human health and
environmental effects on minority or low-income populations.
Regulation Identifier Number
A Regulation Identifier Number (RIN) is assigned to each regulatory
action listed in the Unified Agenda of Federal Regulations. The
Regulatory Information Service Center publishes the Unified Agenda in
April and October of each year. The RIN number contained in the heading
of this document can be used to cross-reference this rule with the
Unified Agenda.
List of Subjects in 49 CFR Part 673
Mass transportation, Safety.
Nuria I. Fernandez,
Administrator.
In consideration of the foregoing, and under the authority of 49
U.S.C. 5329 and 5334, and the delegation of authority at 49 CFR 1.91,
the Federal Transit Administration proposes to amend 49 CFR chapter VI
by revising part 673 of title 49 of the Code of Federal Regulations to
read as follows:
PART 673--PUBLIC TRANSPORTATION AGENCY SAFETY PLANS
Subpart A--General
Sec.
673.1 Applicability.
673.3 Policy.
673.5 Definitions.
Subpart B--Safety Plans
673.11 General requirements.
673.13 Certification of compliance.
673.15 Coordination with metropolitan, statewide, and non-
metropolitan planning processes.
673.17 Cooperation with frontline transit worker representatives.
Subpart C--Safety Committee and Safety Risk Reduction Program
673.19 Safety Committee.
673.20 Safety risk reduction program.
Subpart D--Safety Management Systems
673.21 General requirements.
673.23 Safety Management Policy.
673.25 Safety Risk Management.
673.27 Safety Assurance.
673.29 Safety Promotion.
Subpart E--Safety Plan Documentation and Recordkeeping
673.31 Safety plan documentation.
Authority: 49 U.S.C. 5329(d), 5334; 49 CFR 1.91.
Subpart A--General
Sec. 673.1 Applicability.
(a) This part applies to any State, local governmental authority,
and any other operator of a public transportation system that receives
Federal financial assistance under 49 U.S.C. chapter 53.
(b) This part does not apply to an operator of a public
transportation system that only receives Federal financial assistance
under 49 U.S.C. 5310, 49 U.S.C. 5311, or both 49 U.S.C. 5310 and 49
U.S.C. 5311 unless it operates a rail fixed guideway public
transportation system.
Sec. 673.3 Policy.
The Federal Transit Administration (FTA) has adopted the principles
and methods of Safety Management Systems (SMS) as the basis for
enhancing the safety of public transportation in the United States. FTA
will follow the principles and methods of SMS in its development of
rules, regulations, policies, guidance, best practices, and technical
assistance administered under the authority of 49 U.S.C. 5329. This
part sets standards for the Public Transportation Agency Safety Plan,
which will be responsive to FTA's Public Transportation Safety Program,
and reflect the specific safety objectives, standards, and priorities
of each transit agency. Each Public Transportation Agency Safety Plan
will incorporate SMS principles and methods tailored to the size,
complexity, and scope of the public transportation system and the
environment in which it operates.
Sec. 673.5 Definitions.
As used in this part:
Accountable Executive means a single, identifiable person who has
ultimate responsibility for carrying out the Public Transportation
Agency Safety Plan of a transit agency; responsibility for carrying out
the transit agency's Transit Asset Management Plan; and control or
direction over the human and capital resources needed to develop and
[[Page 25347]]
maintain both the transit agency's Public Transportation Agency Safety
Plan, in accordance with 49 U.S.C. 5329(d), and the transit agency's
Transit Asset Management Plan in accordance with 49 U.S.C. 5326.
Assault on a transit worker means, as defined under 49 U.S.C. 5302,
a circumstance in which an individual knowingly, without lawful
authority or permission, and with intent to endanger the safety of any
individual, or with a reckless disregard for the safety of human life,
interferes with, disables, or incapacitates a transit worker while the
transit worker is performing the duties of the transit worker.
CDC means the Centers for Disease Control and Prevention of the
United States Department of Health and Human Services.
Chief Safety Officer means an adequately trained individual who has
responsibility for safety and reports directly to a transit agency's
chief executive officer, general manager, president, or equivalent
officer. A Chief Safety Officer may not serve in other operational or
maintenance capacities, unless the Chief Safety Officer is employed by
a transit agency that is a small public transportation provider as
defined in this part, or a public transportation provider that does not
operate a rail fixed guideway public transportation system.
Direct Recipient means an entity that receives Federal financial
assistance directly from the Federal Transit Administration.
Emergency means, as defined under 49 U.S.C. 5324, a natural
disaster affecting a wide area (such as a flood, hurricane, tidal wave,
earthquake, severe storm, or landslide) or a catastrophic failure from
any external cause, as a result of which the Governor of a State has
declared an emergency and the Secretary has concurred; or the President
has declared a major disaster under section 401 of the Robert T.
Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5170).
Equivalent entity means an entity that carries out duties similar
to that of a Board of Directors, for a recipient or subrecipient of FTA
funds under 49 U.S.C. chapter 53, including sufficient authority to
review and approve a recipient or subrecipient's Public Transportation
Agency Safety Plan.
FTA means the Federal Transit Administration, an operating
administration within the United States Department of Transportation.
Hazard means any real or potential condition that can cause injury,
illness, or death; damage to or loss of the facilities, equipment,
rolling stock, or infrastructure of a public transportation system; or
damage to the environment.
Investigation means the process of determining the causal and
contributing factors of a safety event or hazard, for the purpose of
preventing recurrence and mitigating safety risk.
Joint labor-management process means a formal approach to discuss
topics affecting transit workers and the public transportation system.
Large urbanized area provider means a recipient or subrecipient of
financial assistance under 49 U.S.C. 5307 that serves an urbanized area
with a population of 200,000 or more as determined by Census data.
National Public Transportation Safety Plan means the plan to
improve the safety of all public transportation systems that receive
Federal financial assistance under 49 U.S.C. chapter 53.
Near-miss means a narrowly avoided safety event.
Operator of a public transportation system means a provider of
public transportation.
Performance measure means an expression based on a quantifiable
indicator of performance or condition that is used to establish targets
and to assess progress toward meeting the established targets.
Performance target means a quantifiable level of performance or
condition, expressed as a value for the measure, to be achieved within
a time period required by FTA.
Potential Consequence means the effect of a hazard.
Public transportation means, as defined under 49 U.S.C. 5302,
regular, continuing shared-ride surface transportation services that
are open to the general public or open to a segment of the general
public defined by age, disability, or low income; and does not include:
(1) Intercity passenger rail transportation provided by the entity
described in 49 U.S.C. chapter 243 (or a successor to such entity);
(2) Intercity bus service;
(3) Charter bus service;
(4) School bus service;
(5) Sightseeing service;
(6) Courtesy shuttle service for patrons of one or more specific
establishments; or
(7) Intra-terminal or intra-facility shuttle services.
Public Transportation Agency Safety Plan means the documented
comprehensive agency safety plan for a transit agency that is required
by 49 U.S.C. 5329 and this part.
Rail fixed guideway public transportation system means any fixed
guideway system, or any such system in engineering or construction,
that uses rail, is operated for public transportation, is within the
jurisdiction of a State, and is not subject to the jurisdiction of the
Federal Railroad Administration. These include but are not limited to
rapid rail, heavy rail, light rail, monorail, trolley, inclined plane,
funicular, and automated guideway.
Rail transit agency means any entity that provides services on a
rail fixed guideway public transportation system.
Recipient means a State or local governmental authority, or any
other operator of a public transportation system, that receives
financial assistance under 49 U.S.C. chapter 53.
Roadway means land on which rail transit tracks and support
infrastructure have been constructed to support the movement of rail
transit vehicles, excluding station platforms.
Safety assurance means processes within a transit agency's Safety
Management System that functions to ensure the implementation and
effectiveness of safety risk mitigation, and to ensure that the transit
agency meets or exceeds its safety objectives through the collection,
analysis, and assessment of information.
Safety Committee means the formal joint labor-management committee
on issues related to safety that is required by 49 U.S.C. 5329 and this
part.
Safety event means an unexpected outcome resulting in injury or
death; damage to or loss of the facilities, equipment, rolling stock,
or infrastructure of a public transportation system; or damage to the
environment.
Safety Management Policy means a transit agency's documented
commitment to safety, which defines the transit agency's safety
objectives and the accountabilities and responsibilities for the
management of safety.
Safety Management System (SMS) means the formal, organization-wide
approach to managing safety risk and assuring the effectiveness of a
transit agency's safety risk mitigation. SMS includes systematic
procedures, practices, and policies for managing hazards and safety
risk.
Safety Management System (SMS) Executive means a Chief Safety
Officer or an equivalent.
Safety performance target means a Performance Target related to
safety management activities.
Safety Promotion means a combination of training and communication
of safety information to support SMS as applied to the transit agency's
public transportation system.
Safety risk means the composite of predicted severity and
likelihood of a potential consequence of a hazard.
[[Page 25348]]
Safety risk assessment means the formal activity whereby a transit
agency determines Safety Risk Management priorities by establishing the
significance or value of its safety risk.
Safety Risk Management means a process within a transit agency's
Public Transportation Agency Safety Plan for identifying hazards and
analyzing, assessing, and mitigating the safety risk of their potential
consequences.
Safety risk mitigation means a method or methods to eliminate or
reduce the severity and/or likelihood of a potential consequence of a
hazard.
Safety set aside means the allocation of not less than 0.75 percent
of assistance received by a large urbanized area provider under 49
U.S.C. 5307 to safety-related projects eligible under 49 U.S.C. 5307.
Small public transportation provider means a recipient or
subrecipient of Federal financial assistance under 49 U.S.C. 5307 that
has one hundred (100) or fewer vehicles in peak revenue service across
all non-rail fixed route modes or in any one non-fixed route mode and
does not operate a rail fixed guideway public transportation system.
State means a State of the United States, the District of Columbia,
Puerto Rico, the Northern Mariana Islands, Guam, American Samoa, and
the Virgin Islands.
State of good repair means the condition in which a capital asset
is able to operate at a full level of performance.
State Safety Oversight Agency means an agency established by a
State that meets the requirements and performs the functions specified
by 49 U.S.C. 5329(e) and (k) and the regulations set forth in 49 CFR
part 674.
Subrecipient means an entity that receives Federal transit grant
funds indirectly through a State or a direct recipient.
Transit agency means an operator of a public transportation system
that is a recipient or subrecipient of Federal financial assistance
under 49 U.S.C. 5307 or a rail transit agency.
Transit Asset Management Plan means the strategic and systematic
practice of procuring, operating, inspecting, maintaining,
rehabilitating, and replacing transit capital assets to manage their
performance, risks, and costs over their life cycles, for the purpose
of providing safe, cost-effective, and reliable public transportation,
as required by 49 U.S.C. 5326 and 49 CFR part 625.
Transit worker means any employee, contractor, or volunteer working
on behalf of the transit agency.
Urbanized area means, as defined under 49 U.S.C. 5302, an area
encompassing a population of 50,000 or more that has been defined and
designated in the most recent decennial census as an ``urbanized area''
by the Secretary of Commerce.
Subpart B--Safety Plans
Sec. 673.11 General requirements.
(a) A transit agency or State must establish a Public
Transportation Agency Safety Plan that meets the requirements of this
part and, at a minimum, consists of the following elements:
(1) The Public Transportation Agency Safety Plan, and subsequent
updates, must be signed by the Accountable Executive and approved by--
(i) For a large urbanized area provider, the Safety Committee
established pursuant to Sec. 673.19, followed by the transit agency's
Board of Directors or an equivalent entity; or
(ii) For all other transit agencies, the transit agency's Board of
Directors or an equivalent entity.
(2) The Public Transportation Agency Safety Plan must document the
processes and activities related to Safety Management System (SMS)
implementation, as required under subpart D of this part.
(3) The Public Transportation Agency Safety Plan must include
annual safety performance targets based on the safety performance
measures established under the National Public Transportation Safety
Plan. Safety performance targets for the safety risk reduction program
are only required for large urbanized area providers.
(4) The Public Transportation Agency Safety Plan must address all
applicable requirements and standards as set forth in FTA's Public
Transportation Safety Program and the National Public Transportation
Safety Plan. Compliance with the minimum safety performance standards
authorized under 49 U.S.C. 5329(b)(2)(C) is not required until
standards have been established through the public notice and comment
process.
(5) Each transit agency must establish a process and timeline for
conducting an annual review and update of the Public Transportation
Agency Safety Plan.
(6) A rail transit agency must include or incorporate by reference
in its Public Transportation Agency Safety Plan:
(i) An emergency preparedness and response plan or procedures that
addresses, at a minimum, the assignment of transit worker
responsibilities during an emergency; and coordination with Federal,
State, regional, and local officials with roles and responsibilities
for emergency preparedness and response in the transit agency's service
area;
(ii) Any policies and procedures regarding rail transit workers on
the roadway the rail transit agency has issued; and
(iii) The transit agency's policies and procedures developed in
consultation with the State Safety Oversight Agency to provide access
and required data for the State Safety Oversight Agency's risk-based
inspection program.
(7) The Public Transportation Agency Safety Plan of each large
urbanized area provider must include a safety risk reduction program
that meets the requirements of Sec. 673.20.
(b) A transit agency may develop one Public Transportation Agency
Safety Plan for all modes of service or may develop a Public
Transportation Agency Safety Plan for each mode of service not subject
to safety regulation by another Federal entity.
(c) A transit agency must maintain its Public Transportation Agency
Safety Plan in accordance with the recordkeeping requirements in
subpart E of this part.
(d) A State must draft and certify a Public Transportation Agency
Safety Plan on behalf of any small public transportation provider that
is located in that State. A State is not required to draft a Public
Transportation Agency Safety Plan for a small public transportation
provider if that transit agency notifies the State that it will draft
its own plan. In each instance, the transit agency must carry out the
plan. If a State drafts and certifies a Public Transportation Agency
Safety Plan on behalf of a transit agency, and the transit agency later
opts to draft and certify its own Public Transportation Agency Safety
Plan, then the transit agency must notify the State. The transit agency
has one year from the date of the notification to draft and certify a
Public Transportation Agency Safety Plan that is compliant with this
part. The Public Transportation Agency Safety Plan drafted by the State
will remain in effect until the transit agency drafts its own Public
Transportation Agency Safety Plan.
(e) Agencies that operate passenger ferries regulated by the United
States Coast Guard (USCG) or rail fixed guideway public transportation
service regulated by the Federal Railroad Administration (FRA) are not
required to develop Public Transportation Agency Safety Plans for those
modes of service.
[[Page 25349]]
Sec. 673.13 Certification of compliance.
(a) Each direct recipient, or State as authorized in Sec.
673.11(d), must certify that it has established a Public Transportation
Agency Safety Plan meeting the requirements of this part by the start
of operations. A direct recipient must certify that it and all
applicable subrecipients are in compliance with the requirements of
this part. A State Safety Oversight Agency must review and approve a
Public Transportation Agency Safety Plan developed by a rail fixed
guideway public transportation system, as authorized in 49 U.S.C.
5329(e) and its implementing regulations at 49 CFR part 674.
(b) On an annual basis, a direct recipient, or State must certify
its compliance with this part. A direct recipient must certify that it
and all applicable subrecipients are in compliance with the
requirements of this part.
Sec. 673.15 Coordination with metropolitan, statewide, and non-
metropolitan planning processes.
(a) A State or transit agency must make its safety performance
targets available to States and Metropolitan Planning Organizations to
aid in the planning process.
(b) To the maximum extent practicable, a State or transit agency
must coordinate with States and Metropolitan Planning Organizations in
the selection of State and MPO safety performance targets.
Sec. 673.17 Cooperation with frontline transit worker
representatives.
(a) Each large urbanized area provider must establish a Safety
Committee that meets the requirements of Sec. 673.19.
(b) Each transit agency that is not a large urbanized area provider
must--
(1) Develop its Public Transportation Agency Safety Plan, and
subsequent updates, in cooperation with frontline transit worker
representatives; and
(2) Include or incorporate by reference in its Public
Transportation Agency Safety Plan a description of how frontline
transit worker representatives cooperate in the development and update
of the Public Transportation Agency Safety Plan.
Subpart C--Safety Committee and Safety Risk Reduction Program
Sec. 673.19 Safety Committee.
(a) Establishing the Safety Committee. Each large urbanized area
provider must establish and operate a Safety Committee that is--
(1) Appropriately scaled to the size, scope, and complexity of the
transit agency; and
(2) Convened by a joint labor-management process.
(b) Safety Committee membership. The Safety Committee must consist
of an equal number of frontline transit worker representatives and
management representatives. To the extent practicable, the Safety
Committee must include frontline transit worker representatives from
major transit service functions, such as operations and maintenance,
across the transit system.
(1) The labor organization that represents the plurality of the
transit agency's frontline transit workers must select frontline
transit worker representatives for the Safety Committee.
(2) If the transit agency's frontline transit workers are not
represented by a labor organization, the transit agency must adopt a
mechanism for frontline transit workers to select frontline transit
worker representatives for the Safety Committee.
(c) Safety Committee procedures. Each large urbanized area provider
must include or incorporate by reference in its Public Transportation
Agency Safety Plan procedures regarding the composition,
responsibilities, and operations of the Safety Committee which, at a
minimum, must address:
(1) The organizational structure, size, and composition of the
Safety Committee and how it will be chaired;
(2) How meeting agendas will be developed, and how meeting minutes
will be recorded and maintained;
(3) Any required training for Safety Committee members related to
the transit agency's Public Transportation Agency Safety Plan and the
processes, activities, and tools used to support the transit agency's
SMS;
(4) How the Safety Committee will access technical experts,
including other transit workers, to serve in an advisory capacity as
needed; transit agency information, resources, and tools; and
submissions to the transit worker safety reporting program to support
its deliberations;
(5) How the Safety Committee will vote and record decisions;
(6) How the Safety Committee will coordinate with the transit
agency's Board of Directors, or equivalent entity, and the Accountable
Executive;
(7) How the Safety Committee will manage disputes and tie votes to
ensure it carries out its operations; and
(8) How the Safety Committee will carry out its responsibilities
identified in paragraph (d) of this section.
(d) Safety Committee responsibilities. The Safety Committee must
conduct the following activities to oversee the transit agency's safety
performance:
(1) Review and approve the transit agency's Public Transportation
Agency Safety Plan and any updates as required at Sec. 673.11(a);
(2) Set annual safety performance targets for the safety risk
reduction program that meet the requirements of Sec. 673.20(b); and
(3) Support operation of the transit agency's SMS by:
(i) Identifying and recommending safety risk mitigations necessary
to reduce the likelihood and severity of potential consequences
identified through the transit agency's safety risk assessment,
including safety risk mitigations associated with any instance where
the transit agency did not meet an annual safety performance target in
the safety risk reduction program;
(ii) Identifying safety risk mitigations that may be ineffective,
inappropriate, or were not implemented as intended, including safety
risk mitigations associated with any instance where the transit agency
did not meet an annual safety performance target in the safety risk
reduction program; and
(iii) Identifying safety deficiencies for purposes of continuous
improvement as required at Sec. 673.27(d), including any instance
where the transit agency did not meet an annual safety performance
target in the safety risk reduction program.
Sec. 673.20 Safety risk reduction program.
(a) Each large urbanized area provider must establish a safety risk
reduction program for transit operations to improve safety performance
by reducing the number and rates of safety events, injuries, and
assaults on transit workers.
(1) The safety risk reduction program must, at a minimum, address:
(i) Reduction of vehicular and pedestrian safety events involving
transit vehicles that includes consideration of safety risk mitigations
consistent with paragraph (a)(2) of this section; and
(ii) Reduction and mitigation of assaults on transit workers that
includes consideration of safety risk mitigations consistent with
paragraph (a)(3) of this section and implementation of safety risk
mitigations consistent with paragraph (a)(4) of this section.
(2) When carrying out the safety risk mitigation process under
Sec. 673.25(d) for risk relating to vehicular and pedestrian safety
events involving transit vehicles, each large urbanized area provider
must consider mitigations to reduce visibility impairments for transit
vehicle operators that contribute to accidents, such as retrofits to
vehicles in revenue
[[Page 25350]]
service and specifications for future procurements that reduce
visibility impairments.
(3) When carrying out the safety risk mitigation process under
Sec. 673.25(d) for risk relating to assaults on transit workers, each
large urbanized area provider must consider deployment of assault
mitigation infrastructure and technology on transit vehicles. Assault
mitigation infrastructure and technology includes barriers to restrict
the unwanted entry of individuals and objects into the workstations of
bus operators.
(4) When a Safety Committee recommends safety mitigations it has
determined would reduce assaults on transit workers and injuries to
transit workers based on a safety risk analysis conducted under Sec.
673.25(c), the transit agency must implement one or more of those
mitigations to reduce risk to an acceptable level, unless the
Accountable Executive determines the mitigation will not improve the
agency's overall safety performance.
(b) The Safety Committee of each large urbanized area provider must
establish annual safety performance targets for the safety risk
reduction program to reduce the number and rates of safety events,
injuries, and assaults on transit workers based on the safety
performance measures for the safety risk reduction program established
in the National Public Transportation Safety Plan. The targets must be
set--
(1) Based on a 3-year rolling average of the data submitted by the
large urbanized area provider to the National Transit Database (NTD);
and
(2) For all modes of public transportation.
(c) The Safety Committee of each large urbanized area provider is
required to set targets for the safety risk reduction program only
based on the level of detail the large urbanized area provider is
required to report to the NTD. The Safety Committee is not required to
set a target for a performance measure until the large urbanized area
provider has been required to report 3 years of data to the NTD
corresponding to such performance measure.
(d) A large urbanized area provider must monitor safety performance
against annual safety performance targets set for the safety risk
reduction program using the continuous improvement process established
under Sec. 673.27(d);
(e) A large urbanized area provider that does not meet an
established annual safety performance target set for the safety risk
reduction program must--
(1) Assess associated safety risk, using the methods or processes
established under Sec. 673.25(c).
(2) Mitigate associated safety risk based on the results of the
safety risk assessment using the methods or processes established under
Sec. 673.27(d)(1). These mitigations must be included in the plan
described in Sec. 673.27(d)(2).
(3) Allocate its safety set aside in the following fiscal year to
safety-related projects eligible under 49 U.S.C. 5307 that are
reasonably likely to assist the transit agency in meeting the
performance target in the future.
Subpart D--Safety Management Systems
Sec. 673.21 General requirements.
Each transit agency must establish and implement a Safety
Management System under this part. A transit agency Safety Management
System must be appropriately scaled to the size, scope and complexity
of the transit agency and include the following elements:
(a) Safety Management Policy as described in Sec. 673.23;
(b) Safety Risk Management as described in Sec. 673.25;
(c) Safety assurance as described in Sec. 673.27; and
(d) Safety Promotion as described in Sec. 673.29.
Sec. 673.23 Safety Management Policy.
(a) A transit agency must establish its organizational
accountabilities and responsibilities and have a written statement of
Safety Management Policy that includes the transit agency's safety
objectives and a description of the transit agency's Safety Committee
or approach to cooperation with frontline transit worker
representatives.
(b) A transit agency must establish and implement a process that
allows transit workers to report safety concerns, including assaults on
transit workers, near-misses, and unsafe acts and conditions to senior
management, includes protections for transit workers who report, and
includes a description of transit worker behaviors that may result in
disciplinary action.
(c) The Safety Management Policy must be communicated throughout
the transit agency's organization.
(d) The transit agency must establish the necessary authorities,
accountabilities, and responsibilities for the management of safety
amongst the following individuals or groups within its organization, as
they relate to the development and management of the transit agency's
SMS:
(1) Accountable Executive. The transit agency must identify an
Accountable Executive. The Accountable Executive is accountable for
ensuring that the transit agency's SMS is effectively implemented
throughout the transit agency's public transportation system. The
Accountable Executive is accountable for ensuring action is taken, as
necessary, to address substandard performance in the transit agency's
SMS. The Accountable Executive receives and considers recommendations
for safety risk mitigations from the Safety Committee, as described in
Sec. Sec. 673.19(d) and 673.20(a)(4). The Accountable Executive may
delegate specific responsibilities, but the ultimate accountability for
the transit agency's safety performance cannot be delegated and always
rests with the Accountable Executive.
(2) Chief Safety Officer or Safety Management System (SMS)
Executive. The Accountable Executive must designate a Chief Safety
Officer or SMS Executive who has the authority and responsibility for
day-to-day implementation and operation of a transit agency's SMS. The
Chief Safety Officer or SMS Executive must hold a direct line of
reporting to the Accountable Executive. A transit agency may allow the
Accountable Executive to also serve as the Chief Safety Officer or SMS
Executive.
(3) Safety Committee. A large urbanized area provider must
establish a joint labor-management Safety Committee that meets the
requirements of Sec. 673.19.
(4) Transit agency leadership and executive management. A transit
agency must identify those members of its leadership or executive
management, other than an Accountable Executive, Chief Safety Officer,
or SMS Executive, who have authorities or responsibilities for day-to-
day implementation and operation of a transit agency's SMS.
(5) Key staff. A transit agency may designate key staff, groups of
staff, or committees to support the Accountable Executive, Chief Safety
Officer, Safety Committee, or SMS Executive in developing,
implementing, and operating the transit agency's SMS.
Sec. 673.25 Safety Risk Management.
(a) Safety Risk Management process. A transit agency must develop
and implement a Safety Risk Management process for all elements of its
public transportation system. The Safety Risk Management process must
be comprised of the following activities: Safety hazard identification,
safety risk assessment, and safety risk mitigation.
(b) Safety hazard identification. (1) A transit agency must
establish methods
[[Page 25351]]
or processes to identify hazards and potential consequences of the
hazards.
(2) A transit agency must consider, as a source for hazard
identification:
(i) Data and information provided by an oversight authority,
including but not limited to FTA, the State, or as applicable, the
State Safety Oversight Agency having jurisdiction;
(ii) Data and information regarding exposure to infectious disease
provided by the CDC or a State health authority; and
(iii) Safety concerns identified through Safety Assurance
activities carried out under Sec. 673.27.
(c) Safety risk assessment. (1) A transit agency must establish
methods or processes to assess the safety risk associated with
identified safety hazards.
(2) A safety risk assessment includes an assessment of the
likelihood and severity of the potential consequences of identified
hazards, taking into account existing safety risk mitigations, to
determine if safety risk mitigation is necessary and to inform
prioritization of safety risk mitigations.
(d) Safety risk mitigation. (1) A transit agency must establish
methods or processes to identify safety risk mitigations or strategies
necessary as a result of the transit agency's safety risk assessment to
reduce the likelihood and severity of the potential consequences. For
large urbanized area providers, these methods or processes must address
the role of the transit agency's Safety Committee.
(2) A transit agency must consider, as a source for safety risk
mitigation:
(i) Guidance provided by an oversight authority, if applicable, and
FTA; and
(ii) Guidelines to prevent or control exposure to infectious
diseases provided by the CDC or a State health authority.
Sec. 673.27 Safety assurance.
(a) Safety assurance process. A transit agency must develop and
implement a safety assurance process, consistent with this subpart. A
rail fixed guideway public transportation system, and a recipient or
subrecipient of Federal financial assistance under 49 U.S.C. chapter 53
that operates more than one hundred vehicles in peak revenue service,
must include in its safety assurance process each of the requirements
in paragraphs (b), (c), and (d) of this section. A small public
transportation provider only must include in its safety assurance
process the requirements in paragraphs (b) and (d) of this section.
(b) Safety performance monitoring and measurement. A transit agency
must establish activities to:
(1) Monitor its system for compliance with, and sufficiency of, the
transit agency's procedures for operations and maintenance;
(2) Monitor its operations to identify any safety risk mitigations
that may be ineffective, inappropriate, or were not implemented as
intended. For large urbanized area providers, these activities must
address the role of the transit agency's Safety Committee;
(3) Conduct investigations of safety events to identify causal
factors; and
(4) Monitor information reported through any internal safety
reporting programs.
(c) Management of change. (1) A transit agency must establish a
process for identifying and assessing changes that may introduce new
hazards or impact the transit agency's safety performance.
(2) If a transit agency determines that a change may impact its
safety performance, then the transit agency must evaluate the proposed
change through its safety risk management process.
(d) Continuous improvement. (1) A transit agency must establish a
process to assess its safety performance annually.
(i) This process must include the identification of deficiencies in
the transit agency's SMS and deficiencies in the transit agency's
performance against safety performance targets required in Sec.
673.11(a)(3).
(ii) For large urbanized area providers, this process must also
address the role of the transit agency's Safety Committee and include
the identification of deficiencies in the transit agency's performance
against annual safety performance targets set for the safety risk
reduction program required under Sec. 673.20(b).
(iii) Rail transit agencies must also address any specific internal
safety review requirements established by their State Safety Oversight
Agency.
(2) A transit agency must develop and carry out, under the
direction of the Accountable Executive, a plan to address any
deficiencies identified through the safety performance assessment
described paragraph (d)(1) of this section.
Sec. 673.29 Safety Promotion.
(a) Competencies and training. (1) A transit agency must establish
and implement a comprehensive safety training program that includes de-
escalation training, safety concern identification and reporting
training, and refresher training for all operations transit workers and
transit workers directly responsible for safety in the transit agency's
public transportation system. The training program must include
refresher training, as necessary.
(2) Large urbanized area providers must include maintenance transit
workers in the safety training program.
(b) Safety communication. A transit agency must communicate safety
and safety performance information throughout the transit agency's
organization that, at a minimum, conveys information on hazards and
safety risk relevant to transit workers' roles and responsibilities and
informs transit workers of safety actions taken in response to reports
submitted through a transit worker safety reporting program. A transit
agency must also communicate the results of cooperation with frontline
transit worker representatives as described at Sec. 673.17(b) or the
Safety Committee activities described in Sec. 673.19.
Subpart E--Safety Plan Documentation and Recordkeeping
Sec. 673.31 Safety plan documentation.
At all times, a transit agency must maintain documents that set
forth its Public Transportation Agency Safety Plan, including those
related to the implementation of its SMS, and results from SMS
processes and activities. A transit agency must maintain documents that
are included in whole, or by reference, that describe the programs,
policies, and procedures that the transit agency uses to carry out its
Public Transportation Agency Safety Plan. These documents must be made
available upon request by FTA or other Federal entity, or a State or
State Safety Oversight Agency having jurisdiction. A transit agency
must maintain these documents for a minimum of three years after they
are created.
[FR Doc. 2023-08777 Filed 4-25-23; 8:45 am]
BILLING CODE 4910-57-P
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</html>Indexed from Federal Register on April 26, 2023.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.