PTASP NPRM PDF Published April 26 2023

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Issued in Washington, DC, on April 20,
2023, under authority delegated in 49 CFR
part 1.97.
William S. Schoonover,
Associate Administrator of Hazardous
Materials Safety, Pipeline and Hazardous
Materials Safety Administration.
[FR Doc. 2023–08724 Filed 4–25–23; 8:45 am]
BILLING CODE 4910–60–P

DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
49 CFR Part 673
[Docket No. FTA–2023–0007]
RIN 2132–AB44

Public Transportation Agency Safety
Plans
Federal Transit Administration
(FTA), Department of Transportation
(DOT).
ACTION: Notice of Proposed Rulemaking
(NPRM).
AGENCY:

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:
• Federal eRulemaking Portal:
https://www.regulations.gov. Follow the
instructions for sending comments.
• Fax: (202) 493–2251.
• 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.
• 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.

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SUMMARY:

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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 https://
www.regulations.gov, 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 https://
www.regulations.gov. 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 stewart.mader@
dot.gov. For legal matters, contact
Heather Ueyama, Office of Chief
Counsel, (202) 366–7374 or
[email protected].
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

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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.
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.
1 Available at: https://www.transportation.gov/
regulations/memorandum-secretarial-officers-andheads-operating-administrations.

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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:
• 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:
Æ 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));
Æ 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));
Æ Identifying and recommending riskbased 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));
Æ 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
Æ Identifying safety deficiencies for
purposes of continuous improvement
(49 U.S.C. 5329(d)(5)(A)(iii)(III)).
• 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:
Æ A reduction of vehicular and
pedestrian accidents involving buses
that includes measures to reduce
visibility impairments for bus operators

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that contribute to accidents, including
retrofits to buses in revenue service and
specifications for future procurements
that reduce visibility impairments; and
Æ 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)).
• Allocate not less than 0.75 percent
of its section 5307 funds to safetyrelated 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:
Æ 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)).
• Ensure the agency’s comprehensive
staff training program includes
maintenance personnel and deescalation 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 CloseCall/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:
• Have transit agencies offered transit
workers methods to submit confidential
reports of near-misses or safety
concerns?

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Æ If so, please share a brief summary
of such methods, including how transit
agencies ensure reports are submitted
confidentially.
Æ How many reports do such
programs receive annually?
Æ How has this reporting improved or
not improved transit agencies’ ability to
manage safety risk?
Æ 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?
Æ What has been the annual cost of
operating such programs?
• Have transit agencies participated
in a close-call or near-miss reporting
program facilitated by a third party to
protect the confidentiality of reporters?
Æ 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.
Æ How many reports do transit
agencies receive annually?
Æ How has this participation
improved or not improved transit
agencies’ ability to manage safety risk?
Æ What are the annual estimated costs
for participation in such programs?
• 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:
• Replace the term ‘‘risk’’ with
‘‘safety risk,’’
• Replace the term ‘‘mitigation’’ with
‘‘safety risk mitigation,’’ and

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• 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.

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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.
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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

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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

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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.

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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

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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 nonvoting 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

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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

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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 nonexclusive 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

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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 3year 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

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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.

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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

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25341

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

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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.

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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 labormanagement 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.

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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 deescalation 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

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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 deescalation 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 deescalation 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.
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.

TABLE 1—STAFF AND HOURS NEEDED TO MEET ADMINISTRATIVE AND REPORTING REQUIREMENTS
Requirement

Affected entities

Staff

First-year
hours

Annual
hours

De-escalation training ...........................................
Continuous improvement processes ....................

12,000 frontline employees (5% of 240,000 as of June 2022)
572 small public transit providers .............................................

Safety committee with frontline worker representatives.

428 agencies in large UZAs .....................................................

Risk reduction program .........................................

428 agencies in large UZAs .....................................................

Frontline worker involvement with agency safety
plans.

270 agencies in small UZAs ....................................................

Frontline personnel .........
Chief Safety Officer ........
Safety manager ..............
HR manager ...................
Safety manager ..............
Union representative ......
Operations manager .......
Maintenance manager ....
Frontline representative ..
Chief Safety Officer ........
Safety manager ..............
Data analyst ...................
Chief Safety Officer ........
Safety manager ..............

2
1
1
24
24
24
..................
..................
..................
1
1
..................
..................
4

0.25
4
8
..............
21
..............
21
21
63
1
2
8
2
2

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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

2 Transportation Security Administration (January
31, 2021). ‘‘Security Directive SD 1582/84–21–01.’’
https://www.tsa.gov/sites/default/files/sd-1582_8421-01.pdf.
3 Transportation Security Administration (April
18, 2022). ‘‘Statement regarding face mask use on
public transportation.’’ https://www.tsa.gov/news/

press/statements/2022/04/18/statement-regardingface-mask-use-public-transportation.
4 Federal Transit Administration (August 2022).
‘‘FTA-Sponsored Training Courses.’’ https://
www.transit.dot.gov/regulations-and-guidance/
safety/fta-sponsored-training-courses.
5 Federal Transit Administration. February 17,
2022. ‘‘Dear Colleague Letter: Bipartisan

Infrastructure Law Changes to PTASP
Requirements.’’ https://www.transit.dot.gov/safety/
public-transportation-agency-safety-program/dearcolleague-letter-bipartisan-infrastructure.
6 Bureau of Labor Statistics. 2022. ‘‘May 2021
National Occupational Employment and Wage
Estimates: United States.’’ https://www.bls.gov/oes/
2021/may/oes_nat.htm.

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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

TABLE 2—OCCUPATIONAL CATEGORIES AND WAGES USED TO VALUE STAFF TIME
[$2021]
Staff

Occupational category

Code

HR manager ........................................
Safety manager ...................................
Union representative ...........................
Chief Safety Officer .............................
Data analyst ........................................
Frontline worker ...................................
Operations manager ............................
Maintenance manager .........................

Human Resources Managers ............................................
Occupational Health and Safety Specialists .....................
Occupational Health and Safety Specialists .....................
Health and Safety Engineers .............................................
Operations Research Analysts ..........................................
Transportation and Material Moving Occupations .............
General and Operations Manager .....................................
Facilities Managers ............................................................

11–3121
19–5011
19–5011
17–2111
15–2031
53–0000
11–1021
11–3013

Median
hourly wage

Wage with
benefits

$45.64
37.29
37.29
49.21
57.71
22.10
45.60
43.88

$73.77
60.27
60.27
79.54
93.27
35.72
73.70
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
costs

Requirement

Annual costs

De-escalation training ..............................................................................................................................................
Continuous improvement processes .......................................................................................................................
Safety committee with frontline worker representatives ..........................................................................................
Risk reduction program ...........................................................................................................................................
Frontline worker involvement with agency safety plans ..........................................................................................

$868,000
76,000
1,374,000
58,000
45,000

$2,171,000
433,000
2,084,000
195,000
52,000

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 tenyear 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]
Item

Total

Annualized
(7%)

Annualized
(3%)

Benefits ........................................................................................................................................
Costs:
De-escalation training ..................................................................................................................
Continuous improvement processes ...........................................................................................
Safety committee with frontline worker representatives ..............................................................
Risk reduction program ...............................................................................................................
Frontline worker involvement with agency safety plans ..............................................................

Unquantified

........................

........................

$20,403,000
3,970,000
20,132,000
1,810,000
512,000

$1,417,000
273,000
1,411,000
125,000
36,000

$1,677,000
325,000
1,662,000
149,000
42,000

46,827,000
Unquantified

3,263,000
........................

3,855,000
........................

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Total costs ............................................................................................................................
Net benefits ..........................................................................................................................
Totals may not sum due to rounding.

7 Multiplier derived using Bureau of Labor
Statistics data on employer costs for employee
compensation for June 2022 (https://www.bls.gov/

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news.release/archives/ecec_09202022.pdf).
Employer costs for state and local government
workers averaged $55.47 an hour, with $34.23 for

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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.

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Federal Register / Vol. 88, No. 80 / Wednesday, April 26, 2023 / Proposed Rules
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.

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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.

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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

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25345

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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Federal Register / Vol. 88, No. 80 / Wednesday, April 26, 2023 / Proposed Rules

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.

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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) (https://www.transportation.gov/
transportation-policy/environmentaljustice/department-transportationorder-56102a) 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

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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
(https://www.transit.dot.gov/
regulations-and-guidance/fta-circulars/
environmental-justice-policy-guidancefederal-transit).
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
673.3
673.5

Applicability.
Policy.
Definitions.

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.

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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
§ 673.1

Sfmt 4702

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.
§ 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.
§ 673.5

Subpart B—Safety Plans

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Subpart C—Safety Committee and Safety
Risk Reduction Program
673.19 Safety Committee.
673.20 Safety risk reduction program.

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

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Federal Register / Vol. 88, No. 80 / Wednesday, April 26, 2023 / Proposed Rules
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

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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

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25347

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.

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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.

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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
§ 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 § 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,

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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 riskbased 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 § 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.

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§ 673.13

Certification of compliance.

(a) Each direct recipient, or State as
authorized in § 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.
§ 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.
§ 673.17 Cooperation with frontline transit
worker representatives.

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(a) Each large urbanized area provider
must establish a Safety Committee that
meets the requirements of § 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
§ 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

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(2) Convened by a joint labormanagement 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

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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 § 673.11(a);
(2) Set annual safety performance
targets for the safety risk reduction
program that meet the requirements of
§ 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 § 673.27(d), including any
instance where the transit agency did
not meet an annual safety performance
target in the safety risk reduction
program.
§ 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 § 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

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service and specifications for future
procurements that reduce visibility
impairments.
(3) When carrying out the safety risk
mitigation process under § 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 § 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
§ 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—

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(1) Assess associated safety risk, using
the methods or processes established
under § 673.25(c).
(2) Mitigate associated safety risk
based on the results of the safety risk
assessment using the methods or
processes established under
§ 673.27(d)(1). These mitigations must
be included in the plan described in
§ 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
§ 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 § 673.23;
(b) Safety Risk Management as
described in § 673.25;
(c) Safety assurance as described in
§ 673.27; and
(d) Safety Promotion as described in
§ 673.29.
§ 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

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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 §§ 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 § 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.
§ 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

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Federal Register / Vol. 88, No. 80 / Wednesday, April 26, 2023 / Proposed Rules
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 § 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.

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§ 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:

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(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
§ 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
§ 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.
§ 673.29

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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 § 673.17(b) or the Safety
Committee activities described in
§ 673.19.
Subpart E—Safety Plan Documentation
and Recordkeeping
§ 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

DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric
Administration
50 CFR Part 648
[Docket No. 230419–0105]

Safety Promotion.

(a) Competencies and training. (1) A
transit agency must establish and
implement a comprehensive safety
training program that includes deescalation training, safety concern
identification and reporting training,
and refresher training for all operations
transit workers and transit workers
directly responsible for safety in the

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RIN 0648–BM06

Fisheries of the Northeastern United
States; Monkfish; Framework
Adjustment 13
National Marine Fisheries
Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA),
Commerce.

AGENCY:

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