[Federal Register Volume 80, Number 157 (Friday, August 14, 2015)]
[Proposed Rules]
[Pages 48794-48803]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-20021]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration

49 CFR Part 670

[Docket No. FTA-2015-0009]
RIN 2132-AB22


Public Transportation Safety Program

AGENCY: Federal Transit Administration (FTA), U.S. Department of 
Transportation (DOT).

ACTION: Notice of Proposed Rulemaking (NPRM); request for comments.

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SUMMARY: The Federal Transit Administration seeks public comment on a 
proposed rule to establish a Public Transportation Safety Program to 
strengthen the safety of public transportation systems throughout the 
United States, based on the principles and practices of Safety 
Management Systems.

DATES: Comments must be received by October 13, 2015. Any comments 
filed after this deadline will be considered to the extent practicable.

ADDRESSES: Please submit your comments by only one of the following 
methods, identifying your submission by Docket Number FTA-2015-0009 or 
RIN number 2132-AB22.
     Federal Rulemaking Portal: Submit electronic comments and 
other data to http://www.regulations.gov.
     U.S. Mail: Send comments to Docket Operations; U.S. 
Department of Transportation, 1200 New Jersey Avenue SE., West Building 
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery or Courier: Take comments to Docket 
Operations in Room W12-140 of the West Building, Ground Floor, at 1200 
New Jersey Avenue SE., Washington, DC 20590-0001, between 9:00 a.m. and 
5:00 p.m., Monday through Friday, except Federal holidays.
     Fax: Fax comments to Docket Operations, U.S. Department of 
Transportation, at (202) 493-2251.
    Instructions: You must include the agency name (Federal Transit 
Administration) and Docket Number FTA-2015-0009 for this notice or RIN 
2132-AB22, at the beginning of your comments. If sent by mail, submit 
two copies of your comments. Due to security procedures in effect since 
October 2001, mail received through the U.S. Postal Service may be 
subject to delays. Parties submitting comments should consider using an 
express mail form to ensure their prompt filing of any submissions not 
filed electronically or by hand. If you wish to receive confirmation 
that FTA received your comments, you must include a self-addressed 
stamped postcard. All comments received will be posted without change 
to http://www.regulations.gov, including any personal information 
provided. You may review U.S. DOT's complete Privacy Act Statement 
published in the Federal Register on April 11, 2000, at 65 FR 19477-8 
or http://DocketsInfo.dot.gov.

FOR FURTHER INFORMATION CONTACT: For program matters, contact Lynn 
Everett, Office of Transit Safety and Oversight, (202) 366-2410 or 
[email protected]. For legal matters, contact Candace Key, Office of 
Chief Counsel, (202)366-1936 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. Legal Authority
    C. Summary of Major Provisions
    D. Costs and Benefits
II. The Public Transportation Safety Program
    A. Background
    B. The Relationship Between Safety and Transit Asset Management
    C. The State of Public Transportation Safety
    D. The Safety Management Systems (SMS) Approach
    E. Components of the Public Transportation Safety Program
III. Benefit-Cost Analysis
IV. Section-by-Section Analysis
V. Regulatory Analyses and Notices

I. Executive Summary

A. Purpose of Regulatory Action

    Every day, millions of passengers take some form of public 
transportation to get to or from work, shopping, classes, or other 
destinations. While the safety performance of the public transportation 
industry remains strong, recent accidents, including several 
investigated by the National Transportation Safety Board (NTSB), have 
demonstrated weaknesses in the safety performance of critical systems, 
equipment, procedures, management systems and oversight.
    In the Moving Ahead for Progress in the 21st Century Act (MAP-21, 
Pub. L. 112-141 (2012)), Congress directed FTA to establish a 
comprehensive Public Transportation Safety Program to strengthen the 
safety performance of the public transportation industry. 49 U.S.C. 
5329. Today's NPRM carries out explicit statutory mandates to meet this 
objective. The proposed rule would adopt Safety Management Systems 
(SMS) as the basis for FTA's new Public Transportation Safety Program. 
To ensure consistency in the implementation of this new program, 
today's NPRM would establish the framework for the Secretary's 
authority, delegated to FTA Administrator,\1\ to monitor, oversee, and 
enforce safety in the public transportation industry.
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    \1\ 49 CFR 1.91(a).
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    Today's NPRM also explains the relationship between the Public 
Transportation Safety Program and the National Public Transportation 
Safety Plan. The National Public Transportation Safety Plan (National 
Safety Plan) will be FTA's primary tool

[[Page 48795]]

for communicating safety performance information and safety guidance to 
the public transportation industry. Although the National Safety Plan 
is not a rulemaking, it will be subject to public notice and comment.

B. Legal Authority

    Under 49 U.S.C. 5329 (Section 5329), FTA is obliged to create a 
comprehensive program for safety in public transportation, comprised of 
a National Public Transportation Safety Plan; a training and 
certification program for Federal, State, and local transportation 
agency employees with safety oversight responsibilities; public 
transportation agency safety plans; a strengthened State Safety 
Oversight (SSO) program; and a new framework for Federal enforcement 
and investigative authorities to directly oversee the safety of the 
public transportation industry.
    In addition, Section 5329 incorporates certain principles and tools 
associated with SMS into FTA's regulatory framework for public 
transportation safety. For example, Section 5329 establishes a 
performance management framework that includes: the use of safety 
performance criteria and safety targets to monitor program 
implementation and effectiveness; requirements for executives and 
boards to be accountable to hire qualified safety managers as direct 
reports and, annually, to certify safety plans; and requirements for 
comprehensive staff safety training programs. Also, Section 5329 calls 
for the collection of information on safety risk management methods and 
safety assurance strategies to minimize the exposure of the public, 
transit agency personnel, and property to safety hazards and unsafe 
conditions.
    The statute also vests the Secretary of Transportation and his 
designee, the FTA Administrator, with explicit authorities to carry out 
the Public Transportation Safety Program and to take enforcement 
actions. For example, Section 5329(f) provides the Administrator with 
the authority to inspect and audit all public transportation systems; 
make reports and issue directives with respect to the safety of public 
transportation systems; issue subpoenas and take depositions; require 
the production of documents; prescribe recordkeeping and reporting 
requirements; investigate public transportation accidents and 
incidents; enter and inspect equipment, rolling stock, operations and 
relevant records; and issue regulations to carry out Section 5329. 
Section 5329(g) authorizes the Administrator to take enforcement 
actions against recipients that are noncompliant with Federal transit 
safety law. The Administrator may further issue directives, require 
more frequent oversight, impose more frequent reporting requirements, 
require that formula grant funds be spent to correct safety 
deficiencies before funds are spent on other projects, and withhold 
funds from a recipient.

C. Summary of Major Provisions

    The proposed rule would add a new part 670, ``Public Transportation 
Safety Program,'' to title 49 of the Code of Federal Regulations. The 
proposed rule includes the following elements: (1) Formal adoption of 
SMS as the foundation for FTA's safety oversight and regulatory 
approach; (2) procedures under the Administrator's authority to conduct 
inspections, investigations, audits, examinations, testing of 
equipment, facilities, rolling stock and operations of a public 
transportation system; (3) procedures under the Administrator's 
authority to take appropriate enforcement actions, including directing 
the use or withholding of funds, and issuing directives and advisories; 
and (4) describes statutory and proposed contents of the National 
Safety Plan.

D. Costs and Benefits

    The proposed rule outlines FTA's authority to inspect, investigate, 
audit, examine and test transit agencies' facilities, equipment, safety 
processes and events as and when needed, direct or withhold Federal 
transit funds, and issue directives and advisories. FTA does not 
believe that the proposed rule imposes additional costs to entities 
other than FTA. FTA believes that costs to recipients associated with 
FTA's aforementioned authorities are captured in the rulemakings for 
Public Transportation Agency Safety Plans, State Safety Oversight, and 
the Public Transportation Safety Certification Training Program. FTA 
seeks comment on the cost assumptions herein.

II. The Public Transportation Safety Program

A. Background

    Historically, public transportation has been one of the safest 
means of transportation. Today, however, the transit industry is facing 
increased pressures at a time when ridership is growing, demand is 
increasing, infrastructure is aging, and large numbers of the workforce 
are retiring. Calendar year 2013 marked the highest ridership level for 
transit since 1956, with the number of trips exceeding 10 billion for 
the seventh year in a row--and there is reason to believe that this is 
the beginning of a sustained period of growing demand for public 
transportation.\2\
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    \2\ 2013 Status of the Nation's Highways, Bridges, and Transit: 
Conditions and Performance available at http://www.fhwa.dot.gov/policy/2013cpr/overviews.htm#2t.
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    In recent years, the U.S. DOT, the U.S. Government Accountability 
Office (GAO), and FTA have conducted a number of studies, audits, and 
reviews highlighting these challenges and their potential impacts on 
safety and the reliability of public transportation operations. Most 
notably, in two different reviews,\3\ the GAO has documented weaknesses 
in Federal authority, training, and funding for the State Safety 
Oversight (SSO) program. These limitations have impacted the ability of 
FTA and the State Safety Oversight Agencies (SSOA) to address the 
safety consequences of aging infrastructure, budgetary restrictions, 
and rapidly growing ridership on rail transit systems.
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    \3\ The GAO report Rail Transit: Observations on FTA's State 
Safety Oversight Program and Potential Change in its Oversight Role, 
December 10, 2009 is available at http://www.gao.gov/assets/130/123884.pdf. The GAO Report Public Transit: Federal and Transit 
Agencies Taking Steps to Build Transit Resilience, but Face 
Challenges, December 10, 2014 is available at http://www.gao.gov/assets/670/667391.pdf.
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    To help inform FTA in developing a strategic regulatory approach to 
implementing the new requirements of MAP-21, FTA issued an Advance 
Notice of Proposed Rulemaking (ANPRM), addressing new requirements for 
both transit asset management and safety. 78 FR 61251 (October 3, 
2013).\4\ The ANPRM sought comments on 123 questions related to FTA's 
initial ideas for how to implement the requirements of Sections 5326 
and 5329, our understanding of the nexus between safety, transit asset 
management, and state of good repair, and FTA's initial concept for 
applying SMS to the transit industry. FTA will respond to the comments 
received on the ANPRM in the respective rulemakings for each topic and 
the National Public Transportation Safety Plan.
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    \4\ The ANPRM is available at http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-23921.pdf.).
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B. The Relationship Between Safety and Transit Asset Management

    Since the mid-2000s, FTA safety studies and audits have documented 
how dramatically increasing ridership leads to greater operational and 
maintenance demands on public transportation systems which can have 
safety impacts, if not managed vigilantly. FTA's research has shown

[[Page 48796]]

that the safety and performance of a public transportation system 
depends, in part, on the condition of its assets. Insufficient funding 
combined with inadequate asset management practices have contributed to 
an estimated $85.9 billion transit state of good repair (SGR) 
backlog.\5\ The public transportation industry does not have these 
funds currently available, nor can it address annual expenditures of 
over $2.5 billion required to prevent the SGR backlog from growing. As 
a result, many transit agencies are struggling to balance requirements 
for service with maintenance and safety.
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    \5\ 2013 Status of the Nation's Highways, Bridges, and Transit: 
Conditions and Performance available at http://www.fhwa.dot.gov/policy/2013cpr/overviews.htm#2t.
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    It must be emphasized that, in enacting MAP-21, Congress recognized 
the critical relationship between safety and transit asset 
management.\6\ We note, in particular, the congressional direction that 
the National Public Transportation Safety Plan include the definition 
of state of good repair set in the rulemaking for asset management (49 
U.S.C. 5329(b)(2)(B)). Furthermore, pursuant to 49 U.S.C. 
5329(d)(1)(E), transit agencies must set safety performance targets for 
state of good repair based on the state of good repair standards 
established under the National Public Transportation Safety Plan.
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    \6\ For a thorough history of the events and circumstances 
leading to the enactment of the broad safety authority now vested in 
FTA through the enactment of MAP-21, readers should please review 
the preamble to FTA's Notice of Proposed Rulemaking for State Safety 
Oversight (SSO) issued on February 27, 2015. 80 FR 11002-30. The 
NPRM for State Safety Oversight also explains the context for FTA's 
introduction of Safety Management Systems to public transportation.
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C. The State of Public Transportation Safety

    The October 2013 ANPRM included a discussion of major findings and 
considerations resulting from several high-profile accidents. Since the 
publication of the ANPRM, there have been four additional public 
transportation safety accidents of particular note that continue to 
highlight the need for comprehensive Federal oversight of public 
transportation safety. Following is a brief overview of these 
accidents:
     On September 30, 2013, an unoccupied Chicago Transit 
Authority (CTA) train consisting of four cars collided with a CTA train 
in revenue service that was stopped at the Harlem Station on the Blue 
Line. There were approximately 40 passengers on the in-service CTA 
train. CTA reported that 33 passengers were transported to three local 
hospitals. There were no fatalities.
     Shortly after midnight on October 6, 2013, in a work zone 
on the Washington Metropolitan Area Transit Authority's Red Line 
underground track, contractors and WMATA employees were performing rail 
renewal, a process that involves removing old sections of rail, 
installing new sections of rail and related activity such as welding 
and grinding. A fire and loud noise occurred during flash butt welding 
operations. Workers using a handheld extinguisher put the fire out but 
the smoke forced an evacuation from the work zone. During the 
evacuation, a 40-foot piece of rail came loose from the equipment that 
was supporting it, and struck three evacuating workers, killing a 
contractor and seriously injuring two WMATA employees.
     On October 19, 2013, two Bay Area Rapid Transit (BART) 
workers were struck and killed by a train while inspecting track. This 
accident occurred during a strike when BART was not providing passenger 
service but non-revenue train movements were occurring on the system. 
According to the National Transportation Safety Board (NTSB),\7\ at the 
time of the accident, a trainee was operating the BART train under the 
supervision of a training supervisor. The train was traveling at least 
60 mph before the collision. The workers accessed the rail right-of-way 
(ROW) under a standard procedure known as ``simple approval,'' which 
required workers to notify BART's operations control center when they 
planned to work on or near the tracks. There were no other protections 
in place to safeguard the workers. As a result of preliminary findings 
from this investigation, the California Public Utilities Commission 
issued General Order 175, which contains new standards for Roadway 
Worker Protection programs at rail transit agencies in California.
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    \7\ NTSB Railroad Accident Brief ``Bay Area Rapid Transit Train 
963 Struck Roadway Workers,'' April 13, 2015, available at http://www.ntsb.gov/investigations/AccidentReports/Reports/RAB1503.pdf.
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     On January 12, 2015, a Washington Metropolitan Area 
Transit Authority (WMATA) Metrorail train stopped after encountering an 
accumulation of heavy smoke while traveling southbound in a tunnel 
between the L'Enfant Plaza Station and the Potomac River Bridge. After 
stopping, the rear car of the train was about 386 feet from the south 
end of the L'Enfant Plaza Station platform. A following train, stopped 
at the L'Enfant Plaza Station at about 3:25 p.m., was also affected by 
the heavy smoke. This train stopped about 100 feet short of the south 
end of the platform. Passengers on both trains, as well as passengers 
on the station platforms, were exposed to the heavy smoke. As a result 
of the smoke, 86 passengers were transported to local medical 
facilities for treatment. There was one passenger fatality. Initial 
reports suggest that electric arcing caused by the subpar condition of 
insulators within the Metrorail system may have contributed to the 
fire.
    FTA has used its expanded authority at 49 U.S.C. 5329(f) to address 
some of the underlying causes of each of these incidents. For example, 
on October 4, 2013, FTA issued a safety advisory following the CTA 
unoccupied train incident, requesting that rail transit operators 
immediately review their operating practices and attend to the NTSB's 
recommendation to utilize redundant train stopping mechanisms such as 
wheel chocks and/or derails. In a second advisory, issued June 12, 
2014, FTA alerted rail transit operators of the need to assess the 
adequacy of safe stopping distances for rail transit in emergency 
braking in terminal stations. The advisory also requested action from 
SSOAs designated to implement FTA's SSO program as specified by 49 CFR 
part 659 and 49 U.S.C. 5329(e).\8\
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    \8\ Both the NTSB recommendation and FTA's advisories are 
available on FTA's Web site here http://www.fta.dot.gov/newsroom/12910_15703.html.
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    FTA issued another advisory in December 2013, following the WMATA 
and BART incidents that resulted in the deaths of ROW workers. As 
recommended by the NTSB, FTA Safety Advisory 14-1 requested that SSOAs 
(1) inventory the current practices of the rail transit operators that 
they oversaw and (2) conduct a hazard analysis on workers' access to 
the ROW and how the protections identified in the inventory addressed 
the consequences associated with each hazard. \9\
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    \9\ Ibid.
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    In addition, FTA partnered with CTA for a safety examination to 
support CTA in strengthening its safety programs and capabilities 
through the implementation of Safety Management Systems (SMS). The 
outcomes of this activity will be a roadmap for CTA SMS implementation 
and an enhanced safety profile throughout the agency.
    More recently, following the WMATA incident of January 12, 2015, 
FTA became a party to the NTSB investigation into the causal factors 
contributing to the incident. Information collected through the 
investigation has revealed that factors contributing to the incident 
included equipment

[[Page 48797]]

malfunctions, communications failures, and human factors, all of which 
consistently have been identified as the contributing factors to 
previous public transportation incidents.
    Moreover, FTA used its new authority under 5329(f)(1) to conduct a 
Safety Management Inspection (SMI) of WMATA's transit system. The SMI 
involved the following components:
     An SMS gap analysis, including SMS training across several 
levels of WMATA;
     A rail safety inspection, whereby FTA conducted an 
evaluation of WMATA's rail operations and maintenance programs to 
acquire the safety information and data needed to support meaningful 
analysis of safety risks; and
     A bus safety assessment, conducted in a similar manner to 
the rail safety assessment.
    At the conclusion of the inspection, on June 17, 2015, FTA issued 
an SMI Final Report which included findings and recommendations, as 
well as results of the SMS Gap Analysis, to assist WMATA in building a 
mature and effective SMS. FTA also issued both safety directive 15-1 
requiring WMATA to address findings documented in FTA's Safety 
Management Inspection SMI report and safety advisory 15-1 to inform 
rail transit agencies of planned audits to be conducted by State Safety 
Oversight Agencies of the agencies' tunnels, emergency procedures, and 
compliance with industry standards for maintenance and emergency 
procedures.\10\
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    \10\ For more information on FTA's Safety Management Inspection 
and report, safety directive 15-1, and safety advisory 15-1 please 
visit FTA's Web site at http://www.fta.dot.gov/tso_16476.html.
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    This NPRM will further define FTA's enforcement authority and 
provide the procedural framework to support it, including proposing due 
process mechanisms, where relevant.

D. The Safety Management Systems (SMS) Approach

    FTA has adopted the principles and methods of SMS as the basis for 
the Public Transportation Safety Program. SMS is a management approach 
that ensures each public transportation agency, no matter its size or 
service environment, has the necessary organizational structures, 
accountabilities, activities and tools in place to direct and control 
resources to optimally manage safety. SMS is a formal, top-down, 
organization-wide approach to managing safety risks and assuring the 
effectiveness of safety risk mitigations.
    Over the last decade, SMS has been used in space, chemical, 
aviation and other industries, both domestic and internationally, and 
by for-profit and non-profit transportation providers, large and small. 
Both the NTSB and the National Safety Council (NSC) endorse the 
principles and methods of SMS.\11\ Moreover, other DOT modal 
administrations, including the Federal Aviation Administration and the 
Federal Railroad Administration, have incorporated or intend to 
incorporate SMS into their regulatory frameworks. Indeed, the NTSB 
characterizes SMS as a ``Most Wanted'' practice for public 
transportation, largely because of the inherent flexibility of SMS, and 
its proven effectiveness across a range of organizations that operate 
under different business models, in differing physical and financial 
environments.
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    \11\ See, for example, the NTSB document at http://www.ntsb.gov/safety/mwl-3.html and the NSC documents at http://www.nsc.org/get_involved/disvisions/Documents/SMS%20Policy-PostionStment%20final%20-%20Formatted.pdf.
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    SMS ensures that information is provided to transit agency 
management so that resources can be strategically allocated to manage 
safety risk in a timely manner. SMS establishes lines of safety 
accountability throughout an organization, starting at the executive 
management level, and provides a structure to support a sound safety 
culture. SMS enables agencies to address organizational deficiencies 
that may lead to safety issues or unidentified safety risks, identify 
system-wide trends in safety, and manage the potential consequences of 
hazards before they result in incidents or accidents.\12\ FTA will 
propose requirements for the implementation of SMS at transit agencies 
as part of the NPRM developed to address Section 5329(d) requirements 
for Public Transportation Agency Safety Plans, which FTA plans to 
publish later this year.
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    \12\ FTA's SMS Web site, available at http://www.fta.dot.gov/tso_15176.html, provides additional detail regarding FTA's proposed 
SMS framework.
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E. Components of the Public Transportation Safety Program

    The Public Transportation Safety Program, codified at 49 U.S.C. 
5329, includes the following components: (1) The National Public 
Transportation Safety Plan, 49 U.S.C. 5329(b); (2) the Public 
Transportation Safety Certification Training Program, 49 U.S.C. 
5329(b)(1)(D) and 5329(c); (3) the Public Transportation Agency Safety 
Plan, 49 U.S.C. 5329(d); (4) the State Safety Oversight (SSO) Program, 
49 U.S.C. 5329(e); (5) the Authority of the Secretary, 49 U.S.C. 
5329(f); and (6) Enforcement Actions, 49 U.S.C. 5329(g). FTA is issuing 
separate rules for the Public Transportation Safety Certification 
Training Program, the Public Transportation Agency Safety Plan, and the 
SSO Program, and is also issuing a proposed National Public 
Transportation Safety Plan.
    In addition, FTA will soon issue a Transit Asset Management NPRM 
and an update to the Statewide and Metropolitan Planning regulations 
\13\ that require consideration of transit safety performance criteria. 
Safety performance criteria and standards developed to address 49 
U.S.C. 5329 requirements will be incorporated in the National Public 
Transportation Safety Plan, and must be considered during the 
transportation investment decision-making process.
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    \13\ The Joint Planning NPRM was published in the Federal 
Register on June 2, 2014 and is available on FTA's Web site at 
http://www.gpo.gov/fdsys/pkg/FR-2014-06-02/pdf/2014-12155.pdf.
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    This NPRM for the Public Transportation Safety Program would 
establish a regulatory, enforcement, and programmatic framework to 
ensure consistency across these disparate, yet interrelated rules and 
requirements. To that end, the Public Transportation Safety Program 
proposes to formally adopt the principles and methods of SMS across all 
Section 5329 safety programs. This NPRM also outlines FTA's authorities 
to conduct reviews, audits, investigations, examinations, inspections 
and testing, and to issue findings and directives which would require 
specific corrective action from a single public transportation agency, 
a select group of recipients, or from all recipients. In the event 
corrective actions required by FTA are not implemented, Section 5329 
provides FTA with a set of options for withholding or re-directing 
Federal funds, requiring additional oversight and monitoring, or 
partnering with the State or SSO agency to conduct further 
investigations or inspection. The NPRM proposes to adopt mechanisms to 
ensure that recipients that may be impacted by an FTA enforcement 
action are afforded sufficient due process, where relevant.
    This proposed rule also describes statutorily required and proposed 
contents of the National Safety Plan. The National Safety Plan will be 
FTA's primary tool for communicating with the transit industry about 
its safety performance. The National Safety Plan would serve as a 
critical linchpin, connecting FTA's regulatory programs, enforcement 
and rulemaking priorities, and safety performance measurement

[[Page 48798]]

and monitoring activities. The National Safety Plan would establish, 
communicate, and align public transportation safety priorities based on 
analysis of available safety information, recommendations from the 
NTSB, and regulatory and enforcement areas of focus. FTA would use the 
National Safety Plan to set national criteria for safety performance, 
to communicate mitigation strategies to the public transportation 
industry and State safety oversight agencies, and to provide guidance, 
technical assistance and other tools.
    FTA intends for the National Safety Plan to be updated periodically 
to reflect new safety-related research and information, communicate 
best practices and emerging safety standards as they become available, 
and identify areas of focus for rulemaking and enforcement. FTA would 
use each plan update to report on the status of the public 
transportation industry towards meeting the national safety performance 
targets, and the transit industry's progress toward building SMS 
practices and improving safety outcomes.

III. Benefit-Cost Analysis

    The proposed rule outlines FTA's authority to inspect, investigate, 
audit, exam and test transit agencies' facilities, equipment, safety 
processes and events as and when needed, direct or withhold Federal 
transit funds, and issue directives and advisories. The proposed rule 
does not include any uncounted costs. Costs associated with FTA's 
aforementioned authorities are captured in the rulemakings for Public 
Transportation Agency Safety Plans, State Safety Oversight, and the 
Public Transportation Safety Certification Training Program.

IV. Section-by-Section Analysis

    FTA is proposing to amend chapter 49 of the Code of Federal 
Regulations by adding a new part 670 establishing a Public 
Transportation Safety Program. The following is a section-by-section 
analysis of each proposal in this rulemaking.

670.1 Purpose and Applicability

    This section proposes that the purpose of these regulations would 
be to establish a Public Transportation Safety Program. This part 
applies to all recipients of Federal transit funds.

670.3 Policy

    This section proposes the formal adoption of Safety Management 
Systems (SMS) as the basis for enhancing the safety of public 
transportation in the United States. This section proposes that all 
aspects of the Public Transportation Safety Program administered under 
FTA's safety authority would follow the principles and methods of SMS.

670.5 Definitions

    This section includes proposed definitions for terms that would be 
applicable to the Public Transportation Safety Program, including: 
advisory, audit, corrective action plan, directive, examination, 
inspection, investigation, National Public Transportation Safety Plan, 
pattern or practice, recipient, record, Safety Management System, and 
State Safety Oversight Agency.

670.11 Inspections, Investigations, Audits, Examinations, and Testing

    This section sets forth FTA's statutory authority to conduct 
inspections, investigations, audits, examinations, and testing. This 
section proposes procedures for notifying a recipient or State of FTA's 
intent to engage in any of these activities, including information 
requested and the reason for the request. This section also proposes to 
establish the timeframe for response to such a request.
    This section proposes that the Administrator, upon written notice, 
and within a reasonable time and manner as determined by the 
Administrator, may enter the premises occupied by a recipient and 
inspect and test a recipient's equipment, facilities, rolling stock, 
operations, and relevant records. FTA seeks comment on how it should 
define ``reasonable time'' and ``reasonable manner'' for the purpose of 
entering and inspecting equipment, facilities, rolling stock, 
operations and relevant records.

670.13 Request for Confidential Treatment

    This section proposes procedures for a recipient or State to seek 
confidential treatment of records obtained during the course of 
activities under section 670.21. This section governs the procedures 
for requesting confidential treatment of any record filed with or 
otherwise provided to FTA in connection with its enforcement of 
statutes or regulations related to safety in public transportation.

670.21 General

    This section would set forth the Administrator's enforcement 
authority.

670.23 Use or Withholding of Funds

    This section proposes procedures for FTA to direct the use of 
Chapter 53 funds where deficiencies are identified by the Administrator 
or a State Safety Oversight Agency. This section also proposes 
procedures for withholding of Chapter 53 funds from a recipient or 
State for non-compliance where the Administrator determines that there 
has been a pattern or practice of serious violations of the Public 
Transportation Safety Program and any regulation or directive issued 
under those laws for which the Administrator exercises enforcement 
authority for safety.

670.25 General Directives

    This section proposes procedures for the issuance of a general 
directive by the Administrator. Pursuant to 49 U.S.C. 5329(f)(2), the 
Secretary may ``issue directives with respect to the safety of the 
public transportation system of a recipient.'' FTA has interpreted this 
authority to include directives issued to all or a subset of the 
transit industry.
    As a general matter, use of the singular includes the plural. See 
e.g., the Dictionary Act, 1 U.S.C. 1 (``unless the context indicates 
otherwise . . . words importing the singular include and apply to 
several persons, parties, or things; words importing the plural include 
the singular''). In addition, FTA's interpretation is consistent with 
the purpose of section 5329 to improve the safety of the entire public 
transportation industry. Furthermore, the legislative history of 
section 5329 supports this reading. The Senate report accompanying the 
Public Transportation Safety Act of 2010 (S. 3638, 111th Cong. (2010)), 
which laid the foundation for the general safety and State Safety 
Oversight provisions eventually enacted under MAP-21, states: 
``Subsection (f) provides the Secretary with the authority . . . to 
make reports and issue directives with respect to the safety of public 
transportation systems.'' \14\
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    \14\ S. Rept. 111-232; 111th Cong. 2nd Sess. (2010) available at 
https://www.congress.gov/111/crpt/srpt232/CRPT-111srpt232.pdf.
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    Accordingly, as proposed, FTA could issue a general directive that 
applied to all recipients or a subset of recipients and the directive 
would be effective upon notice provided by the Administrator in the 
Federal Register. For example, both a general directive that applied to 
all Chapter 53 recipients and a general directive that applied to all 
recipients that operate rail fixed guideway public transportation 
systems would be published in the Federal Register. A general directive 
would be subject to a public comment period. Following the public 
notice and comment period, FTA would publish a response to the comments 
in the Federal Register. The response also

[[Page 48799]]

would include a final iteration of the general directive. Note also 
that the use of general directives would be generally limited to 
circumstances where there is an ``emergency situation,'' in contrast to 
the use of special directives issued to specific named recipients.

670.27 Special Directives

    This section proposes that the Administrator provide direct notice 
to a named recipient for a special directive that is not generally 
applicable, but only applies to one or more named recipients. A special 
directive issued to a named recipient would be based on particular 
facts unique to the recipient. A named recipient would have an 
opportunity to petition the Administrator for review of the directive. 
The Chief Counsel of FTA would either grant or deny a petition, in 
whole or in part.

670.29 Advisories

    This section proposes that the Administrator may issue advisories 
which may recommend corrective actions, inspections, conditions, 
limitations, or other actions to resolve or mitigate an unsafe 
condition.

670.31 Purpose and Content of the National Public Transportation Safety 
Plan

    This section describes the statutory and proposed components of the 
National Public Transportation Safety Plan, which FTA will revise 
periodically. The statutory components include the definition of state 
of good repair established under FTA's transit asset management rule, 
the Public Transportation Safety Certification Training Program 
established through rulemaking, safety performance criteria for all 
modes of public transportation, and minimum safety performance 
standards for vehicles used in revenue operations not otherwise 
regulated by another Federal agency.

V. Regulatory Analyses and Notices

Executive Order 12866 and 13563; USDOT Regulatory Policies and 
Procedures

    Executive Orders 12866 and 13563 direct Federal agencies to assess 
all costs and benefits of available regulatory alternatives and, if 
regulation is necessary, to select regulatory approaches that maximize 
net benefits--including potential economic, environmental, public 
health and safety effects, distributive impacts, and equity. Also, 
Executive Order 13563 emphasizes the importance of quantifying both 
costs and benefits, reducing costs, harmonizing rules, and promoting 
flexibility. FTA is also required under 49 U.S.C. 5329(h) to take into 
consideration the costs and benefits of each action the Secretary 
proposes to take under section 5329. As stated in section I.D. above, 
FTA believes this proposed rule does not impose costs on entities other 
than FTA.
    FTA has determined this rulemaking is a nonsignificant regulatory 
action within the meaning of Executive Order 12866 and is 
nonsignificant within the meaning of the U.S. Department of 
Transportation's regulatory policies and procedures. FTA has determined 
that this rulemaking is not economically significant. The proposals set 
forth in this NPRM will not result in an effect on the economy of $100 
million or more. The proposals set forth in the NPRM will not adversely 
affect the economy, interfere with actions taken or planned by other 
agencies, or generally alter the budgetary impact of any entitlements, 
grants, user fees, or loan programs.

Regulatory Flexibility Act

    In compliance with the Regulatory Flexibility Act (Pub. L. 96-354; 
5 U.S.C. 601-612), FTA has evaluated the likely effects of the 
proposals set forth in this NPRM on small entities, and has determined 
that they will not have a significant economic impact on a substantial 
number of small entities.

Unfunded Mandates Reform Act of 1995

    This proposed rulemaking would not impose unfunded mandates as 
defined by the Unfunded Mandates Reform act of 1995 (Pub. L. 104-4; 109 
Stat. 48).

Executive Order 13132 (Federalism)

    This proposed rulemaking has been analyzed in accordance with the 
principles and criteria established by Executive Order 13132, and FTA 
has determined that the proposed action would not have sufficient 
Federalism implications to warrant the preparation of a Federalism 
assessment. FTA has also determined that this proposed action would not 
preempt any State law or State regulation or affect the States' 
abilities to discharge traditional State governmental functions. 
Moreover, consistent with Executive Order 13132, FTA has examined the 
direct compliance costs of the NPRM on State and local governments and 
has determined that the collection and analysis of the data are 
eligible for Federal funding under FTA's grant programs.

Executive Order 12372 (Intergovernmental Review)

    The regulations effectuating Executive Order 12372 regarding 
intergovernmental consultation on Federal programs and activities apply 
to this proposed rulemaking.

Paperwork Reduction Act (PRA)

    This rulemaking will not impose additional collection requirements 
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.; 
``PRA'') and the OMB regulation at 5 CFR 1320.8(d). To the extent that 
there are any costs and burdens associated with any collections under 
this rule, the information collection will be incorporated into the 
requests for the rulemakings for Public Transportation Agency Safety 
Plans, State Safety Oversight, and the Safety Certification Training 
Program.

National Environmental Policy Act

    The National Environmental Policy Act of 1969 (42 U.S.C. 4321 et 
seq.) requires Federal agencies to analyze the potential environmental 
effects of their proposed actions in the form of a categorical 
exclusion, environmental assessment, or environmental impact statement. 
This proposed rulemaking is categorically excluded under FTA's 
environmental impact procedure at 23 CFR 771.117(c)(20), pertaining to 
planning and administrative activities that do not involve or lead 
directly to construction, such as the promulgation of rules, 
regulations, and directives. FTA has determined that no unusual 
circumstances exist in this instance, and that a categorical exclusion 
is appropriate for this rulemaking.

Executive Order 12630 (Taking of Private Property)

    This rulemaking will not affect a taking of private property or 
otherwise have taking implications under Executive Order 12630 (March 
15, 1998), Governmental Actions and Interference with Constitutionally 
Protected Property Rights.

Executive Order 12898 (Federal Actions To Address Environmental Justice 
in Minority Populations and Low-Income Populations)

    Executive Order 12898 (February 8, 1994) directs every Federal 
agency to make environmental justice part of its mission by identifying 
and addressing the effects of all programs, policies, and activities on 
minority populations and low-income populations. The USDOT 
environmental justice initiatives accomplish this goal by involving the 
potentially affected public in developing transportation projects that 
fit harmoniously within their communities without compromising safety 
or mobility. Additionally, FTA

[[Page 48800]]

has issued a program circular addressing environmental justice in 
public transportation, C 4703.1, ``Environmental Justice Policy 
Guidance for Federal Transit Administration Recipients.'' This circular 
provides a framework for FTA grantees as they integrate principles of 
environmental justice into their transit decision-making processes. The 
Circular includes recommendations for State Departments of 
Transportation, Metropolitan Planning Organizations, and public 
transportation systems on how to: (1) To fully engage environmental 
justice populations in the transportation decision-making process; (2) 
determine whether environmental justice populations would be subjected 
to disproportionately high and adverse human health or environmental 
effects of a public transportation project, policy, or activity; and 
(3) avoid, minimize, or mitigate these effects.

Executive Order 12988 (Civil Justice Reform)

    This action meets the applicable standards in sections 3(a) and 
3(b)(2) of Executive Order 12988 (February 5, 1996), Civil Justice 
Reform, to minimize litigation, eliminate ambiguity, and reduce burden.

Executive Order 13045 (Protection of Children)

    FTA has analyzed this proposed rulemaking under Executive Order 
13045 (April 21, 1997), Protection of Children from Environmental 
Health Risks and Safety Risks. FTA certifies that this proposed rule 
will not cause an environmental risk to health or safety that may 
disproportionately affect children.

Executive Order 13175 (Tribal Consultation)

    FTA has analyzed this action under Executive Order 13175 (Nov. 6, 
2000), and believes that it will not have substantial direct effects on 
one or more Indian tribes; will not impose substantial direct 
compliance costs on Indian tribal governments; and will not preempt 
tribal laws. Therefore, a tribal summary impact statement is not 
required.

Executive Order 13211 (Energy Effects)

    FTA has analyzed this proposed rulemaking under Executive Order 
13211, Actions Concerning Regulations That Significantly Affect Energy 
Supply, Distribution, or Use (May 18, 2001). FTA has determined that 
this action is not a significant energy action under the Executive 
Order, given that the action 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 requirement.

Privacy Act

    Anyone is able to search the electronic form of all comments 
received into any of FTA's dockets by the name of the individual 
submitting the comment or signing the comment if submitted on behalf of 
an association, business, labor union, or any other entity. You may 
review USDOT's complete Privacy Act Statement published in the Federal 
Register on April 11, 2000, at 65 FR 19477-8.

Statutory/Legal Authority for This Rulemaking

    This rulemaking is issued under the authority of Section 20021 of 
MAP-21, which authorizes the Secretary to issue rules to carry out the 
mandate for a Public Transportation Safety Program at 49 U.S.C. 5329. 
The authority is codified at 49 U.S.C. 5329(f)(7).

Regulation Identification Number

    A Regulation Identification 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 set forth in the heading of 
this document can be used to cross-reference this action with the 
Unified Agenda.

List of Subjects in 49 CFR Part 670

    Public transportation, Safety.

    Issued in Washington, DC, under authority delegated in 49 CFR 
1.91.
Matthew J. Welbes,
Executive Director.

    For the reasons set forth in the preamble, and under the authority 
of 49 U.S.C. 5329(f), and the delegations of authority at 49 CFR 1.91, 
FTA hereby proposes to amend chapter VI of title 49, Code of Federal 
Regulations by adding part 670 as set forth below:

PART 670--PUBLIC TRANSPORTATION SAFETY PROGRAM

Subpart A--General Provisions
Sec.
670.1 Purpose and applicability.
670.3 Policy.
670.5 Definitions.
Subpart B--Compliance Assessments
670.11 Inspections, investigations, audits, examinations, and 
testing.
670.13 Request for confidential treatment of records.
Subpart C--Enforcement
670.21 General.
670.23 Use or withholding of funds.
670.25 General directives.
670.27 Special directives.
670.29 Advisories.
Subpart D--National Public Transportation Safety Plan
670.31 Purpose and contents of the national public transportation 
safety plan.

Subpart A--General Provisions


Sec.  670.1  Purpose and applicability.

    This part carries out the mandate of 49 U.S.C. 5329 to improve the 
safety of public transportation systems. This part applies to 
recipients of Federal transit funds.


Sec.  670.3  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. All 
rules, regulations, policies, guidance, best practices, and technical 
assistance administered under the authority of 49 U.S.C. 5329 will 
follow the principles and methods of SMS.


Sec.  670.5  Definitions.

    As used in this part:
    Accountable Executive means a single, identifiable person who has 
ultimate responsibility for carrying out the Safety Management System 
of a public transportation agency; responsibility for carrying out the 
agency's Transit Asset Management Plan; and control or direction over 
the human and capital resources needed to develop and maintain both the 
agency's Public Transportation Agency Safety Plan, in accordance with 
49 U.S.C. 5329(d), and the agency's Transit Asset Management Plan in 
accordance with 49 U.S.C. 5326.
    Administrator means the Federal Transit Administrator or his or her 
designee.
    Advisory means a notice from FTA to recipients regarding an 
existing or potential hazard or risk in public transportation that 
recommends recipients take a particular action to mitigate the hazard 
or risk.
    Audit means an examination of records and related materials, 
including, but not limited to, those related to financial accounts.
    Corrective action plan means a plan developed by a recipient that 
describes the actions the recipient will take to minimize, control, 
correct, or eliminate risks and hazards, and the schedule for taking 
those actions. Either a State

[[Page 48801]]

Safety Oversight Agency or FTA may require a recipient to develop and 
carry out a corrective action plan.
    Directive means a formal written communication from FTA to one or 
more recipients which orders a recipient to take specific actions to 
ensure the safety of a public transportation system.
    Examination means a process for gathering facts or information, or 
an analysis of facts or information previously collected.
    FTA means the Federal Transit Administration, an operating 
administration within the United States Department of Transportation.
    Inspection means a process for gathering facts or information, or 
an analysis of facts or information previously collected. At the 
conclusion of an inspection, FTA may issue findings and 
recommendations.
    Investigation means the process of determining the causal and 
contributing factors of an event for the purpose of mitigating safety 
risk or preventing recurrence.
    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, and authorized 
at 49 U.S.C. 5329.
    Pattern or practice means two or more findings by FTA of a 
recipient's noncompliance with the requirements of 49 U.S.C. 5329 and 
the regulations thereunder.
    Recipient means an entity that receives Federal financial 
assistance under Chapter 53.
    Record means any writing, drawing, map, recording, tape, film, 
photograph, or other documentary material by which information is 
preserved. The term ``record'' also includes any such documentary 
material stored electronically.
    Safety Management System (SMS) means the formal, top-down, 
organization-wide data-driven approach to managing safety risk and 
assuring the effectiveness of safety risk mitigations. SMS includes 
policies, procedures, and practices for the management of safety risk.
    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, or a State agency.
    State Safety Oversight Agency (SSOA) means an agency established by 
a State that meets the requirements and performs the functions 
specified by 49 U.S.C. 5329(e) and the regulations codified at 49 CFR 
part 674.
    Testing means an assessment of equipment, facilities, rolling 
stock, and operations of a recipient's public transportation system.

Subpart B--Compliance Assessments


Sec.  670.11  Inspections, investigations, audits, examinations, and 
testing.

    (a) The Administrator may conduct investigations, inspections, 
audits, and examinations, and test the equipment, facilities, rolling 
stock, and operations of public transportation systems operated by a 
recipient.
    (b) In carrying out this section--
    (1) The Administrator may require the production of relevant 
documents and records, take evidence, issue subpoenas and depositions, 
and prescribe recordkeeping and reporting requirements.
    (2) The Administrator will provide the recipient with written 
notice that includes the information requested and the reasons for each 
request.
    (3) Within thirty (30) days of service of a notice, a recipient 
shall comply with the Administrator's request or provide a written 
explanation for any delay or failure to provide the requested 
information.
    (4) Upon written notice, and within a reasonable time and manner as 
determined by the Administrator, the Administrator may enter the 
premises occupied by a recipient and inspect and test a recipient's 
equipment, facilities, rolling stock, operations, and relevant records.


Sec.  670.13  Request for confidential treatment of records.

    (a) The Administrator may grant a recipient's request for 
confidential treatment of records on the basis that the records are--
    (1) Exempt from the mandatory disclosure requirements of the 
Freedom of Information Act (5 U.S.C. 552);
    (2) Required to be held in confidence by 18 U.S.C. 1905; or
    (3) Otherwise exempt from public disclosure.
    (b) Any record containing information for which confidential 
treatment is requested must be submitted with the request for 
confidential treatment. The request must include a statement justifying 
nondisclosure and provide the specific legal basis upon which the 
request for nondisclosure should be granted.
    (c) Any record containing any information for which confidential 
treatment is requested must be marked ``CONFIDENTIAL'' or ``CONTAINS 
CONFIDENTIAL INFORMATION'' in bold letters.
    (d) The accompanying statement of justification must indicate 
whether confidentiality is requested as to the entire record, or 
whether nonconfidential information in the record cannot be reasonably 
segregated from confidential information.
    (1) If confidentiality is requested as to only a portion of the 
record, the person filing the record must file a copy of the record and 
a second copy of the document where the purportedly confidential 
information has been redacted.
    (2) If the person filing a record, of which only a portion is 
requested to be held in confidence, does not submit a second copy of 
the record with the confidential information redacted at the time he or 
she files the record, the Administrator may assume there is no 
objection to public disclosure of the record in its entirety.
    (e) The Administrator retains the right to make his or her own 
determination with regard to any request for confidentiality. Notice of 
a decision by the Administrator to deny a request, in whole or in part, 
and an opportunity to respond will be given to a person requesting 
confidential treatment of information no less than five (5) days prior 
to its public disclosure.

Subpart C--Enforcement


Sec.  670.21   General.

    In exercising authority under this part, the Administrator may--
    (a) Require more frequent oversight of a recipient by a State 
Safety Oversight Agency (SSOA) that has jurisdiction over the 
recipient;
    (b) Impose requirements for more frequent reporting by a recipient;
    (c) Require that a recipient expend Federal financial assistance 
for correcting safety deficiencies identified by the Administrator or 
an SSOA, if the Administrator finds a recipient is or has been engaged 
in a pattern or practice of serious safety violations or refused to 
comply with the requirements of this part or any regulation or 
directive issued under those laws for which the Administrator exercises 
enforcement authority for safety;
    (d) Order a recipient to develop and carry out a corrective action 
plan;
    (e) Withhold Federal financial assistance in whole or in part as 
deemed appropriate by the Administrator, upon notice in accordance with 
section 670.23 of this part; and
    (f) Make reports and issue safety directives and safety advisories.


Sec.  670.23  Use or withholding of funds.

    (a) Use of funds. The Administrator may require a recipient to use 
Chapter 53 funds to correct safety deficiencies

[[Page 48802]]

identified by the Administrator or an SSOA before such funds are used 
for any other purpose.
    (b) Withholding of funds. The Administrator may withhold funds from 
a recipient when the Administrator has evidence that the recipient has 
engaged in a pattern or practice of conduct in violation of the Public 
Transportation Safety Program or any regulation or directive issued 
under those laws for which the Administrator exercises enforcement 
authority for safety.
    (1) Notice. The Administrator will issue a notice of violation and 
the amount proposed to be withheld at least ninety (90) days prior to 
the date from when the funds will be withheld. The notice must 
contain--
    (i) A statement of the legal authority for issuance;
    (ii) A statement of the regulatory provision(s) or directive(s) the 
recipient or State is believed to have violated;
    (iii) A statement of the factual allegations upon which the 
remedial action is being sought; and
    (iv) A statement of the remedial action sought to correct the 
deficiency.
    (2) Reply. Within thirty (30) days of service of a notice of 
violation, a recipient may file a written reply with the Administrator. 
Upon written request, the Administrator may extend the time for filing 
for good cause shown. The reply must be in writing, and signed by the 
Accountable Executive or equivalent entity. A written response may 
include an explanation for the alleged violation, provide relevant 
information or materials in response to the alleged violation or in 
mitigation thereof, or recommend alternative means of compliance for 
consideration by the Administrator.
    (3) Decision. Within thirty (30) days of receipt of a reply from a 
named recipient, the Administrator will issue a written reply to a 
recipient. The Administrator may consider the recipient's response, 
pursuant to paragraph (b)(2) of this section, in determining whether to 
dismiss the notice of violation in whole or in part. If the notice of 
violation is not dismissed, the Administrator may undertake any other 
enforcement action he or she deems appropriate, including withholding 
funds as stated in the notice of violation.


Sec.  670.25  General directives.

    (a) General. The Administrator may issue a general directive under 
this part that is applicable to all recipients or a subset of 
recipients, for either of the following reasons--
    (1) The Administrator determines that an unsafe condition or 
practice, or a combination of unsafe conditions and practices, causes 
an emergency situation involving a hazard of death, personal injury, 
damage to property or equipment, or significant harm to the 
environment; or
    (2) For any other purpose where the Administrator determines that 
the public interest requires the avoidance or mitigation of a hazard or 
risk through immediate compliance.
    (b) Effective date. A general directive is effective upon notice 
provided by the Administrator under paragraph (c) of this section.
    (c) Notice. The Administrator will provide notice to recipients of 
a general directive in the Federal Register. The notice will include, 
at minimum--
    (1) A reference to the authority under which the directive is being 
issued;
    (2) A statement of the purpose of the issuance of the directive, 
including a description of the subjects or issues involved and a 
statement of the remedial actions sought; and
    (3) A statement of the time within which written comments must be 
received.
    (d) Consideration of comments received. The Administrator will 
consider all timely comments received. Late filed comments will be 
considered to the extent practicable.
    (e) Final notice. After consideration of timely comments received, 
the Administrator will publish a notice in the Federal Register that 
includes both a response to comments and a final general directive or 
statement rescinding, revoking, or suspending the directive. A final 
general directive may reaffirm or modify a general directive 
subsection, in whole or in part.


Sec.  670.27  Special directives.

    (a) General. The Administrator may issue a special directive under 
this part to one or more named recipients for any of the following 
reasons--
    (1) The Administrator has reason to believe that a recipient is 
engaging in conduct, or there is evidence of a pattern or practice of a 
recipient's conduct, in violation of any statute, regulation, or 
directive issued under those laws for which the Administrator exercise 
enforcement authority for safety;
    (2) The Administrator determines that an unsafe condition or 
practice, or a combination of unsafe conditions and practices, causes 
an emergency situation involving a hazard of death, personal injury, 
damage to property or equipment, or significant harm to the 
environment; or
    (3) For any other purpose where the Administrator determines that 
the public interest requires the avoidance or mitigation of a hazard or 
risk through immediate compliance.
    (b) Effective date. A special directive is effective upon notice 
provided by the Administrator under paragraph (c) of this section.
    (c) Notice. The Administrator will provide personal notice directly 
to a named recipient. The Administrator may initially provide notice 
through telephone or electronic communications; however, written notice 
must be served by personal service or by U.S. mail following a 
telephonic or electronic communication. Personal notice must contain 
the following information, at minimum--
    (1) The name of the recipient or recipients to which the directive 
applies;
    (2) A reference to the authority under which the directive is being 
issued; and
    (3) A statement of the purpose of the issuance of the directive 
including a description of the subjects or issues involved, a statement 
of facts upon which the notice is being issued, and statement of the 
remedial actions sought.
    (d) Petition for reconsideration. Within thirty (30) days of 
service of a notice issued under subsection (c) of this section, a 
named recipient may file a petition for reconsideration with the 
Administrator. Upon written request, the Administrator may extend the 
time for filing for good cause shown. Unless explicitly stayed or 
modified by the Administrator, a special directive will remain in 
effect and must be observed pending review of a petition for 
reconsideration. Any such petition:
    (1) Must be in writing and signed by the recipient's Accountable 
Executive or equivalent entity;
    (2) Must include a brief explanation as to why the recipient 
believes the special directive should not apply to it or why compliance 
with a special directive is not possible, is not practicable, is 
unreasonable, or is not in the public interest; and
    (3) May include relevant information regarding the factual basis 
upon which the directive was issued, information in response to any 
alleged violation or in mitigation thereof, recommend alternative means 
of compliance for consideration, and any other information deemed 
appropriate by the recipient.
    (e) Filing a petition for reconsideration. A petition must be 
submitted to the Office of Chief Counsel, Federal Transit 
Administration, using one of the following methods--

[[Page 48803]]

    (1) Email to FTA at [email protected];
    (2) Facsimile to FTA at 202-366-3809; or
    (3) Mail to FTA at: FTA, Office of Chief Counsel, 1200 New Jersey 
Ave. SE., Washington, DC 20590.
    (f) Processing of petitions for reconsideration.
    (1) General. Each petition received under this section will be 
reviewed and disposed of by the Chief Counsel no later than ninety days 
(90) after receipt of a petition. No hearing, argument or other 
proceeding is held directly on a petition before its disposition under 
this section.
    (2) Grants. If the Chief Counsel determines that the petition 
contains adequate justification, he or she may grant the petition, in 
whole or in part.
    (3) Denials. If the Chief Counsel determines that the petition does 
not justify modifying, rescinding, or revoking the petition, in whole 
or in part, he or she may deny the petition.
    (4) Notification. Upon determination by the Chief Counsel, the 
Office of Chief Counsel will issue notification to a named recipient of 
his or her decision.
    (g) Judicial Review. A recipient may seek judicial review in an 
appropriate United States District Court of a final action of the 
Administrator under this section as provided in 5 U.S.C. 701 
through706.


Sec.  670.29  Advisories.

    (a) The Administrator may issue an advisory to one or more 
recipients, upon determining that an unsafe condition exists within a 
public transportation system, which recommends corrective actions, 
inspections, conditions, limitations, or other actions to resolve or 
mitigate the unsafe condition. The Administrator will issue notice to 
recipients of an advisory in the Federal Register.
    (b) The Administrator may take into consideration a recipient's or 
State's failure to follow the recommendations contained within an 
advisory when deciding whether to take other enforcement actions.

Subpart D--National Public Transportation Safety Plan


Sec.  670.31  Purpose and contents of the national public 
transportation safety plan.

    Periodically, FTA will issue a National Public Transportation 
Safety Plan to improve the safety of all public transportation systems 
that receive funding under 49 U.S.C. Chapter 53. The National Public 
Transportation Safety Plan will be comprised of the following:
    (a) Safety performance criteria for all modes of public 
transportation, established through public notice-and-comment;
    (b) The definition of State of Good Repair established in 
accordance with 49 U.S.C. 5326 and the rules at 49 CFR part 625;
    (c) Minimum safety performance standards for vehicles in revenue 
operations, established through public notice-and-comment;
    (d) The Public Transportation Safety Certification Training Program 
established in accordance with 49 U.S.C. 5329(c) and the rules at 49 
CFR part 672;
    (e) Safety advisories, directives, and reports issued in accordance 
with 49 U.S.C. 5329(f) and this part;
    (f) Best practices, technical assistance, and pilot programs in 
carrying out Safety Management Systems in public transportation;
    (g) Research, reports, data and information on hazard 
identification and risk management in public transportation, and 
guidance regarding the prevention of accidents and incidents in public 
transportation; and
    (h) Any other content as determined by FTA.

[FR Doc. 2015-20021 Filed 8-13-15; 8:45 am]
 BILLING CODE P