[Federal Register Volume 80, Number 232 (Thursday, December 3, 2015)]
[Proposed Rules]
[Pages 75639-75656]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-30466]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration

49 CFR Part 672

[Docket No. FTA-2015-0014]
RIN 2132-AB25


Public Transportation Safety Certification Training Program

AGENCY: Federal Transit Administration (FTA), DOT.

[[Page 75640]]


ACTION: Notice of proposed rulemaking; request for comments.

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SUMMARY: The Federal Transit Administration (FTA) seeks public comment 
on a notice of proposed rulemaking (NPRM) for safety certification 
training. FTA proposes to adopt the current interim safety 
certification training provisions as the initial regulatory training 
requirements for public transportation industry personnel responsible 
for safety oversight of public transportation systems. The NPRM defines 
to whom the training requirements apply, describes recordkeeping 
requirements, provides administrative provisions, and compliance 
requirements.

DATES: Comments must be received by February 1, 2016. FTA will accept 
late-filed comments to the extent practicable.

ADDRESSES: Please submit your comments by only one of the following 
methods:
     Online: Use the Federal eRulemaking portal at http://www.regulations.gov and follow the instructions for submitting 
comments.
     U.S. Mail: Send your comments to the Docket Management 
Facility, U.S. Department of Transportation, 1200 New Jersey Avenue 
SE., W12-140, Washington, DC 20590-0001.
     Hand Delivery or Courier: Go to Room W12-140 on the ground 
floor of the West Building, U.S. Department of Transportation 
headquarters, 1200 New Jersey Avenue SE., between 9 a.m. and 5 p.m. 
Eastern time, Monday through Friday except Federal holidays.
     Telefax: Send your comments to 202-493-2251.
    Instructions: All comments must include the docket number for this 
rulemaking: FTA-2015-0014. Submit two copies of your comments if you 
submit them by mail. For confirmation that FTA received your comments, 
include a self-addressed, stamped postcard. All comments received will 
be posted without change to http://www.regulations.gov, including any 
personal information provided. Please see the Privacy Act heading under 
``Supplementary Information,'' below, for Privacy Act information 
pertinent to any submitted comments or materials, and you may review 
DOT's complete Privacy Act Statement published in the Federal Register 
on April 11, 2000, at 65 FR 19477.
    Docket Access: For access to background documents and comments 
received in the rulemaking docket, go to http://www.regulations.gov or 
to the U.S. Department of Transportation, 1200 New Jersey Avenue SE., 
Room W12-140, Washington, DC 20590 between 9:00 a.m. and 5:00 p.m., 
Monday through Friday except Federal holidays.

FOR FURTHER INFORMATION CONTACT: For program issues, contact Ruth 
Lyons, FTA, Office of Safety and Oversight, 1200 New Jersey Avenue SE., 
Washington, DC 20590 (telephone: 202-366-2233 or email: 
[email protected]). For legal issues, contact Bruce Walker, FTA, 
Office of Chief Counsel, same address, (telephone: 202-366-9109 or 
email: [email protected]). Office hours are Monday through Friday 
from 8 a.m. to 6 p.m. (EST), except Federal holidays.

SUPPLEMENTARY INFORMATION:

I. Executive Summary
II. Advance Notice of Proposed Rulemaking
III. Overview of the Proposed Rule
IV. Interim Program Curriculum and Technical Training Requirements
V. Section-by-Section Analysis
VI. Cost-Benefit Analysis
VII. Regulatory Analyses and Notices

I. Executive Summary

    In the Moving Ahead for Progress in the 21st Century Act (MAP-21; 
Pub. L. 112-141, July 6, 2012), Congress directed FTA to establish a 
comprehensive Public Transportation Safety Program (codified at 49 
U.S.C. 5329), one element of which is the Public Transportation Safety 
Certification Training Program (PTSCTP). The purpose of today's NPRM is 
to carry out the statutory mandate to provide a framework to enhance 
the technical proficiency of those directly responsible for safety 
oversight of public transportation systems.
    This proposed rulemaking would incorporate the curriculum 
promulgated recently for the interim provisions for safety 
certification training (interim program) as the training requirements 
for the PTSCTP. The interim program curriculum and training 
requirements may be found in Section V of the Federal Register notice 
promulgating the interim program at: https://www.federalregister.gov/articles/2015/02/27/2015-03842/interim-safety-certification-training-program-provisions.
    The NPRM provides a regulatory framework for safety certification 
training for personnel who are directly responsible for safety 
oversight of public transportation systems and the State personnel who 
conduct safety audits and examinations of rail transportation systems. 
Besides incorporating the interim program curriculum and training 
requirements, this proposal would: (1) Permit participants to request 
evaluation of non-FTA sponsored safety training for credit towards 
applicable PTSCTP requirements; (2) require designated personnel to 
complete a minimum of one hour of refresher safety training every two 
years as determined by his or her employer; (3) require recipients to 
maintain administrative records and ensure a participant's curriculum 
completion status is updated periodically; and (4) require SSOAs and 
recipients that operate rail fixed guideway systems not regulated by 
the Federal Railroad Administration (FRA) to annually certify 
compliance with the rule as a condition of receiving Chapter 53 
funding.

Legal Authority

    This rulemaking is issued under the authority of 49 U.S.C. 
5329(c)(1) which requires the Secretary of Transportation to prescribe 
a public transportation safety certification training program for 
Federal and State employees, or other designated personnel, who conduct 
safety audits and examinations of public transportation systems, as 
well as employees of public transportation agencies directly 
responsible for safety oversight. The Secretary is authorized to issue 
regulations to carry out the general provisions of this statutory 
requirement pursuant to 49 U.S.C. 5329(f)(7).

Summary of Key Provisions

    Similar to the interim program, the focus of the proposed rule 
would be on enhancing the technical proficiency of safety oversight 
professionals in the rail transit industry. To that end, this proposed 
rule would incorporate the curriculum set forth in Section V of the 
Federal Register notice promulgating the interim program. FTA may 
periodically update the curriculum following a period for public notice 
and comment. This approach is similar to that of the National Transit 
Database (NTD) rule at 49 CFR part 630 in which the Reporting Manuals 
set forth reporting requirements. FTA periodically updates the manuals 
with public notice and an opportunity for stakeholders to comment. FTA 
believes this proposal would provide for a consistent and stable 
curriculum as the public transportation industry acclimates to the 
requirement for safety oversight training.
    The proposed rule would reflect the interim program in that 
mandatory participants would continue to be State Safety Oversight 
Agency (SSOA) personnel and contractors, and designated personnel of 
rail transit agencies not otherwise regulated by another Federal 
agency. Employees or contractors of entities providing safety

[[Page 75641]]

oversight of bus operations would be permitted to participate on a 
voluntary basis. Participants would continue to have three years to 
complete the initial requirements for the PTSCTP. Participation in the 
interim program would be credited towards meeting the initial three-
year PTSCTP completion requirements. The three-year timeframe for new 
participants would commence upon their enrollment in the PTSCTP.
    Another key proposal is the requirement for SSOAs and recipients 
that operate rail fixed guideway systems not regulated by the Federal 
Railroad Administration (FRA) to ensure its designated personnel are 
enrolled in the PTSCTP electronic database maintained by FTA and to 
monitor their participation towards completing applicable training 
requirements. In addition, SSOAs would be required to maintain 
administrative records of the participation of its designated personnel 
in applicable technical training as outlined in the SSOA's FTA-approved 
technical training plan.
    Unlike the interim program, FTA is proposing a process for 
participants to request review of documented training obtained from 
sources other than FTA for credit towards the equivalent PTSCTP 
training. In addition, FTA is proposing that mandatory participants be 
required to undertake at least one hour of refresher training every two 
years on a safety subject determined by his or her employer. The 
timeframe for determining the two-year refresher training period would 
commence following completion of the initial PTSCTP.
    Lastly, each SSOA and recipient that operates a rail fixed guideway 
system not regulated by the FRA would be required to certify compliance 
with the PTSCTP requirements as part of FTA's procedures for annual 
grant certification and assurances. Should FTA determine an SSOA or 
recipient is not in compliance with the PTSCTP, the Administrator would 
have discretion to withhold Chapter 53 funds following notice and an 
opportunity for the recipient to respond.
    With this NPRM, FTA is seeking comment on its proposal to 
incorporate the interim program curriculum and technical training 
requirements as the initial training requirements for the PTSCTP. 
Additionally, FTA seeks comments of its proposed regulatory framework 
for the PTSCTP.

Costs and Benefits

    As discussed in greater detail below, FTA reviewed data from the 
Transportation Safety Institute (TSI), the entity that provides 
substantial safety training to the transit industry, albeit on a 
voluntary basis. Using this data and our familiarity with how SSOAs are 
organized, we developed a maximum and minimum number of personnel, to 
include employees and contractors that would be affected by the PTSCTP. 
Next, using the same data from TSI, we determined the number of rail 
transit personnel that would be affected by the PTSCTP. We also 
reviewed the number of FTA personnel who participate in safety audits 
and examinations and determined the number of FTA personnel that would 
be required to undergo some level of training and certification. In 
developing annual costs for personnel that would attend the PTSCTP, we 
assumed a minimum and maximum case scenario.
    For the minimum case, we assumed that all designated personnel 
under this program already had completed the Transit Safety and 
Security Program (TSSP) Certificate and would require only the safety 
management system (SMS) portion of the coursework described in Section 
IV of this notice. For the maximum case, we assumed that no one subject 
to the NPRM has a TSSP Certificate. In this case, all designated 
personnel would have to take and complete both the TSSP and SMS 
coursework over the allotted 3-year period. Using these assumptions, we 
estimate an approximate maximum cost of $2.6 million per year, of which 
up to 80 percent may be funded with FTA funds.
    To assess the benefits for the PTSCTP, we considered how other 
transportation modes that are in the process of implementing SMS or 
similar systematic approaches to safety have estimated the benefits of 
their programs in reducing incidents, adverse outcomes, and improving 
the industry's safety culture. It is difficult to quantify the effects 
of a positive safety culture as a safety culture will develop over 
time. Characteristics of a positive safety culture include: Actively 
seeking out information on hazards; employee training; information 
exchanges; and understanding that responsibility for safety is shared. 
While the returns on investment in training should be fairly quick, 
establishing, promoting, and increasing safety, even in an industry 
that is very safe, is difficult to predict with any certainty. 
Consistent with other recent rulemakings issued by the Department on 
SMS, we conducted a breakeven analysis. As explained further in Section 
VI, for the State Safety Oversight (SSO) NPRM published in the Federal 
Register on February 27, 2015 at 80 FR 11002, FTA estimated that the 
SSO program revisions realistically would garner a 2 percent reduction 
in costs associated with fatalities and ``serious'' injuries. Based on 
the analysis for the, SSO NPRM, for the benefits to break even with the 
costs to both SSOs and rail transit agencies, the rule only would 
require a 1.23 percent reduction of the accident costs per year, which 
did not include potentially significant unquantified costs related to 
property damage and disruption. The SSO program is reliant on the 
PTSCTP for part of its safety improvements. While the SSO NPRM proposed 
to improve SSO and rail transit agency processes, the PTSCTP improves 
the requisite human capital within the SSO program by improving the 
training and by making mandatory training for those designated 
personnel charged with safety oversight at SSO and rail transit 
agencies.

II. Advance Notice of Proposed Rulemaking

    On October 3, 2013, FTA issued an Advance Notice of Proposed 
Rulemaking (ANPRM) in the Federal Register on all aspects of FTA's 
safety authority, including the training program. (See 78 FR 61251, 
http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-23921.pdf).
    In the ANPRM, FTA noted that there are discrete and different 
skill-sets required for those who perform safety audit and examination 
functions compared to those who are directly responsible for safety 
oversight. For example, at the Federal level, FTA's responsibilities 
include ensuring that SSOA personnel are properly trained and 
adequately resourced to regulate rail transit systems within their 
respective jurisdictions. At the State level, SSOA personnel are 
responsible for direct safety oversight of those rail transit systems 
under their jurisdiction. And on the local level, public transportation 
agency personnel are directly responsible for developing and 
implementing safety oversight within their respective agencies. 
Recognizing this distinction, FTA outlined its vision for the PTSCTP 
which included a wholly new FTA-sponsored training curriculum to 
enhance the technical proficiency of safety oversight professionals in 
the public transportation industry.
    In the ANPRM, FTA noted that pursuant to 49 U.S.C. 5329(c)(2), it 
would promulgate an interim program for safety certification training 
prior to developing a proposed rule for the PTSCTP. On April 30, 2014, 
FTA published a Federal Register notice requesting comment on its 
proposed requirements for the interim program. A

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number of the proposed requirements for the interim program were based 
in part, on recommendations provided by commenters on the ANPRM (see 79 
FR 24363).
    FTA evaluated comments received in response to the proposed interim 
program notice and promulgated the final interim program requirements 
in a Federal Register notice dated February 27, 2015, with an effective 
date of May 28, 2015 (see 80 FR 10619). Since the interim program was 
implemented only recently, FTA has not had sufficient opportunity to 
evaluate the effectiveness of the program, nor assess lessons learned. 
However, to implement the requirement of 49 U.S.C. 5329(c)(1) via a 
regulatory framework, FTA is proposing with this rule that the 
curriculum for the PTSCTP remain the same as that of the interim 
program.
    Some comments on the ANPRM were outside the scope of the questions 
posed and, therefore, are not addressed in this notice. However, many 
of the comments and recommendations were instructive for developing 
both the interim program and this NPRM. What follows is a discussion of 
relevant ANPRM comments, development of the interim program 
requirements, and the regulatory framework proposed for the PTSCTP.
    Question 48. In the ANPRM, FTA proposed organizing the training 
around a series of competencies and basic skills that Federal, State, 
and public transit agency safety oversight personnel need to perform 
their respective responsibilities. To that end, FTA proposed a wholly 
new FTA-sponsored safety training curriculum, provided a list of 
competencies and technical capabilities supported by the curriculum, 
and sought comment regarding what other safety-related competency areas 
or training outcomes should be identified for the PTSCTP.
    Thirty commenters responded directly to the question or provided 
comments relative to the issue. A few commenters indicated that the FTA 
list sufficiently covered all safety-related competency areas. Several 
commenters identified safety-related competency areas for inclusion in 
the PTSCTP, such as: Incident investigation, emergency response, 
fundamental safety management concepts and processes, methods for the 
identification, assessment and evaluation of hazards, safety assurance 
methods, measurement and evaluation of safety management processes and 
mitigation strategies, National Incident Management System (NIMS) 
training, and Occupational Safety & Health Administration (OSHA) 
standards.
    Some commenters suggested that FTA focus on developing a safety 
program that recognizes the six key functions of bus safety identified 
in the 2003 Memorandum of Understanding (MOU) signed by FTA and the 
Federal Motor Carrier Safety Administration (FMSCA). Those functions 
include management, operations and maintenance, human resources, safety 
activities, security activities, and emergency/all hazards management. 
A few commenters stated that FTA should develop clear and workable 
guidelines for safety certification training and accommodate the 
differing needs of small, medium and large agencies in those 
requirements.
    Three commenters indicated that the PTSCTP called for in MAP-21 
only applies to the SSO program and does not require specific training 
requirements for State Department of Transportation (State DOT) staff 
involved in managing federal funds. Two commenters stated that defining 
training outcomes and competency areas is not an appropriate role for 
FTA and should be left up to the determination of a transit agency and 
based on the scope, scale and complexity of fixed facilities, systems 
and operating environment. Commenters also suggested the following:
     Since a culture of safety already exists in rural transit, 
FTA should consider flexible, scalable approaches that use training 
programs that have a proven track record for driver training, vehicle 
maintenance, and drug and alcohol compliance;
     there needs to be a concerted effort to drill down on 
safety concerns that cause the greatest risk in cost and life and focus 
on improving those areas;
     the FTA Safety Certification Program requirement should 
allow FRA-regulated properties the flexibility to comply with FRA 
safety training regulations without requiring additional, redundant 
training and certification requirements.
    FTA response: As discussed further in Section IV of this notice, 
FTA is undertaking this proposed rulemaking in accordance with the 
authority granted under 49 U.S.C. 5329(c)(1). FTA recognizes that one 
size will not fit all; therefore, the curriculum proposed for the 
PTSCTP is designed to be scalable and flexible, especially for State 
DOTs and the bus transit industry.
    In response to the commenters who provided a list of safety-related 
competency areas for consideration, FTA notes that many of those 
competency areas are included in the current curriculum for the TSSP, 
which is a requirement for the interim program and a proposed 
requirement for the PTSCTP. However, FTA does not believe the initial 
requirements for the PTSCTP should include NIMS or OSHA training 
standards because a primary objective of the initial requirements is to 
promote a common framework for developing SMS principles across the 
industry.
    The curriculum proposed for the PTSCTP would include a risk-based 
approach for analyzing and mitigating safety risks. It also would 
leverage existing FTA-sponsored training for all recipients including 
State DOTs, and both rural and urban bus transit providers. 
Accordingly, FTA concurs with the commenters who indicated that bus 
safety training should include the six key functions of bus safety as 
identified in the FTA/FMCSA MOU signed in 2003. FTA proposes to 
continue offering the Bus Safety program and other bus safety-related 
course offerings as a voluntary component of the PTSCTP.
    FTA also concurs with the commenters who indicated that personnel 
who may be subject to both FRA and FTA training requirements should not 
be subject to redundant training. Accordingly, the PTSCTP would not 
apply to personnel of rail transit agencies subject to the jurisdiction 
of the Federal Railroad Administration (e.g., commuter railroads).
    FTA agrees that State DOT personnel involved in managing federal 
funds that are passed on to subrecipients are not likely to be charged 
with safety oversight responsibilities. But the State DOT is 
responsible for ensuring that subrecipients adhere to all applicable 
Federal requirements. We emphasize that this rule does not propose 
mandatory training requirements for State DOT personnel who perform 
safety oversight roles for non-rail public transportation systems.
    Question 49. FTA next asked whether all of the competencies listed 
in the ANPRM are necessary for personnel with safety oversight 
responsibilities.
    Twenty-nine commenters responded directly to the question or 
provided comments related to the issue. Several commenters agreed that 
the competencies identified in the ANPRM are necessary to craft a 
comprehensive safety training program that addresses the various 
hazards and threats faced by public transportation systems. A couple of 
these commenters added that the current FTA-sponsored training is not 
sufficient and transit agencies will need more than the current 
training programs

[[Page 75643]]

in order to successfully comply with new safety requirements.
    Two commenters indicated that the competencies identified were 
unnecessary. One of the commenters stated the current program is overly 
broad and beyond the capacity of many small operators. The other 
commenter recommended that FTA utilize safety training offered through 
the American Public Transportation Association (APTA). Another 
commenter indicated that training should cover the four SMS principles 
and strategies for controlling risk. Several commenters indicated that 
the competencies required for a small, rural, bus-only agency are far 
different than those required in a large, urban, multi-modal agency. 
They noted that agencies with fewer risk factors should be allowed to 
work within standards appropriate to their risk profile. A few 
commenters stated they do not see a need for the rules to prescribe 
specific training requirements for State DOT staff involved in managing 
federal funds that are passed on to subrecipients. Other commenters 
suggested the following:
     Advanced SMS Principles for Rail Transit can probably be 
combined with Level 100 SMS Principles for Rail Transit, and Level 300 
SMS Risk Control Strategies can probably be combined with Level 201 
Advanced SMS Risk Management;
     public transportation agencies should determine which 
competencies are necessary for the scope, scale and complexity of their 
fixed facilities, systems and operating environments;
     many transit safety professionals already have the 
majority of the specific competencies listed. Emphasis may be placed on 
specific SMS areas where gaps exist based on the transit agency's 
safety risk analysis.
    FTA response. A similar question was posed in the Federal Register 
notice for the interim program dated April 30, 2014. Commenters to both 
notices indicated that the existing FTA-sponsored training already 
includes many of the competencies FTA identified as necessary to 
implement a safety certification training program. Consequently, FTA 
reviewed the TSI curriculum and concurs that the courses for the TSSP 
Certificate sufficiently cover many of the competency areas that FTA 
identified; therefore, FTA will leverage the curriculum for the TSSP 
program instead of developing a wholly new curriculum for the PTSCTP.
    As suggested by commenters however, FTA agrees that the existing 
TSSP curriculum should be revised to better reflect SMS principles. 
Accordingly, as noted in Section IV, the TSSP curriculum is being 
updated and FTA is proposing additional courses for the PTSCTP that 
focus on SMS principles. This approach aligns with FTA's adoption of 
the SMS framework to enhance safety while effectively leveraging a 
curriculum and training model familiar to the industry. FTA believes 
its approach to the interim program and the proposed implementation of 
the PTSCTP adequately addresses commenter's concerns regarding costs, 
scalability and flexibility for the transit industry.
    Question 50. In the ANPRM, FTA did not propose a timeframe for 
safety oversight personnel to complete the safety certification 
training requirements. However, the following question was posed to 
obtain the industry's perspective on the issue: Should personnel be 
required to obtain certification prior to starting a position, or 
should they be given a specific timeframe to obtain safety 
certification after starting a position?
    Forty-seven commenters responded directly to the question or 
provided comments relative to the question. Forty commenters indicated 
they do not believe personnel should be required to obtain 
certification prior to starting a position, and a new hire should be 
given a period of time to obtain necessary certifications. Many of the 
commenters noted that it would be more effective to attend required 
safety certification training concurrently with on-the-job training. 
Otherwise, it would limit the pool of qualified candidates for safety 
positions if personnel were required to obtain certification prior to 
starting a position. Commenters also noted that agencies should have 
the flexibility to customize training to address their unique safety 
concerns, size, and management structure. Further, commenters noted 
that currently it is difficult to recruit and hire safety 
professionals; therefore, requiring certification prior to starting a 
position would only increase the difficulty.
    A few commenters stated that personnel should be required to obtain 
all safety certification prior to starting a position because lack of 
appropriate training could potentially put the public at risk. One 
commenter stated that both options should be available depending on the 
position occupied. For instance, at the director level and higher, an 
individual should have experience with the principles of SMS and 
program development. At lower levels, a certain amount of on-the-job 
training could be incorporated in an individual's development plan.
    One commenter indicated that it would be costly to require a person 
to complete the training before a recipient could hire that person. 
Another commenter stated that both approaches have problems. The 
commenter noted that if an agency hires inexperienced people with no 
training and provides the training once aboard, the agency will have 
trained but inexperienced people. On the other hand, an employee needs 
to learn the details of the transit business which cannot be taught 
entirely in the classroom. The commenter noted that if a state agency 
hires only those that have the requisite training, the agency will have 
people with the minimum qualifications to do the job but may still 
require considerable on-the-job training in order to prepare them to 
actually perform the requirements of a regulator.
    Lastly, a commenter stated that since there are no current 
certification requirements for bus transit, time to obtain the 
certification would be appropriate. The commenter also stated that 
personnel performing any specific function or task in a rail system 
should be certified before being allowed to independently perform in 
that capacity.
    FTA response. The objective of safety certification training is to 
enhance the technical proficiency of those responsible for safety 
oversight of public transportation systems. FTA recognizes that in 
order for any proposed regulatory requirements to be implemented 
practically, issues of resource allocation and availability must be 
considered. To that end, FTA concurs with those commenters who 
indicated that it could be overly burdensome to limit the pool of 
available applicants to only those that have completed the proposed 
training requirements. For this reason, the interim program provides 
designated personnel three years from the date of the recipient's 
initial designation to complete the interim program requirements. FTA 
is proposing the same three-year timeframe to complete the initial 
PTSCTP requirements. FTA believes this approach adequately balances 
concerns with personnel training requirements and the recipient's 
resource management requirements.
    Question 51. In the ANPRM, FTA did not propose a specific timeframe 
for how often safety oversight personnel should be required to undergo 
refresher training requirements. However, we did ask the following 
question to obtain the public's perspective on the needed frequency: 
How often should personnel be required to receive refresher training?

[[Page 75644]]

    Forty-seven commenters responded directly to the question or 
provided comments relative to the issue. Several commenters indicated 
that personnel should be required to receive refresher training either 
every two or three years. Some commenters recommended refresher 
training every three to five years. A few commenters thought refresher 
training should be conducted annually. Two commenters stated that 
depending on the number of courses required and the length of the 
training curriculum, refresher training should occur somewhere between 
every one to five years.
    A few commenters indicated that personnel should receive refresher 
training on an as-needed basis to keep them up-to-date on new safety 
standards and changes to existing safety standards. Some commenters 
suggested that the primary concern should be the quality, not the 
quantity or frequency of refresher training. In addition, commenters 
suggested the following:
     Frequency of training should be left to the discretion of 
the recipient;
     FTA should regularly convene those responsible for public 
transportation safety oversight at the Federal, State, and agency level 
to discuss safety critical risks. These discussions should focus on 
trends in public transportation safety risks, safety risk management 
practices and risk control strategies;
     the frequency of refresher training should be based on 
several factors, including, but not limited to the scope of job 
functions, frequency of application of the functions, and experience 
with the specific function for which the individual is responsible;
     frequency of refresher training is dependent on the 
employee's position and safety responsibilities;
     the question is premature and cannot be addressed until 
the final requirements are adopted and the number of professionals 
requiring training can be assessed;
     training standards and timing should evolve as the 
requirements are adopted and implemented. Overlaying refresher training 
requirements on an already strained training system would further slow 
training of new safety professionals.
    FTA response. FTA is taking a comprehensive approach as it 
considers the safety training requirements proposed here, as well as 
those that will be proposed in other rules to implement the Public 
Transportation Safety Program authorized by 49 U.S.C. 5329. FTA 
recognizes that proposed training and refresher requirements should 
align and support the objectives of the SMS framework adopted by FTA. 
To that end, proposed training requirements will be driven by safety 
data in conjunction with safety trend analysis. FTA will periodically 
review safety data and trends which may indicate a need for FTA to 
revise refresher training requirements. However, any revisions will be 
subject to notice and comment prior to becoming effective.
    FTA agrees with the commenters who indicated that refresher 
training should occur every two years following the initial three-year 
timeframe for completing safety certification training requirements. 
Since any refresher training should be relevant to a recipient's 
specific circumstances, the recipient will be in the best position to 
determine the subject matter and timeframe that should be allotted for 
refresher training. However, FTA believes that at minimum, one hour of 
refresher training every two years should be required. The minimum 
requirement of one hour of biannual refresher training strikes an 
appropriate balance that reinforces safety oversight training while 
recognizing that each recipient can best determine refresher training 
that is appropriate for its safety oversight personnel.
    Questions 52 and 53. In the ANPRM, FTA posed a series of questions 
to assist with identifying the universe of potential personnel that may 
be subject to the PTSCPT requirements. Question 52 sought to identify 
which transit agency positions are directly responsible for safety 
oversight. Question 53 sought to identify specific operations personnel 
who are directly responsible for safety, their duties, and the training 
they receive. The questions, as phrased in the ANPRM, did not clearly 
reflect this functional distinction; however, responses from many of 
the commenters indicated an awareness of the distinction. The point is 
noted here because both the interim program and this NPRM would apply 
only to transit personnel with direct safety oversight responsibilities 
(emphasis added) as distinguished from operations personnel who are 
responsible for safety (oversight omitted). FTA's proposed approach to 
the training requirements for operations personnel who are responsible 
for safety will be included in the NPRM for the Public Transportation 
Agency Safety Plan to be issued pursuant to 49 U.S.C. 5329(d).
    Twenty-eight commenters responded to the question of which transit 
agency positions are directly responsible for safety oversight. Several 
commenters listed various transit agency positions as being directly 
responsible for safety oversight including: The entire System Safety 
Department and the divisions under it; agency leadership, operations 
managers, supervisors, and safety staff; the Director of Safety, the 
Risk Management Department and various safety departments and trainers 
that are contractor specific; Safety Managers; Bus and Rail Managers; 
the responsible Executive; Safety Operations Manager; and Safety 
Administrators (Bus, Rail).
    Some commenters noted that in their organizations every employee 
has a responsibility for safety. A number of the commenters also noted 
that overall authority and responsibility was vested in a number of 
individuals, including the General Manager/Transit Director, Chief 
Operating Officer/Operations Manager, Facilities Managers, Maintenance 
Manager, and the Chief Safety Officer and staff. A few commenters 
stated that FTA already has a process for identifying safety-sensitive 
personnel subject to its Drug and Alcohol Testing program requirements 
and recommended that FTA adopt a similar process to identify those 
subject to the safety rules. Two commenters noted that this decision 
should be at the discretion of the transit agency as some agencies, 
because of size, may have a person serving as the safety person in 
addition to other duties. Two other commenters stated that it varies 
depending on the size of the agency and the position should be 
identified by the transit agency General Manager.
    With regard to the series of questions about operations personnel, 
thirty-one commenters responded. Many of the comments were similar to 
responses to the question above; however, a number of commenters 
specifically addressed operations personnel. These commenters 
identified widely varied and diverse operations positions that are 
directly responsible for safety oversight to include: Operations 
Supervisors, Department Managers/Supervisors, Safety Department 
personnel/Safety Managers/Director of Safety, Safety/Training Officer, 
all supervisory and management personnel, Chief Operating Officer, 
Operations Managers, Maintenance Directors, and Transportation Safety 
Specialist.
    Comments regarding the duties of operations positions were just as 
varied and diverse. Duty descriptions included, but were not limited 
to, contract management, research, development, implementation and 
maintenance of programs and procedures, policy development, 
observations, inspections, audits, investigations and liaison. One 
commenter stated that Bus and Rail Transit Operations Supervisors are

[[Page 75645]]

directly responsible for overseeing the operational safety of the 
agency by conducting efficiency tests, rules compliance line rides, 
post-accident line rides, accident investigations, verifying compliance 
with Roadway Worker Protection (RWP) requirements, and investigating 
reported hazards. Commenters noted that the Operations Supervisors are 
trained in all of the above either by internal staff or by attending 
courses offered by TSI.
    One commenter stated that all operations managers and supervisors 
are directly responsible for safety oversight and their duties vary, 
but include development, implementation, training and enforcement of 
policies/procedures; inspection and observation; hazard management; 
tool box safety meetings; and assuring compliance with all local, state 
and federal regulations governing the safe operation of vehicles.
    Responses to the question of training received by operations 
personnel also varied but TSI and OSHA training were mentioned most 
frequently. A number of commenters indicated that they have received 
training such as university level safety training courses, fundamentals 
of bus collision investigation, fatigue and sleep apnea awareness for 
transit employees, transit industrial safety management, and transit 
rail incident investigation.
    FTA response. The responses to both questions clearly indicate the 
universe of transit agency personnel responsible for safety oversight, 
and operations personnel responsible for safety vary among transit 
agencies. As discussed further in Section V of this notice, FTA 
believes that each recipient, with guidance from FTA, is better 
situated to determine which of its personnel are directly responsible 
for safety oversight. As noted earlier, training requirements for 
operations personnel will be addressed in the rulemaking for the Public 
Transportation Agency Safety Plan.
    Question 54. FTA asked whether members of a transit agency board of 
directors or other equivalent entity currently receive any type of 
safety or risk management training; if so, what does the training 
cover?
    Thirty commenters responded, with twenty-three stating that their 
Boards or the equivalent do not receive safety/risk management 
training. In general, several commenters noted that Boards should not 
be required to receive this type of training. A few commenters 
indicated that Boards receive some type of training, ranging from 
informal or familiarization training to training provided by insurance 
companies or executive staff.
    One commenter stated that the Board's involvement with safety/risk 
issues is at a policy level while two other commenters indicated that 
the General Manager is responsible for ensuring that board members, or 
their equivalents, understand the safety culture of the agency. Two 
commenters stated that the Board receives informal safety training. One 
of these commenters noted that this training is a part of their service 
on a Subcommittee for Safety and another responded that the Board is 
instructed on the definitions related to safety reporting and how to 
interpret safety data to improve their understanding of the monthly 
safety data presented to them.
    One commenter responded that when members first come onto the Board 
they are provided familiarization training on FTA safety requirements 
under 49 CFR part 659. Another commenter noted that board members might 
receive this training through an agency's insurance company. Another 
noted that their agency is currently writing a new safety plan that 
incorporates SMS principles; since the Board of Directors will be 
required to review and approve the plan they will receive a 
presentation that will explain SMS principles and processes, including 
risk management.
    FTA response. The information provided by the commenters to this 
question will be reviewed as FTA considers appropriate methods to 
increase SMS awareness for the Board of Directors or those with 
equivalent executive oversight functions.
    Question 55. FTA asked questions about the availability of industry 
training specifically for personnel with transit safety oversight 
responsibility; the effectiveness and accessibility of such training; 
and what other types of training oversight personnel need but that may 
not be readily available to them.
    Twenty-nine commenters responded to this question. Several 
commenters listed the various training that safety oversight personnel 
currently receive, with the common thread being federally-sponsored 
training programs offered by the National Transit Institute (NTI), the 
National Transportation Safety Board, the National Safety Council, TSI, 
and OSHA. Some commenters responded that most of their training was 
developed and/or provided in-house or through on-the-job training. A 
few commenters noted the availability of the following training for bus 
small urban and rural operators: Community Transportation Association 
of America's Certified Safety and Security Officer Training Program and 
FTA's Bus Safety Program Orientation Seminar. One commenter noted that 
Colorado has a robust program offering two full-day safety-related 
training sessions at their spring and fall transit conferences. Two 
commenters mentioned classes conducted by local safety personnel such 
as police, fire, sheriffs, emergency management organizations, and the 
risk manager.
    Commenters noted that the effectiveness of the training is 
evaluated using the following methods: Internal safety audits; facility 
safety inspections; on the job evaluations by departmental managers, 
the General Manager, insurance pool staff, or State DOT staff; ride 
checks; efficiency tests; and SSO triennial audits. In addition, one 
commenter noted that regulatory audits and written tests are used to 
measure training effectiveness.
    Comments on the types of training that oversight personnel need but 
is not readily available included SMS training, risk assessment 
training, reactive training programs that address changes to strategic 
safety philosophy, and tactical issue-specific initiatives. A few 
commenters recommended that FTA develop this training specifically for 
the public transportation industry.
    FTA response. The comments indicate the availability of an array of 
relevant safety training for safety oversight professionals. As noted 
in Section V of this notice, the comments support FTA's proposal to 
develop a process to evaluate safety training obtained from other 
competent organizations for credit towards PTSCTP requirements.

III. Overview of the Proposed Rule

    FTA considered the recommendations submitted by commenters on the 
ANPRM while developing both the interim program and this proposed rule. 
Many of those recommendations are reflected in the requirements 
proposed for this rule.
    To implement this rule, FTA proposes to leverage the interim 
program training requirements as the foundation for the PTSCTP. FTA 
recognizes that the interim program was implemented only recently; 
therefore, a reasonable period of time should pass to allow FTA to 
assess its effectiveness before proposing new or additional 
requirements. The interim program curriculum and technical training 
requirements are republished in Section IV of this notice for clarity. 
FTA invites public comment on its proposed implementation of the PTSCTP 
as noted herein.
    As with the interim program, FTA proposes the initial focus of the 
PTSCTP will be on enhancing the technical proficiency of safety 
oversight professionals in the rail transit industry.

[[Page 75646]]

In addition, public transportation safety is a priority for all public 
transit providers; therefore, safety oversight professionals of other 
modes of public transportation are encouraged to participate 
voluntarily. The initial mandatory PTSCTP requirements would provide 
SMS training for Federal and SSOA personnel and their contractor 
support, as well as rail transit agency personnel who are directly 
responsible for safety oversight of rail transit systems. Safety 
oversight personnel of recipients such as State DOTs and bus transit 
providers would continue as voluntary participants. FTA believes this 
initial approach of mandatory training for SSOAs and rail transit 
agencies, and voluntary training for bus only systems, allows for 
optimum utilization of Federal and local resources while providing 
flexibility to revise the training requirements as appropriate. 
However, FTA notes that pursuant to 49 U.S.C. 5329(c)(1), it has 
discretion to promulgate mandatory training requirements for all public 
transportation systems--not just rail.
    In response to commenters who recommended that the PTSCTP program 
requirements be flexible and scalable and take into consideration the 
varying needs and sizes of different public transit agencies, FTA notes 
that the PTSCTP's mandatory training would apply only to SSOAs and rail 
transit agencies with minimum training requirements necessary to 
enhance technical proficiency. State DOT and bus transit personnel 
would be voluntary participants. Further, FTA recognizes the value of 
leveraging its published safety toolkits, best practices guides, and 
providing technical assistance as the PTSCTP is implemented. Therefore, 
before FTA would propose new training requirements, existing FTA-
sponsored training would be reviewed for applicability and scalability 
relative to the diverse universe of public transit providers.
    FTA also proposes flexibility with regard to how personnel would be 
identified as participants for the PTSCTP. FTA agrees with commenters 
who indicated the recipient should have discretion to identify which of 
its personnel perform safety oversight functions. Comments to the ANPRM 
indicated that position titles and functions in the public 
transportation industry are not universal. In general, it would be 
impractical for FTA to identify the specific positions or titles of 
those directly responsible for safety oversight or those who conduct 
audits and examinations. Therefore, the proposed rule includes 
definitions for the terms ``directly responsible for safety 
oversight,'' ``safety audits,'' and ``safety examinations'' in order to 
assist public transit agencies with identifying personnel who will need 
to complete the training.
    FTA is proposing flexibility with developing the curriculum for the 
PTSCTP. Specifically, FTA would use a process similar to that used to 
identify National Transit Database (NTD) reporting requirements under 
49 CFR part 630. To illustrate, FTA periodically publishes revisions to 
the NTD Reporting Manuals (defined in part 630 as reference documents) 
following notice and comment. For the PTSCTP, FTA would issue and 
update the training requirements for the PTSCTP in a similar manner. 
After FTA issues a final PTSCTP rule, FTA would periodically review the 
training requirements to determine if any modifications should be made 
to improve the effectiveness of the program. If warranted, revised 
requirements would be published in the Federal Register for notice and 
comment before taking effect. The requirements then would be made 
available via the FTA Web site as the reference document noted in 
sections 672.5, 672.11 and 672.13 of the proposed regulatory text. The 
flexibility of this process would align with FTA's periodic review of 
safety data and trends to determine if the reference document warrants 
revisions. FTA believes this proposed approach provides the public 
transportation industry with predictable training requirements yet 
allows flexibility to respond to emerging safety trends within a 
reasonable timeframe.
    The proposed PTSCTP is also flexible with regard to its 
application. FTA is not proposing that a recipient only can hire 
personnel that have completed the initial training requirements. As 
suggested by a number of commenters, FTA proposes that personnel would 
have three years from the date the recipient identifies him or her as 
designated personnel to complete the initial requirements. FTA believes 
this measured approach promotes the legislative intent of enhancing the 
technical proficiency of safety oversight personnel while recognizing 
the recipient's need to prudently manage its human capital and 
resources.
    Additionally, FTA agrees with commenters who indicated that 
refresher training should occur every two years following the initial 
three-year timeframe for completing safety certification training 
requirements. Topics for refresher training would be at the discretion 
of the SSOA or rail transit agency, but would likely align with the 
training requirements to be proposed for the Public Transportation 
Agency Safety Plan. Refresher training would likely place greater 
emphasis on advanced areas or topics that often lead to accidents, 
injuries, or non-compliance. This process would allow both FTA and the 
public transportation industry to analyze safety data and identify 
risks before recommending risk mitigation strategies. FTA believes a 
two-year refresher cycle following the initial three-year training 
period reasonably permits designated personnel to train on relevant 
safety issues while not significantly impacting operations.
    Although each SSOA and rail transit agency would have discretion 
with regard to the subject matter for refresher training, the proposed 
rule would require designated personnel to participate in at least one 
hour of refresher training. FTA emphasizes that this proposal would 
provide the SSOAs and rail transit agencies with discretion to require 
more than one hour of refresher training based on the specific safety 
oversight training needs of the SSOA or rail transit agency.
    FTA also agrees with those ANPRM commenters who indicated that FTA 
should recognize relevant safety training and certification that 
designated personnel already have obtained. To that end, FTA is 
proposing to allow designated personnel to have their previous training 
evaluated by FTA to determine if the training competencies are 
equivalent to the competencies of the curriculum proposed for the 
PTSCTP. FTA would have the discretion to determine whether specific 
PTSCTP training requirements should be waived for the designated 
personnel.
    FTA believes the regulatory construct described above balances 
flexibility and scalability for recipients while achieving the 
objective of enhancing the technical proficiency of public 
transportation personnel. FTA invites public comment on the flexible 
and scalable approach proposed to implement the PTSCTP.

IV. Interim Program Curriculum and Technical Training Requirements

    FTA is providing the following requirements of the interim program 
here to assist stakeholders with understanding the curriculum and 
requirements proposed for this rule. As stated previously, FTA adopted 
these requirements through a notice and comment process and is not 
seeking comments on the requirements themselves. FTA believes the 
curriculum and technical training requirements developed for the 
interim

[[Page 75647]]

program provide a sufficient baseline for enhancing the technical 
competency of those directly responsible for safety oversight. However, 
since these requirements only became effective in May of this year, FTA 
is interested in receiving comments on the effectiveness of the 
curriculum and technical training requirements noted herein.
    For purposes of consistency, FTA has changed ``covered personnel'' 
to ``designated personnel'' as that is the term proposed for use in the 
rule. All other text is the same as that published in the February 27, 
2015, Federal Register notice (80 FR 10619), available at http://www.gpo.gov/fdsys/pkg/FR-2015-02-27/pdf/2015-03842.pdf.

A. Required Curriculum Over a Three-Year Period

     FTA/SSOA personnel and contractor support, and rail 
transit agency personnel with direct responsibility for safety 
oversight of rail transit systems not subject to FRA regulation:

[cir] One (1) hour course on SMS Awareness--e-learning delivery (all 
required participants)
[cir] Two (2) hour course on Safety Assurance--e-learning delivery (all 
required participants)
[cir] Two (2) hour SMS Gap course (e-learning for existing TSSP 
Certificate holders)
[cir] SMS Principles for Rail Transit (2 days--all required 
participants)
[cir] SMS Principles for SSO Programs (2 days--FTA/SSOA/contractor 
support personnel only)
[cir] Revised TSSP with SMS Principles Integration (not required of 
current TSSP Certificate holders--17.5 days for all other designated 
personnel)
[cir] Rail System Safety
[cir] Effectively Managing Transit Emergencies
[cir] Transit System Security
[cir] Rail Incident Investigation

     FTA/SSOA/contractor support personnel (technical training 
component):
    Each SSOA shall develop a technical training plan for designated 
personnel and contractor support personnel who perform safety audits 
and examinations. The SSOA will submit its proposed technical training 
plan to FTA for review and evaluation as part of the SSOA certification 
program in accordance with 49 U.S.C. 5329(e)(7). This review and 
approval process will support the consultation required between FTA and 
SSOAs regarding the staffing and qualification of the SSOAs' employees 
and other designated personnel in accordance with 49 U.S.C. 
5329(e)(3)(D).
    Recognizing that each rail fixed guideway public transportation 
system has unique characteristics, each SSOA will identify the tasks 
related to inspections, examinations, and audits, and all activities 
requiring sign-off, which must be performed by the SSOA to carry out 
its safety oversight requirements, and identify the skills and 
knowledge necessary to perform each task at that system. At a minimum, 
the technical training plan will describe the process for receiving 
technical training from the rail transit agencies in the following 
competency areas appropriate to the specific rail fixed guideway 
system(s) for which safety audits and examinations are conducted:

 Agency organizational structure
 System Safety Program Plan and Security Program Plan
 Knowledge of agency:
    [cir] Territory and revenue service schedules
    [cir] Current bulletins, general orders, and other associated 
directives that ensure safe operations
    [cir] Operations and maintenance rule books
    [cir] Safety rules
    [cir] Standard Operating Procedures
    [cir] Roadway Worker Protection
    [cir] Employee Hours of Service and Fatigue Management program
    [cir] Employee Observation and Testing Program (Efficiency Testing)
    [cir] Employee training and certification requirements
    [cir] Vehicle inspection and maintenance programs, schedules and 
records
    [cir] Track inspection and maintenance programs, schedules and 
records
    [cir] Tunnels, bridges, and other structures inspection and 
maintenance programs, schedules and records
    [cir] Traction power (substation, overhead catenary system, and 
third rail), load dispatching, inspection and maintenance programs, 
schedules and records
    [cir] Signal and train control inspection and maintenance programs, 
schedules and records

    The SSOA will determine the length of time for the technical 
training based on the skill level of the designated personnel relative 
to the applicable rail transit agency(s). FTA will provide a template 
on its Web site to assist the SSOA with preparing and monitoring its 
technical training plan and will provide technical assistance as 
requested. Each SSOA technical training plan that is submitted to FTA 
for review will:
    [cir] Require designated personnel to successfully:
    [ssquf] Complete training that covers the skills and knowledge the 
designated personnel will need to effectively perform his or her tasks.
    [ssquf] Pass a written and/or oral examination covering the skills 
and knowledge required for the designated personnel to effectively 
perform his or her tasks.
    [ssquf] Demonstrate hands-on capability to perform his or her tasks 
to the satisfaction of the appropriate SSOA supervisor or designated 
instructor.
    [cir] Establish equivalencies or written and oral examinations to 
allow designated personnel to demonstrate that they possess the skill 
and qualification required to perform their tasks.
    [cir] Require biennial refresher training to maintain technical 
skills and abilities which includes classroom and hands-on training, as 
well as testing. Observation and evaluation of actual performance of 
duties may be used to meet the hands-on portion of this requirement, 
provided that such testing is documented.
    [cir] Require that training records be maintained to demonstrate 
the current qualification status of designated personnel assigned to 
carry out the oversight program. Records may be maintained either 
electronically or in writing and must be provided to FTA upon request.
    [cir] Records must include the following information concerning 
each designated personnel:
    [ssquf] Name;
    [ssquf] The title and date each training course was completed and 
the proficiency test score(s) where applicable;
    [ssquf] The content of each training course successfully completed;
    [ssquf] A description of the designated personnel's hands-on 
performance applying the skills and knowledge required to perform the 
tasks that the employee will be responsible for performing and the 
factual basis supporting the determination;
    [ssquf] The tasks the designated personnel is deemed qualified to 
perform; and
    [ssquf] Provide the date that the designated personnel's status as 
qualified to perform the tasks expires, and the date in which biennial 
refresher training is due.
    [cir] Ensure the qualification of contractors performing oversight 
activities. SSOAs may use demonstrations, previous training and 
education, and written and oral examinations to determine if 
contractors possess the skill and qualification required to perform 
their tasks.
    [cir] Periodically assess the effectiveness of the technical 
training. One method of

[[Page 75648]]

validation and assessment could be through the use of efficiency tests 
or periodic review of employee performance.

B. Voluntary Curriculum

 Bus transit system personnel with direct safety oversight 
responsibility and State DOTs overseeing safety programs for 
subrecipients
    [cir] FTA-sponsored Bus Safety Programs
    [cir] One (1) hour course on SMS Awareness--e-learning delivery
    [cir] SMS for Bus Operations
    [cir] TSSP Certificate (Bus)

V. Section-by-Section Analysis

    This section explains the requirements proposed to implement the 
Public Transportation Safety Certification Training Program in 
accordance with 49 U.S.C. 5329(c)(1).

Section 672.1 Purpose

    This part proposes to implement 49 U.S.C. 5329(c)(1) by 
establishing a uniform curriculum of safety certification training to 
enhance the technical proficiency of individuals who are directly 
responsible for safety oversight of public transportation systems not 
subject to the safety oversight requirements of another Federal agency. 
This part would not preempt a State from implementing its own safety 
certification training requirements for public transportation systems 
subject to its jurisdiction.

Section 672.3 Scope and Applicability

    In general, the proposed rule would apply to all recipients of 
Federal public transportation funding under Chapter 53 of Title 49 of 
the United States Code. However, the mandatory requirements would apply 
specifically to SSOA personnel and their contractor support who conduct 
safety audits and examinations. In addition, the mandatory requirements 
would apply to rail transit agency personnel who are directly 
responsible for safety oversight of rail transit systems that are not 
subject to the requirements of FRA. All other recipients of Chapter 53 
funding would have discretion to participate voluntarily in the 
training requirements proposed for the PTSCTP.

Section 672.5 Definitions

    This section would set forth the definitions of some key terms for 
the proposed rule. Although this would be a new rule, many of the terms 
used for this section will carry the same or similar meaning as the 
terms are used in other documents issued by FTA. Specifically, they are 
``Administrator,'' ``Contractor,'' ``FTA,'' ``Recipient,'' ``Public 
Transportation Agency,'' ``Rail Fixed Guideway System,'' ``State,'' and 
``State Safety Oversight Agency.''
    In addition, there are some new terms proposed for this rulemaking 
with definitions that are consistent with the common sense use as they 
appear in the proposed rule text. They are: ``Designated Personnel,'' 
``Directly Responsible for Safety Oversight,'' ``Reference Documents,'' 
``Safety Audits,'' and ``Safety Examinations.''

Section 672.11 Designated Personnel Who Conduct Safety Audits and 
Examinations

    With paragraph (a) of this section, FTA is proposing that the State 
entity authorized by the Governor to perform public transportation 
safety oversight functions should identify its personnel who conduct 
safety audits and examinations of the public transportation systems for 
mandatory participation in training requirements of this part. In 
general, those identified would be SSOA personnel and the contractor 
support whose functions include on-site safety audits and examinations 
of rail public transportation systems. This section also would apply to 
the managers and supervisors who have direct authority over such 
personnel. FTA is proposing this approach because each SSOA is better 
situated to determine which of its personnel and contractors perform 
safety audit and examination functions as those terms are proposed in 
the Definitions section for this rule.
    Paragraph (b) proposes that personnel designated by the SSOA would 
have three years to complete the applicable training noted in the 
Reference Document as the term is defined in proposed section 672.5. To 
implement this rule, the interim program training requirements listed 
in Section IV of this notice would be listed in the Reference Document. 
Paragraph (b) also would require the SSOA to ensure that designated 
personnel complete at least one-hour of refresher training every two 
years after the initial three-year period above. The SSOA would have 
discretion to determine the subject area and time for such training. 
Paragraph (c) would identify the FTA web address for locating the 
current version of the safety certification training requirements.

Section 672.13 Designated Personnel of Public Transportation Agencies

    This section would require a recipient to identify its employees 
whose job function is ``directly responsible for safety oversight'' of 
the public transportation system. FTA understands that the unique 
organizational framework of public transit systems does not reasonably 
allow for uniform designation of the same position or function as being 
``directly responsible for safety oversight.'' FTA believes each 
transit agency is better situated to determine which of its personnel 
should be designated for participation in the PTSCTP, whether mandatory 
or voluntary.
    Paragraph (a) would require each recipient that operates a rail 
transit system not subject to FRA requirements to identify its 
designated personnel for mandatory participation in the PTSCTP. 
Paragraph (b) would allow recipients of other modes of public 
transportation with personnel who are directly responsible for safety 
oversight to participate voluntarily. In general, these recipients 
would be State DOTs, transit agencies with both bus and rail transit 
systems, as well as bus only systems. These recipients would have 
discretion to scale their training requirements based on their safety 
risks, as well as guidance issued by FTA. FTA would continue to provide 
technical assistance for training through its Safety Training and 
Resource Web site which can be located at: https://safety.fta.dot.gov/.
    Paragraph (c) would provide mandatory participants up to three 
years from the time of his or her initial designation to complete the 
initial training requirements. The recipient would then ensure that 
each mandatory participant completes at least one-hour of refresher 
training every two years thereafter. However, the recipient may require 
additional time for such training. As noted in paragraph (d), the FTA 
web address for locating the current version of the safety 
certification training requirements is identified.

627.15 Evaluation of Prior Certification and Training

    FTA recognizes the existence of other competent organizations that 
provide relevant safety training and certification for public 
transportation safety professionals. Therefore, paragraph (a) of this 
section would allow a participant to request that FTA review other non-
FTA sponsored safety training the participant has completed for the 
purpose of receiving credit toward equivalent elements of PTSCTP 
training requirements.
    Paragraph (b) would require the participant to provide official 
documentation from the organization that conducted the training for 
which credit is being requested. The documentation should indicate the 
date(s) and subject matter of the completed training. In addition, the

[[Page 75649]]

participant would be required to provide a narrative summary of the 
training objectives and the competencies obtained through that 
training.
    In accordance with paragraph (c), FTA would evaluate the submission 
to determine if the previously completed safety training conforms to 
the training objectives and competencies of the FTA curriculum. If 
approved, FTA would provide the participant credit for the previous 
training and waive completion of the equivalent element of the PTSCTP 
requirement. However, the waiver would not exempt a participant from 
having to comply with any applicable refresher training or technical 
training requirements.

Section 672.21 Records

    An essential requirement of any training program is the maintenance 
of adequate records to document that the training was completed. To 
that end, as noted in paragraph (a), FTA proposes to maintain an 
electronic record of each PTSCTP participant. The electronic record 
would be created when the participant registers online for the program 
at: https://safety.fta.dot.gov/.
    FTA would maintain and administer the online database; however, 
paragraph (b) would require that each recipient be responsible for 
ensuring that its designated personnel are properly registered and 
completing the curriculum for their position (e.g., safety oversight 
function, or conducting safety audits and examinations). The database 
would allow participants to update his or her status as training 
requirements are completed.
    Paragraph (c) would require each SSOA develop a technical training 
plan based on applicable requirements identified in the technical 
training component of Section IV of this notice. Each SSOA would 
maintain training records that document the technical training 
undertaken by its designated personnel and contractors who conduct 
audits and examinations of rail transit systems under its jurisdiction. 
This documentation would be retained by the SSOA for at least five 
years from the date the record is created. This documentation process 
would assist the SSOA in complying with the requirements of 49 U.S.C. 
5329(e)(3)(E), as it would provide supporting documents that show 
designated SSOA personnel and contractor support are have received 
training to perform requisite safety oversight functions. As with the 
interim program, FTA would provide templates and guidance to assist the 
SSOA with this process.
    With regard to contractors that provide audit and examination 
services to SSOAs, the SSOA would be responsible for ensuring that any 
contractor it engages to perform a safety oversight function is 
qualified to perform the service as contracted. Therefore, it is 
reasonable for the SSOA, working with its contractor, to maintain 
training records of those providing contract services.

Section 672.23 Availability of Records

    With this section, FTA is proposing requirements for the 
safekeeping and limited release of information maintained in accordance 
with the proposed requirements of this part. Paragraph (a) would 
require that information maintained in applicable training records not 
be released without the consent of the participant for whom the record 
is maintained, except in those limited instances as prescribed by law 
or as indicated in paragraphs (b), (c) and (d).
    Paragraph (b) would allow a participant to receive a copy of his or 
her training records without cost to the participant. To assist with 
safety oversight activities, paragraph (c) would require a recipient to 
provide appropriate Federal and SSOA personnel access to all of the 
recipient's facilities where required training is conducted. In 
addition, the recipient would be required to grant access to all 
training records required to be maintained by this part to appropriate 
Department of Transportation personnel and appropriate State officials 
who are responsible for safety oversight of public transportation 
systems. Paragraph (d) would require a recipient to provide information 
regarding a participant's training when requested by the National 
Transportation Safety Board when such request is made as part of an 
accident investigation.

Section 672.31 Requirement To Certify Compliance

    Recipients are required to annually certify their compliance with 
Federal grant requirements as a condition for receiving funding. 
Paragraph (a) would require recipients for whom the training 
requirements are mandatory to self-certify compliance with this part 
through the annual FTA certification and assurances. Paragraph (b) 
would require the recipient to identify the person(s) within its 
organization authorized to certify the status of the recipient's 
compliance.

Section 672.33 Compliance as a Condition of Financial Assistance

    This section would define actions available to the Administrator if 
a recipient for whom the training requirements are mandatory does not 
comply with the requirements of this part. Paragraph (a) would indicate 
that the Administrator has discretion to withhold Federal public 
transportation funds should the Administrator find that a recipient is 
not complying with the requirements of this part. Paragraph (b) would 
provide the recipient with written notice of the Administrator's 
decision and the factual basis for the Administrator's finding of 
noncompliance. Paragraph (c) would provide the recipient an opportunity 
to respond to the Administrator within 30 days of receiving written 
notice of the finding of noncompliance. Paragraph (d) provides actions 
the Administrator may undertake at his or her discretion.

VI. Cost-Benefit Analysis

    Section 5329(h) of title 49, United States Code requires FTA to 
``take into consideration the costs and benefits of each action the 
Secretary proposes to take'' under section 5329. To assess the costs 
for the PTSCTP, we first reviewed data from the Transportation Safety 
Institute (TSI). Using this data and our familiarity with how SSOAs are 
organized, we developed a maximum and minimum number of personnel, to 
include employees and contractors that would be affected by the PTSCTP. 
Next, using the same data from TSI, we determined the number of rail 
transit personnel that would be affected by the PTSCTP. We also 
reviewed the number of FTA personnel who participate in safety audits 
and examinations and determined the number of FTA personnel that would 
be required to undergo the some level of training and certification. In 
developing annual costs for personnel that would attend the PTSCTP, we 
assumed a minimum and maximum case scenario.
    For the minimum case, we assumed that all designated personnel 
under this program had already completed the TSSP Certificate Program 
and would require only the SMS portion of the coursework described in 
Section IV of this notice. This assumption is supported given the 
popularity of the TSSP Certificate Program within the industry. This 
assumption is supported further by the level of voluntary participation 
by transit industry personnel obtained from current graduation/
attendance data at TSI. For the maximum case, we assume that no one 
subject to the NPRM has a TSSP

[[Page 75650]]

Certificate. In this case, all designated personnel would have to take 
and complete both the TSSP and SMS coursework over the allotted 3-year 
period. The table below shows the estimated counts used in our 
analysis.
    To simplify the analysis, we assumed that the total designated 
personnel under this NPRM would undertake one-third of the total 
coursework each year. While affected employees will have three years to 
complete the coursework--it would be unreasonable to expect an employee 
to be away from a duty station for training purposes for over four 
consecutive weeks. As noted in the comments received on the ANPRM, many 
commenters suggested that we harness the existing voluntary training 
offered by TSI and build upon that base.

   Estimated Universe of Potential SSOA, Rail Transit Agency, and FTA
                                Personnel
------------------------------------------------------------------------
                                              Minimum         Maximum
------------------------------------------------------------------------
SSOA Personnel..........................              70             120
Rail Transit Agency Personnel...........             200             340
FTA Personnel...........................              40              40
                                         -------------------------------
    Total...............................             310             500
------------------------------------------------------------------------

    Next, we determined the training, by course, that would be required 
of each person within the scope of the PTSCTP. The TSSP Certificate 
Program consists of four courses.\1\ The Table below lists the courses 
and duration.
---------------------------------------------------------------------------

    \1\ The TSSP Certificate Program has two tracks, one for rail 
and one for bus-based transport. Since the PTSCTP is optional for 
bus-based transit we do not address those costs or benefits in the 
instant analysis.

                        TSSP Coursework Required
                   [Completed within a 3-year period]
------------------------------------------------------------------------
                      TSSP courses                             Days
------------------------------------------------------------------------
Rail Safety.............................................             4.5
Rail Incident Investigation.............................             4.5
Rail Security...........................................             4.5
Managing Emergencies....................................               4
                                                         ---------------
  Total.................................................            17.5
------------------------------------------------------------------------

    The SMS Coursework consists of two courses and three online 
training sessions. While SSO personnel will be required to take 5.125 
days of total training, rail transit agency personnel will not be 
required to take the two-day SMS Principles Course. However, we assume 
here that all rail transit agency personnel will take all 5.125 days. 
This approach is conservative and potentially over counts the total 
costs by about $65-110,000.00 per year but does not complicate this 
analysis. The Table below lists the courses and duration.

              SMS Coursework--In-Class and Online Required
                   [Completed within a 3-year period]
------------------------------------------------------------------------
                       SMS courses                             Days
------------------------------------------------------------------------
SMS Awareness...........................................           0.125
Safety Assurance........................................            0.25
SMS Gap.................................................            0.25
SMS Principles Rail Transit.............................             2.5
SMS Principles SSO Programs.............................               2
                                                         ---------------
  Total.................................................           5.125
------------------------------------------------------------------------

    Using the 2013 Bureau of Labor Statistics (BLS) average wage rate 
of $40.84 for those taking training under this program, we developed 
the following Lower Bound and Upper Bound costs for attendance as 
depicted in the table below.

           Costs for Attendance of SSOA, Rail Transit Agency, and FTA Personnel Within a 3-Year Period
----------------------------------------------------------------------------------------------------------------
                                                     Number of                     Training time    Attendance
                                                     personnel      Hourly rate       (days)           costs
----------------------------------------------------------------------------------------------------------------
Lower Bound Mandatory Costs/Yr..................             310          $40.84           5.125     $172,467.32
Upper Bound Mandatory Costs/Yr..................             500           40.84          22.625    1,234,470.68
----------------------------------------------------------------------------------------------------------------

    Next, we developed costs associated with developing, managing, and 
administering the coursework for the PTSCTP. First, we reviewed the 
course catalog for TSI and determined the percentage of courses 
required by the PTSCTP of the total courses offered--a little more than 
one-fourth (six courses plus three online courses out of 21 total 
courses or about 28 percent) of the total course offerings would be 
required of the combined TSSP/SMS training under this NPRM. 
Furthermore, of the total days of coursework offered by TSI, 30 percent 
were attributable to the TSSP/SMS coursework. To be conservative, we 
used 30 percent for weighting for unattributable costs and allocated 
full costs where we were able to identify cost resulting from the TSSP 
and/or SMS training components. Using data from FTA's budget for TSI, 
the cost for the administration of courses, contract costs, and costs 
for the development of new coursework we developed the program costs. 
We factored no facility costs as regional transit agencies or FTA 
Regional Offices host courses. Hence, we also do not account for travel 
costs because courses are hosted locally--travel for those attending 
would be included within normal commuting parameters. Lastly, there is 
no cost associated with taking the coursework for public agency 
employees. Using this information, we developed the costs presented in 
the following table.

        TSI Program Costs Associated With TSSP and SMS Coursework
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Federal Salaries and Benefits *.........................        $210,212
Contract Services.......................................         368,000
Equipment, Supplies, Space, Other *.....................          58,260
Travel (Other than Course Delivery) *...................          13,800
Course Delivery.........................................         462,866

[[Page 75651]]

 
Indirect at 19%.........................................         211,496
Est. Materials Fee Recovery *...........................          97,570
                                                         ---------------
  Total Program.........................................       1,422,204
------------------------------------------------------------------------
* Weighted Cost Allocation.

    Using the costs presented above, the table below presents the total 
annual costs for the PTSCTP. We note here again that we have been very 
conservative in aggregating costs, so in fact the aggregate cost 
estimates are greater than we expect to be the case. We have not 
removed costs for rail transit agency personnel that do not have to 
take the SMS SSO Principles course. We have assumed in the Maximum 
scenario, in an overabundance of caution, that everyone has not taken 
the TSSP Certificate coursework, which is a weak assumption given the 
level of voluntary participation and popularity of the program. 
Moreover, we have used a weighting that over estimates unattributable 
costs given the level of presence in the TSI course load. While we 
present data for both a Maximum Cost and Minimum Cost scenarios, the 
actual experience for costs should be closer to the Minimum scenario 
than to the Maximum scenario.

                          Total Costs for the PTSCTP Over a 3-Year Certification Period
----------------------------------------------------------------------------------------------------------------
                                                                    Attendance
                                                                       costs         TSI costs      Total costs
----------------------------------------------------------------------------------------------------------------
Aggregate Costs MIN.............................................        $172,467      $1,422,204      $1,594,671
Aggregate Costs MAX.............................................       1,234,471       1,422,204       2,656,674
----------------------------------------------------------------------------------------------------------------

    As the interim provisions only have been in effect for a short 
time, we were unable to generate any estimate of their benefits. Thus, 
to assess the benefits for the PTSCTP, we considered how other 
transportation modes that are in the process of implementing SMS or 
similar systematic approaches to safety have estimated the benefits of 
their programs in reducing incidents, adverse outcomes, and improving 
training programs. For example, although no two programs are identical, 
the Federal Railroad Administration (FRA) in its final rule 
implementing its Training Standards issued November 7, 2014 at 79 FR 
66460, http://www.gpo.gov/fdsys/pkg/FR-2012-02-07/html/2012-2148.htm, 
provided evidence that training programs for the railroad industry 
would yield a breakeven point with a 7 percent reduction in human 
factor-caused accidents. Moreover, FRA in its proposed rules to 
implement its System Safety Program (SSP) (see 80 FR 10950) and its 
Risk Reduction Program (RRP) (see 77 FR 55372) provided anecdotal 
evidence that both programs could lead to meaningful reductions in 
serious crashes, and conducted breakeven analyses that found that a 
less than 1 percent reduction in the incidents and accidents under 
consideration would lead to a cost-neutral SSP rule and an 
approximately 2 percent reduction for the RRP rule. Additionally, the 
Federal Aviation Administration estimated that its SMS program could 
yield a 20 percent reduction in crashes.
    Enhancements brought about by SMS have also supported 
transportation and oversight agencies in mitigating the impacts of 
those events that do occur. For the SSO program NPRM issued February 
27, 2015, at 80 FR 11002-30, FTA considered what percentage of 
potential safety benefits that rule would need to achieve in order to 
achieve a ``break even'' point with the costs based on two different 
estimates of the potential benefit pool. (FTA noted, therein, that the 
analysis was not intended to be a full analysis of the potential 
benefits of SMS for transit safety--rather it was intended to provide 
some quantified estimate of the potential benefits of the changes to 
the SSO program proposed in that rule). FTA also noted that the 
analysis may understate the potential benefits because of the lack of 
data on some non-injury related costs associated with many incidents, 
particularly regarding property damage and travel delays. For the SSO 
NPRM, FTA estimated that the SSO program revisions would realistically 
garner a 2 percent reduction in costs associated with fatalities and 
``serious'' injuries. FTA performed analyzed the potential safety 
benefits of the SSO NPRM by reviewing the rail transit incidents 
specifically identified by the NTSB as related to inadequate safety 
oversight programs. Of the 19 major rail transit accidents the NTSB has 
investigated (or preliminarily investigated) since 2004, five had 
probable causes that included inadequate safety oversight on the part 
of the rail transit agency or FTA. Based on the analysis for the SSO 
NPRM, for the benefits to breakeven with the costs to both SSOs and 
rail transit agencies, the rule would only require a 1.23 percent 
reduction of the accidents costs per year, which did not include 
potentially significant unquantified costs related to property damage 
and disruption.
    At base, the SSO NPRM increases the frequency and/or 
comprehensiveness of activities that are already performed, such as 
reviews, inspections, field observations, investigations, safety 
studies, data analysis activities, and hazard management. The SSO NPRM 
focuses its efforts on process improvements to achieve its benefits.
    The SSO program is reliant on the PTSCTP for part of its safety 
improvements. While the SSO NPRM proposed to improve SSO and rail 
transit agencies processes, the PTSCTP improves the requisite human 
capital within the SSO program by improving the training and by making 
mandatory training for those designated personnel charged with safety 
oversight at SSO and rail transit agencies.
    We were very confident that a 2 percent reduction, which is in line 
with FRA estimates, could be achieved with the SSO NPRM--in fact, our 
calculations showed the breakeven point to be a reduction of 1.23 
percent. This leaves about .77 percent or nearly $14.3 million in 
benefits that have been unallocated. FTA believes that training for 
those charged with safety oversight at SSO and rail transit agencies is 
an imperative to achieve estimated reductions in incidents and 
accidents. To this end, we calculated the breakeven point for the 
PTSCTP. The breakeven point for the maximum case of $2.6 million in 
annual costs is 0.14 percent and .09 percent for the minimum case of 
$1.6 million in annual costs. This level of reduction in fatalities and 
serious injuries is likely to be extremely conservative and we are 
highly confident that it is easily attainable when complemented with 
the changes proposed in the SSO NPRM.
    As an alternative and to cross-check the benefits of training, we 
reviewed literature on returns derived from investments in training and 
training programs. Bartel conducts a panel study that analyzed large 
firms, studies that

[[Page 75652]]

focused on one or two firms, and company sponsored studies.\2\ Bartel 
finds that employer's return on investments in training may well be 
greater than was previously believed. We partially reproduce the table 
below from Bartel.
---------------------------------------------------------------------------

    \2\ Bartel, Ann P. ``Measuring the Employer's Return on 
Investments in Training: Evidence from the Literature'' Online: 
https://www0.gsb.columbia.edu/faculty/abartel/papers/measuring_employer.pdf.

                                 Econometric Analysis of Large Samples of Firms
----------------------------------------------------------------------------------------------------------------
                                                                         Performance
             Author                 Response rate      Sample size         measure               Findings
----------------------------------------------------------------------------------------------------------------
Bishop.........................  75%...............            2594  Productivity......  ROI on 100 hours of new
                                                                                          hire training ranged
                                                                                          from 11% to 38%.
Bartel.........................  6.5%..............             155  Value-Added.......  Implementation of
                                                                                          formal training raised
                                                                                          productivity by 6% per
                                                                                          year.
Holzer et al...................  32%...............             157  Scrap Rate........  Doubling of worker
                                                                                          training reduced scrap
                                                                                          rate by 7%, using
                                                                                          fixed-effects model.
Black and Lynch................  72%...............             617  Net Sales.........  Percentage of formal
                                                                                          training that occurs
                                                                                          off the job has
                                                                                          significant effect in
                                                                                          cross section but no
                                                                                          effect on the
                                                                                          establishment-specific
                                                                                          residual.
Tan and Batra..................  Random Sample.....       300-56000  Value-Added.......  Predicted training has
                                                                                          positive effect on
                                                                                          value-added; effects
                                                                                          range from 2.8% to 71%
                                                                                          per year.
Huselid........................  28%...............             968  Tobin's q and Rate  High-performance
                                                                      of Return on        practices had
                                                                      Capital.            significant effect in
                                                                                          cross section that
                                                                                          disappeared in fixed-
                                                                                          effects model.
----------------------------------------------------------------------------------------------------------------
Source: Bartel PP. 506.

    While these results from Bartel's study are not transportation or 
even transit related, it still gives a clear picture of the benefits 
that firms across industries have experienced when they have invested 
in training. We also reviewed a study by Almedia and Carneiro on firm-
provided training, in which they estimate the rate of return for firms 
that invest in human capital (training).\3\ Conducting a panel study of 
firms with detailed data on training, they estimate that firms that do 
not provide training yield a negative 7 percent return while those that 
provide training accomplish a 24 percent return. They conclude that 
training is ``a good investment for many firms and the economy, 
possibly yielding higher returns than either investments in physical 
capital or investments in schooling.'' \4\
---------------------------------------------------------------------------

    \3\ Almeida, Rita and Pedro Carneiro. ``Costs, Benefits and the 
Intenal Rate of Return to Firm Provided Training'' Online: http://siteresources.worldbank.org/DEC/Resources/AlmeidaCarneiroUpdatedWP3851.pdf.
    \4\ Ibid.
---------------------------------------------------------------------------

    The literature generally shows that returns on investment for 
training are positive and usually greater than is typically thought. 
This comports with the conservative assumptions that we have made and 
use to assess the PTSCTP program.

Qualitative Factors

    While the TSSP Certificate Program has been available for some 
time, it had been an optional certification that some SSOA, rail, and 
bus safety oversight personnel sought out of self-initiative. With the 
delineation of a mandatory pool of safety oversight employees, FTA 
hopes to unify and harmonize the provision of safety-related activities 
across SSOAs and rail transit agencies. In this way, this pool of 
employees will gain knowledge to identify and control hazards with the 
ultimate goal of decreasing incidents. Additionally, FTA expects that 
the codification of the PTSCTP will help promote a safety culture 
within the transit industry. This safety culture should help instill a 
transit agency-wide appreciation for shared goals, shared beliefs, best 
practices, and positive and vigilant attitudes towards safety.
    We are unsure how to quantify the effects of a positive safety 
culture as a safety culture will develop over time. Characteristics of 
a positive safety culture include: Actively seeking out information on 
hazards; employee training; information exchanges; and understanding 
that responsibility for safety is shared. While the returns on 
investment in training should be fairly quick, establishing, promoting, 
and increasing safety in an industry that is already very safe, is 
difficult to predict with any certainty.

VII. Regulatory Analyses and Notices

    All comments received on or before the close of business on the 
comment closing date will be considered and will be available for 
examination in the docket at the above address. Comments received after 
the comment closing date will be filed in the docket and will be 
considered to the extent practicable. In addition, FTA may continue to 
file relevant information in the docket as it becomes available after 
the comment period closing date, and interested persons should continue 
to examine the docket for new material. A final rule may be published 
at any time after close of the comment period.

Executive Order 12866 (Regulatory Planning and Review), Executive Order 
13563 (Improving Regulation and Regulatory Review), and DOT 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. Executive 
Order 13563 emphasizes the importance of quantifying both costs and 
benefits, reducing costs, harmonizing rules, and promoting flexibility.
    FTA has determined this rulemaking is not a significant regulatory 
action within the meaning of Executive Order 12866, Executive Order 
13563, and the U.S. Department of Transportation's regulatory policies 
and procedures (DOT Order 2100.5 dated May 22, 1980, 44 FR 11034, Feb. 
26, 1979). FTA has determined that this rulemaking is not

[[Page 75653]]

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 and Executive Order 13272

    This proposed rule was developed in accordance with Executive Order 
13272 (Proper Consideration of Small Entities in Agency rulemaking) and 
DOT's policies and procedures to promote compliance with the Regulatory 
Flexibility Act (5 U.S.C. 601 et seq.) which requires an agency to 
review regulations to assess the impact on small entities. In 
compliance with the Regulatory Flexibility Act, FTA has evaluated the 
likely effects of the proposals set forth in this NPRM on small 
entities.
    As noted in the cost benefit analysis for this rule, FTA developed 
a maximum and minimum number of employees of recipients that would be 
affected by the PTSCTP. FTA believes that approximately 70 to 120 SSOA 
personnel and contractors would be subject to the mandatory PTSCTP 
training requirements while approximately 340 personnel of rail transit 
agencies would be mandatory participants. Further, FTA believes that 
approximately 2,000 personnel may be voluntary participants. Section 
5329(e)(6) permits recipients of rural and urbanized area formula funds 
to use Federal funds to cover up to 80 percent of the PTSCTP costs. 
Additionally, FTA believes many of the PTSCPT participants will be 
eligible to receive credit for prior safety training which will further 
reduce the cost and impact associated with this proposed rulemaking. 
For these reasons, FTA certifies that this action will not have a 
significant economic effect on a substantial number of small entities.

Unfunded Mandates

    This proposed rulemaking would not impose unfunded mandates as 
defined by the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4, 
March 22, 1995, 109 Stat. 48). The cost of training to comply with this 
NPRM would be an eligible expenditure of Federal financial assistance 
provided to recipients under 49 U.S.C. Chapter 53. This proposed rule 
will not result in the expenditure by State, local, and tribal 
governments, in the aggregate, or by the private sector, of $143.1 
million or more in any one year (2 U.S.C. 1532).

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 concluded that this proposed action would not 
preempt any State law or State regulation or affect the States' 
abilities to discharge traditional State governmental functions.

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

    In compliance with the Paperwork Reduction Act of 1995 (44 U.S.C. 
3501 et seq.; ``PRA'') and the OMB regulation at 5 CFR 1320.8(d), FTA 
is seeking approval from OMB for the Information Collection Request 
abstracted below. In order to comply with the requirements proposed to 
implement the PTSCTP in accordance with 49 U.S.C. 5329(c)(1), this NPRM 
would require recipients to provide information to FTA regarding the 
participation of their respective designated personnel as abstracted 
below. Designated personnel would provide enrollment information, 
periodically update compliance with PTSCTP training requirements, and 
where applicable, submit supporting documentation of prior training for 
credit towards PTSCTP training requirements. All recipients of 
mandatory PTSCTP requirements would annually certify compliance with 
the PTSCTP requirements. Additionally, SSOAs would be required to 
develop annual technical training plans for FTA approval. The plans 
would support the SSOA requirement to demonstrate that applicable SSOA 
personnel are qualified to perform safety audits and examinations.
    The information collection would be different for each type of 
recipient (Federal government personnel, Federal contractors, SSOAs and 
their contractors, and rail transit agencies). Therefore, the paperwork 
burden would vary. For example, the burden on SSOAs would be 
proportionate to the number of rail transit agencies within that State, 
and the size and complexity of those rail transit systems. This would 
affect the number of personnel designated for participation. FTA 
proposes to bear the cost associated with the development and 
maintenance of the Web site. FTA is seeking comment on whether the 
information collected will have practical utility; whether its 
estimation of the burden of the proposed information collection is 
accurate; whether the burden can be minimized through the use of 
automated collection techniques or other forms of information 
technology; and for ways in which the quality, utility, and clarity of 
the information can be enhanced.
    Type of Review: OMB Clearance. New information collection request.
    Respondents: Currently there are 30 States with 60 rail fixed 
guideway public transportation systems in engineering, construction, 
and operations. The PRA estimate is based on participation in the 
PTSCTP by a total of 30 States and 60 rail transit agencies. In 
addition, we estimate participation by 35-45 SSOA contractors and 
approximately 30 Federal personnel and contractors.
    Frequency: Information will be collected through the Web site on an 
ongoing basis throughout the year. Participants must complete training 
requirements within 3 years and refresher training every 2 years. 
Certification of compliance will be required annually.
    Estimated Total Annual Burden Hours: In the first year of the 
program, we estimate a total burden of between 5,209 (minimum) and 
5,909 (maximum) hours, depending on how many individuals are required 
to participate. Annually, each SSOA would devote between 88-91 hours to 
information collection activities including the development and 
submission of training plans to FTA. SSOA contractors would devote 
approximately 140-180 hours to information collection activities. These 
activities would have a combined total of 2,780-2,920 hours, depending 
on how many individuals are required to participate. The mandatory 
participants affected by 49 U.S.C. 5329(c)(1) and today's rulemaking 
include 60 rail fixed guideway public transportation systems which 
would spend an estimated annual total of between 2,060 (minimum) and 
2,620 (maximum) hours on information collection activities in the first 
year, or approximately 34-44 hours each. Finally, FTA is expected to 
expend approximately 249 hours in furtherance of the PTSCTP in the 
first year, and Federal contractors will spend an estimated four (4) 
hours each, for a combined total of approximately 369 hours in the 
first year.

[[Page 75654]]

    Additional documentation detailing FTA's Paperwork Reduction Act 
Information Collection Request, including FTA's Justification 
Statement, will be posted in the docket for this rulemaking. OMB is 
required to make a decision concerning the collection of information 
requirements contained in this proposed rule within 60 days after 
receiving the information collection request submission from FTA. FTA 
will summarize and respond to any comments on the proposed information 
collection request from OMB and the public in the preamble to the final 
rule.

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 771.118(c)(4), 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.

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

    Executive Order 12898 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 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 (1) How to fully engage environmental justice 
populations in the transportation decision-making process; (2) How to 
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) How to 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 to minimize litigation, eliminate 
ambiguity, and reduce burden.

Executive Order 13045 (Protection of Children)

    FTA has analyzed this proposed rulemaking under Executive Order 
13045. 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 proposed rulemaking under Executive Order 
13175 and finds that the action will not have substantial direct 
effects on one or more Indian tribes; will not impose substantial 
direct compliance costs on Indian tribal governments; will not preempt 
tribal laws; and will not impose any new consultation requirements on 
Indian tribal governments. Therefore, a tribal summary impact statement 
is not required.

Executive Order 13211 (Energy Effects)

    FTA has analyzed this proposed rulemaking under Executive Order 
13211 and 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 
required.

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 the Moving Ahead 
for Progress in the 21st Century Act (MAP-21; Pub. L. 112-141), and the 
statutory provision codified at 49 U.S.C. 5329(c)(1), which requires 
the Secretary of Transportation to prescribe a public transportation 
safety certification training program for Federal and State employees, 
or other designated personnel, who conduct safety audits and 
examinations of public transportation systems and employees of public 
transportation agencies directly responsible for safety oversight. The 
Secretary is authorized to issue regulations to carry out the general 
provisions of this statutory requirement pursuant to 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 672

    Transportation, Mass transportation, Safety, Reporting and 
recordkeeping requirements.

    Issued in Washington, DC, under the authority delegated at 49 
CFR 1.91.
Therese McMillan,
Acting Administrator.

    For the reasons stated in the preamble, and under the authority of 
49 U.S.C. 5329(c), 5329(f), and the delegation of authority at 49 CFR 
1.91, the Federal Transit Administration proposes to amend chapter VI 
of Title 49, Code of Federal Regulations, by adding part 672 to read as 
follows:

PART 672--PUBLIC TRANSPORTATION SAFETY CERTIFICATION TRAINING 
PROGRAM

Subpart A--General Provisions
Sec.
672.1 Purpose.
672.3 Scope and applicability.
672.5 Definitions.
Subpart B--Training Requirements
672.11 Designated personnel who conduct safety audits and 
examinations.

[[Page 75655]]

672.13 Designated personnel of public transportation agencies.
672.15 Evaluation of prior certification and training.
Subpart C--Administrative Requirements
672.21 Records.
672.23 Availability of records.
Subpart D--Compliance and Certification Requirements
672.31 Requirement to certify compliance.
672.33 Compliance as a condition of financial assistance.

    Authority: 49 U.S.C. 5329(c), 49 U.S.C. 5329(f), 49 CFR 1.91.

Subpart A--General Provisions


Sec.  672.1  Purpose.

    (a) This part implements a uniform safety certification training 
curriculum and requirements that will enhance the technical proficiency 
of individuals who are directly responsible for safety oversight of 
public transportation agencies not subject to the safety oversight 
requirements of another Federal agency.
    (b) This part does not preempt any safety certification training 
requirements required by a State for public transportation agencies 
within its jurisdiction.


Sec.  672.3  Scope and applicability.

    (a) In general, this part applies to all recipients of Federal 
financial assistance under 49 U.S.C. Chapter 53.
    (b) The mandatory requirements of this part will apply only to 
State Safety Oversight Agency personnel and contractor support, and 
designated personnel of recipients that operate rail fixed guideway 
systems that are not subject to the requirements of the Federal 
Railroad Administration.
    (c) Other FTA recipients may participate voluntarily in accordance 
with this part.


Sec.  672.5  Definitions.

    As used in this part:
    Administrator means the Federal Transit Administrator or the 
Administrator's designee.
    Contractor means an entity that performs tasks on behalf of FTA or 
a State Safety Oversight Agency through contract or other agreement.
    Designated personnel means:
    (1) Employees identified by a recipient whose job function requires 
them to be directly responsible for safety oversight of public 
transportation provided by the agency; or
    (2) Employees and contractors of a State Safety Oversight Agency 
whose job function requires them to conduct safety audits and 
examinations of the public transportation systems subject to the 
jurisdiction of the agency.
    Directly responsible for safety oversight means a public 
transportation agency designated personnel whose job function includes 
the development, implementation and review of the recipient's safety 
plan.
    FTA means the Federal Transit Administration, an agency within the 
United States Department of Transportation.
    Public transportation agency means an entity that provides public 
transportation as defined in 49 U.S.C. 5302 and that has one or more 
modes of service not subject to the safety oversight requirements of 
another Federal agency.
    Rail fixed guideway public transportation system means any fixed 
guideway system 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, or any such system 
in engineering or construction. Rail fixed guideway public 
transportation systems include but are not limited to rapid rail, heavy 
rail, light rail, monorail, trolley, inclined plane, funicular, and 
automated guideway.
    Recipient means an entity, including a State or local governmental 
authority that receives Federal funds pursuant to 49 U.S.C. Chapter 53.
    Reference Document means the current edition of the Public 
Transportation Safety Certification Training Program training 
requirements and curriculum. The curriculum and training requirements 
are subject to periodic revision through a notice-and-comment process. 
Recipients are responsible for using the current edition of the 
Reference Document.
    Safety audit means an examination of a recipient's safety records 
and related materials.
    Safety examination means a process for gathering facts or 
information, or an analysis of facts or information previously 
collected.
    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 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 set forth in 49 CFR 
part 659.

Subpart B--Training Requirements


Sec.  672.11  Designated personnel who conduct safety audits and 
examinations.

    (a) Each State Safety Oversight Agency (SSOA) shall designate its 
personnel and contractors who conduct safety audits and examinations of 
public transportation systems, including the managers and supervisors 
of such personnel, and ensure such designated personnel comply with the 
applicable training requirements in the current Reference Document.
    (b) Designated personnel and contractors shall complete applicable 
training requirements of this part within three (3) years of their 
initial designation. Thereafter, refresher training shall be completed 
every two (2) years. The SSOA will determine refresher training 
requirements which shall include at a minimum, one (1) hour of safety 
oversight training.
    (c) Copies. Copies of the current Reference Document are available 
from the FTA Web site located at https://safety.fta.dot.gov.


Sec.  672.13  Designated personnel of public transportation agencies.

    (a) Each recipient that operates a rail fixed guideway public 
transportation system not subject to the safety oversight of another 
Federal agency shall designate its personnel who are directly 
responsible for safety oversight and ensure that they comply with the 
applicable training requirements as set forth in the current Reference 
Document.
    (b) Each recipient that operates a bus or other public 
transportation system not subject to the safety oversight of another 
Federal agency may designate its personnel who are directly responsible 
for safety oversight. Such personnel may participate in the applicable 
training requirements as set forth in the current Reference Document.
    (c) Personnel designated under paragraph (a) of this section shall 
complete applicable training requirements of this part within three (3) 
years of their initial designation. Thereafter, refresher training 
shall be completed every two (2) years. The recipient will determine 
refresher training requirements which will include at a minimum, one 
(1) hour of safety oversight training.
    (d) Copies. Copies of the current Reference Document are available 
from the FTA Web site located at https://safety.fta.dot.gov.

[[Page 75656]]

Sec.  672.15  Evaluation of prior certification and training.

    (a) Designated personnel subject to this part may request that FTA 
evaluate safety training or certification previously obtained from 
another entity to determine if the training satisfies an applicable 
training requirement of this part.
    (b) Designated personnel must provide FTA with an official 
transcript or certificate of the training, a description of the 
curriculum and competencies obtained, and a brief statement detailing 
how the training or certification satisfies the applicable requirement 
of this part.
    (c) FTA will evaluate the submission and determine if any of the 
applicable training requirements of this part will be credited for 
waiver. If a waiver is granted, designated personnel are responsible 
for completing all other applicable requirements of this part.

Subpart C--Administrative Requirements


Sec.  672.21  Records.

    (a) General requirement. FTA will maintain an electronic database 
for designated personnel to register and enroll in the Public 
Transportation Safety Certification Training Program at https://safety.fta.dot.gov.
    (b) General requirement. Each recipient shall ensure that its 
designated personnel are enrolled in the PTSCTP via the electronic 
database. Designated personnel shall update their training profile as 
the applicable training requirements of this part are completed.
    (c) SSOA Requirement. Each SSOA will maintain a record of the 
technical training completed by its designated personnel and 
contractors in accordance with the technical training requirements of 
this part. Such records shall be maintained by the SSOA for at least 
five (5) years from the date the record is created. Each record shall 
include the following information at minimum:
    (1) The name of the designated personnel or contractor;
    (2) The title of the training, the date the training was completed 
and the proficiency test score(s), where applicable;
    (3) The content of each training course or curriculum successfully 
completed and an indication of whether the participant passed or failed 
any associated tests;
    (4) The tasks the participant is deemed qualified to perform; and
    (5) The date the designated personnel's status as qualified to 
perform the task(s) expires, and the date in which biennial refresher 
training is due.


Sec.  672.23  Availability of records.

    (a) Except as required by law, or expressly authorized or required 
by this part, a recipient may not release information pertaining to 
designated personnel that is required to be maintained by this part 
without the written consent of the designated personnel.
    (b) Designated personnel are entitled, upon written request, to 
obtain copies of any records pertaining to his or her training that is 
required to be maintained by this part. The recipient shall promptly 
provide the records requested by designated personnel and access shall 
not be contingent upon the recipient's receipt of payment for the 
production of such records.
    (c) A recipient shall permit access to all facilities utilized and 
records compiled in accordance with the requirements of this part to 
the Secretary of Transportation, the Federal Transit Administration, or 
any State agency with jurisdiction for public transportation safety 
oversight authority over the recipient.
    (d) When requested by the National Transportation Safety Board as 
part of an accident investigation, a recipient shall disclose 
information related to the training of designated personnel.

Subpart D--Compliance and Certification Requirements


Sec.  672.31  Requirement to certify compliance.

    (a) A recipient of FTA financial assistance described in Sec.  
672.3(b) of this part shall annually certify compliance with this part 
in accordance with FTA's procedures for annual grant certification and 
assurances.
    (b) A certification must be authorized by the recipient's governing 
board or other authorizing official, and must be signed by a party 
specifically authorized to do so.


Sec.  672.33  Compliance as a condition of financial assistance.

    (a) General requirement. A recipient may not be eligible for 
Federal financial assistance under 49 U.S.C. Chapter 53, in whole or in 
part, if the Administrator determines the recipient has failed to 
comply with the requirements of this part.
    (b) Notice. If the Administrator determines that Federal financial 
assistance should be withheld, 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--
    (1) A statement of the legal authority for issuance;
    (2) A statement of the regulatory provision(s) the recipient is 
believed to have violated;
    (3) A statement of the factual allegations upon which the notice of 
violation is based; and
    (4) A statement of the remedial action sought to correct the 
violation.
    (c) 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.
    (d) Decision. Within thirty (30) days of receipt of a reply from a 
recipient, the Administrator will issue a written reply to the 
recipient. The Administrator may consider the recipient's response, 
pursuant to paragraph (c) 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.

[FR Doc. 2015-30466 Filed 12-2-15; 8:45 am]
 BILLING CODE P