[Federal Register Volume 83, Number 139 (Thursday, July 19, 2018)]
[Rules and Regulations]
[Pages 34053-34069]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-15168]


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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.

ACTION: Final rule.

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SUMMARY: The Federal Transit Administration is issuing a final rule for 
the Public Transportation Safety Certification Training Program to 
provide revised minimum training requirements for Federal and State 
personnel and contractors who conduct safety audits and examinations of 
transit systems and for transit agency personnel and contractors who 
are directly responsible for safety oversight. The revised requirements 
reduce the number of training hours required by the interim training 
program.

DATES: The effective date of this rule is August 20, 2018.

FOR FURTHER INFORMATION CONTACT: For program issues, contact FTA, 
Office of Transit Safety and Oversight (telephone: 202-366-1783 or 
email: [email protected]). For legal issues, contact Bruce 
Walker, FTA, Office of Chief Counsel (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
    A. Statutory Authority
    B. Summary of Major Provisions
    C. Costs and Benefits
II. Rulemaking Background
III. Summary of NPRM Comments and FTA Responses
IV. Revised Regulatory Evaluation
V. 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). As a first step to 
implementing the PTSCTP, FTA developed requirements for the interim 
safety certification training program (interim training program) which 
became effective on May 28, 2015 (see 80 FR 10619). FTA then published 
a notice of proposed rulemaking (NPRM) in the Federal Register on 
December 3, 2015 (80 FR 75639), which generally proposed to adopt the 
interim training program requirements for the PTSCTP final rule. As 
noted in Appendix A, the requirements in this final rule reduce the 
number of required training hours from a total of 181 hours (22.625 
days) to 143 hours (17.875 days).
    More recently, Congress enacted the Fixing America's Surface 
Transportation Act (``FAST'') (Pub. L. 114-94, Dec. 4, 2015). FAST did 
not make any amendments to 49 U.S.C. 5329(c)(1), the

[[Page 34054]]

statute authorizing the PTSCTP, that would affect today's rulemaking. 
Therefore, for convenience and accurate context, this rule will refer 
to MAP-21 throughout the preamble for consistency with the NPRM.
    Today's rule revises the minimum training requirements for State 
Safety Oversight Agency (SSOA) personnel and contractors who conduct 
safety audits and examinations of public transportation systems that 
receive Federal transit funds. The rule also provides minimum training 
requirements for transit agency employees who are directly responsible 
for safety oversight of public transportation systems that receive 
Federal transit funds. Although not subject to this rule, pursuant to 
49 U.S.C. 5329(c)(1), FTA personnel and contractors who conduct safety 
audits and examinations of rail public transportation systems will 
adhere to the applicable SSOA training requirements listed in Appendix 
A.

A. Statutory Authority

    This rulemaking is issued under the authority of 49 U.S.C. 
5329(c)(1), which requires the Secretary of Transportation to establish 
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(c)(2) and (f)(7).

B. Summary of Major Provisions

    Today's rule adds a new part 672, Public Transportation Safety 
Certification Training Program, to title 49 of the Code of Federal 
Regulations. The purpose of the rule is to provide minimum requirements 
to enhance the proficiency of transit safety oversight professionals. 
In general, FTA maintained much of what was proposed in the NPRM. The 
mandatory training requirements apply to personnel who conduct safety 
audits and examinations of rail transit systems, and transit personnel 
with direct safety oversight responsibility of rail transit systems. 
Participation in the PTSCTP remains voluntary for State personnel, 
employees of bus transit agencies and the contractors directly 
responsible for safety oversight of public bus transportation systems.

C. Costs and Benefits

    In general, FTA has retained the approach to costs contained in the 
NPRM. FTA quantified, to the extent possible, the costs associated with 
this rule. 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.
    Where appropriate, FTA has modified the analysis for this rule from 
that of the NPRM. For example, in response to comments, FTA revised the 
hourly wage rate upward to better reflect average labor rates including 
benefits within the public transportation sector and factored in modest 
travel costs for attendance. Also, FTA has eliminated the 36-hour 
Transit System Security course and the 2-hour SMS Gap online course as 
mandatory components of the PTSCTP program. This change has resulted in 
a reduced burden on course participants. The regulatory analysis is 
conducted in two parts. First, under Executive Order 12866, by 
comparing the costs of issuing the rule in relation to practice prior 
to MAP-21 and second, under Executive Order 13771, since this final 
rule is considered a deregulatory action due to the reduction in 
existing safety training requirements.
    FTA used data from the Transportation Safety Institute (TSI) and 
reviewed the public transit workforce's participation in FTA's 
voluntary safety training programs to establish a maximum and minimum 
number of personnel, including contractors, that would be affected by 
the PTSCTP. The interim training program on which this rule is modeled 
became effective on May 28, 2015. Thus far, enrollment in the interim 
training program aligns with the assumptions FTA posed in the NPRM.
    To determine annual costs for recipients to implement PTSCTP 
requirements, we continue with a minimum and maximum case scenario. For 
the minimum case, we maintain an assumption that all designated 
personnel under this program have received the Transit Safety and 
Security Program (TSSP) Certificate and require only the safety 
management system (SMS) portion of the coursework described in Appendix 
A of this rule. For the maximum case, we assume no one subject to the 
rule has a TSSP Certificate. In this scenario, all designated personnel 
will have to complete both the TSSP (minus the Transit System Security 
(TSS) course) and SMS coursework over a three (3) year period. However, 
in response to comments, some travel costs are now included for 
attending courses if participants are unable to attend locally. Also, 
since TSSP training was previously provided by TSI, the cost of that 
cannot be attributed to this final rule. The cost numbers were adjusted 
accordingly. As a result of the changes above, and extending the 
analysis period to ten years instead of three to include refresher 
training and staff turnover, the maximum cost estimate is adjusted to 
approximately $1.0 million annualized at 7 percent discount rate 
instead of the undiscounted $2.6 million per year over a three year 
period as noted in the NPRM.
    This final rule will replace the interim safety training program 
provisions issued in February 2015. The final rule eliminates two 
training provisions as mentioned above. The cost of the final rule 
therefore reduces the costs of the interim provisions by over $51,000 
over a ten year period, discounted at a 7 percent rate for the minimum 
case scenario and $1.6 million respectively for the maximum case 
scenario, resulting in a net benefit for the agencies. This results in 
an annualized cost savings (benefits) of $7,300 and $2,258 respectively 
for the two scenarios at the 7 percent discount rate.
    We note that these costs do not reflect costs associated with any 
additional countermeasures that better trained personnel will take to 
increase safety that they would not have identified prior to the 
training. Pursuant to 49 U.S.C. 5329(e)(6)(C)(iv), recipients may use 
up to 0.5 percent of their FTA formula funds to cover up to 80 percent 
of costs of PTSCTP eligible expenditures.

II. Rulemaking Background

    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 at 
http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-23921.pdf). 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. 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 each category of these safety professionals.

[[Page 34055]]

    On April 30, 2014, FTA published a document in the Federal Register 
requesting comment on its proposed vision for the interim training 
program. A number of the proposed requirements for the interim training 
program were based partly on recommendations provided by commenters to 
the ANPRM (see 79 FR 24363). FTA evaluated comments received in 
response to the document and promulgated the final interim training 
program requirements in a Federal Register document dated February 27, 
2015 (see 80 FR 10619).
    On December 3, 2015, FTA published a Federal Register document 
proposing to adopt the interim training program as the requirements for 
the PTSCTP (see 80 FR 75639). FTA reviewed comments to the NPRM and 
with this document promulgates the PTSCTP rule as 49 CFR part 672. This 
rule primarily applies to recipients of Chapter 53 funding; however, 
pursuant to 49 U.S.C. 5329(c)(1), the SSOA training requirements listed 
in Appendix A also apply to FTA personnel and contractors that conduct 
safety audits and examinations of rail transit systems.

III. Summary of NPRM Comments and FTA Responses

    FTA proposed to utilize the interim training program requirements 
as the foundation for the PTSCTP. Similar to the interim training 
program, FTA proposed that the initial focus of the PTSCTP should be on 
enhancing the technical proficiency of safety oversight professionals 
in the rail transit industry. However, recognizing that safety is a 
priority for all public transit providers, safety oversight personnel 
of other modes of public transportation were encouraged to participate 
voluntarily. For that reason, FTA proposed that the initial mandatory 
PTSCTP requirements provide safety management system and technical 
training for Federal and SSOA personnel and their contractors, and rail 
transit agency personnel directly responsible for safety oversight of 
rail transit systems. Safety oversight personnel of recipients such as 
State Departments of Transportation (DOTs) and bus transit providers 
would be voluntary participants.
    Nineteen commenters responded to the NPRM as follows: Seven (7) 
public transportation agencies; three (3) State Safety Oversight 
Agencies; one (1) member of the public; one (1) Federal safety agency; 
two (2) national safety associations; two (2) national public 
transportation associations; two (2) State Department of 
Transportations (DOTs); and, one (1) letter representing five (5) State 
DOTs. FTA reviewed all comments and noted that only one commenter 
provided remarks that were not responsive to the scope of the NPRM. 
Following is a summary of the comments received and FTA's responses.

Section 672.1 Purpose

    FTA proposed 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. FTA also noted 
that the rule would not preempt a State from implementing its own 
safety certification training requirements for public transportation 
systems subject to its jurisdiction.
    A commenter to this section expressed appreciation for FTA's effort 
to adopt a uniform training curriculum and establish guidelines for all 
individuals who are directly responsible for safety oversight of public 
transportation agencies. Another commenter noted that FTA's framework 
provides a training standard for system safety and ensures a basic 
level of competency in SMS across the public transportation industry.
    FTA Response: Upon review, FTA determined the proposed text 
requires clarification and is revising the text of paragraph (a) to 
include reference to personnel who conduct safety audits and 
examinations of public transportation agencies in this section. 
Additionally, the phrase ``not subject to the safety oversight 
requirements of another Federal agency'' that was proposed in the NPRM 
is not included in the final rule because the definition for ``public 
transportation agency'' indicates this exception. The remainder of the 
proposed text is included in the final rule.

Section 672.3 Scope and Applicability

    FTA proposed that in general, the rule would apply to all 
recipients of Federal public transportation funding under Chapter 53 of 
Title 49 of the United States Code. FTA noted, however, in order to 
manage Federal and local resources, the initial mandatory requirements 
would apply to SSOA personnel and contractors conducting safety audits 
and examinations, as well as Rail Transit Agency (RTA) personnel 
directly responsible for safety oversight of rail transit systems not 
subject to the requirements of the Federal Railroad Administration. All 
other recipients of Chapter 53 funding would be able to participate 
voluntarily in the PTSCTP.
    In response to the NPRM, one commenter disagreed with FTA's 
approach and recommended that both rail and bus transit system 
personnel be required participants in the PTSCTP. The commenter noted 
that motor vehicle crashes are the second-leading cause of 
unintentional death in the United States. The commenter stated that bus 
operations would benefit from defensive driving training as well as SMS 
and other specific safety training.
    Conversely, commenters affiliated with State DOTs and small bus 
transit providers agreed that FTA should not require safety oversight 
personnel from these entities to be mandatory participants. Many of 
these commenters referred to the excellent safety record of bus transit 
providers to support the exclusion of these entities from mandatory 
PTSCTP participation. The commenters stated that FTA should limit 
regulatory burdens on States and subrecipient transit agencies that 
receive funding for rural transit. Several commenters indicated that 
the final rule should expressly affirm that it does not apply to bus 
service providers other than on a voluntary basis.
    A few commenters indicated that the rule should be revised to 
include FTA personnel and its contractors that conduct safety audits 
and examinations as mandatory participants. These commenters noted that 
FTA should be subject to the same training requirements as SSOA 
employees and contractors.
    FTA Response: FTA continues to believe the initial focus of the 
PTSCTP should be on rail public transit providers and the Federal and 
State personnel who conduct safety audits and examinations. As noted in 
the preamble of the ANPRM published in 2013, the intent is to initially 
focus regulatory efforts on those responsible for safety oversight of 
rail transit systems. FTA adopted this approach because the increased 
potential for catastrophic accidents, loss of life, and property damage 
associated with rail transit warranted the most immediate attention 
(see 78 FR 61252).
    FTA reiterates that although the initial regulatory focus is 
primarily on rail safety, safety in the bus transit industry will not 
be ignored. In addition, FTA continues to expand resources and partner 
with groups that promote bus safety. Recognizing that resources must be 
expended judiciously and enforcement efforts must be prioritized, FTA 
believes the current safety environment within the bus transit industry 
supports the option for voluntary participation in FTA's safety 
training program.

[[Page 34056]]

    However, it is important to note that FTA is developing a more 
systematic safety reporting regime for the public transit industry. FTA 
is also increasing its capability for reviewing and analyzing safety 
data and trends across the industry. Should analysis of safety data and 
trends indicate increased safety risk in the bus transit industry, FTA 
retains authority to implement mandatory training requirements for bus 
transit safety oversight personnel.
    In response to commenters who indicated this rule should apply also 
to FTA personnel conducting safety audits and examinations, FTA notes 
this rulemaking applies specifically to recipients of Federal transit 
funds under Chapter 53, Title 49 of the United States Code. However, 
FTA agrees that FTA personnel and contractors should observe the same 
training requirements as SSOA personnel and contractors. Accordingly, 
pursuant to 49 U.S.C. 5329(c)(1), this final rule requires FTA safety 
oversight personnel and contractors that conduct safety audits and 
examinations of rail fixed guideway public transportation systems to 
adhere to the same SSOA training courses noted in Appendix A. For the 
reasons herein, the text proposed in the NPRM is included in the final 
rule with clarifying edits. In paragraph (b), the phrase ``that are not 
subject to the requirements of the Federal Railroad Administration 
(FRA)'' was removed because the definition of ``rail fixed guideway 
public transportation systems'' includes the statement that such 
systems are not subject to FRA's jurisdiction. The text of paragraphs 
(a) and (c) are included in the final rule as proposed in the NPRM.

Section 672.5 Definitions

    This section proposed definitions for some key terms in the rule. 
Many of the terms carry the same or similar meaning as used in other 
FTA documents. Additionally, some new terms were proposed with 
definitions consistent with common use.
    Seven commenters responded to this section. One commenter stated 
that the term ``contractor'' should be revised to include RTA 
contractors that implement the RTA's safety program. Another commenter 
indicated the definition should be broadened to include all those who 
provide contracted services, supplies, or equipment to FTA recipients. 
Yet another commenter indicated the definition should be revised to 
include individuals and entities that perform safety-related tasks for 
an RTA through contract or other agreement.
    Two commenters indicated the terms ``safety audit'' and ``safety 
examination'' required clarification. One questioned whether there is a 
practical difference between an examination conducted as part of the 
audit and the analysis of acts performed in conjunction with the 
examination. The other commenter indicated the definition for both 
terms require more specificity in order to distinguish between the 
activities associated with the terms and clarify who performs an 
examination.
    A commenter indicated that the definition for ``designated 
personnel'' should be revised to include FTA safety oversight personnel 
and contractors in order to make them subject to this rule. Other 
commenters indicated that FTA needed to provide more clarity regarding 
the definition for ``directly responsible for safety oversight'' 
relative to RTA designated personnel. Another commenter suggested that 
the definition for ``State Safety Oversight Agency'' should not include 
reference to 49 CFR part 659 since that rule is set to expire.
    FTA Response: FTA believes the definition for ``contractor'' 
proposed in the NPRM sufficiently describes entities that provide 
safety audit and examination services to FTA and SSOAs. However, FTA 
agrees with commenters who indicated the definition should be amended 
to include contractors that provide services to public transportation 
agencies. FTA also amended section 672.13 to include RTA contractors.
    With regard to commenters who recommended revising the definition 
for ``designated personnel'' to include FTA personnel and contractor 
support, as noted earlier, this rule generally applies to FTA 
recipients; therefore, FTA personnel and contractors are not included 
in this definition. However, as noted with the ``contractor'' 
definition, subparagraph (1) of this definition is revised to also 
include contractors that provide safety oversight services to rail 
transit agencies.
    FTA concurs with commenters regarding the definition for ``directly 
responsible for safety oversight.'' For clarity, FTA is revising the 
definition of the term relative to section 672.13(a), in recognition 
that RTA safety oversight personnel are already quite familiar with the 
safety oversight program requirements pursuant to 49 CFR part 659.
    With regard to the terms ``safety audit'' and ``safety 
examination'', FTA agrees with those commenters who indicated the 
proposed definition for both terms should be reconciled. The terms are 
not unknown nor uncommon to those responsible for safety oversight of 
RTA systems. FTA, SSOA, and RTA personnel are familiar with activities 
associated with safety audits and examinations as the terms relate to 
49 CFR part 659 requirements, as well as the new SSO program rule at 49 
CFR part 674. Further, it is unreasonable to interpret the term 
``examination'' as it appears 49 U.S.C. 5329(c)(1) to refer to anything 
other than examinations related to the safety of public transportation 
systems. Therefore, to remain consistent with the terms as they appear 
in statute, the term safety audit will be included in the final rule 
but the term ``safety examination'' will be modified to ``examination'' 
to align with the definition as it appears in 49 CFR 670.5. It is also 
noted that safety audits and examinations will generally be conducted 
by Federal and/or State personnel and contractors.
    Lastly, FTA agrees in part with the commenter who suggested the 
definition of ``State Safety Oversight Agency'' should be revised in 
reference to 49 CFR part 659. FTA notes 49 U.S.C. 5329(d)(2) provides 
an RTA's System Safety Program Plan (SSPP) developed pursuant to 49 CFR 
part 659 shall remain in effect until FTA publishes a final rule for 
Public Transportation Agency Safety Plans. SSOAs will continue to 
oversee RTAs' SSPPs until the RTAs are required to adopt Public 
Transportation Agency Safety Plans in compliance with the future final 
rulemaking under 49 U.S.C. 5329(d). In recognition of this fact, this 
definition is revised in the final rule to include reference to the new 
rule at 49 CFR part 674, as well as 49 CFR part 659. The remaining 
definitions proposed in the NPRM are included in this rule with minor 
edits to certain terms to ensure consistency with other FTA safety 
rulemakings.

Section 672.11 Designated Personnel Who Conduct Safety Audits and 
Examinations

    FTA proposed that the SSOA identify personnel who conduct safety 
audits and examinations of the RTA(s) subject to its jurisdiction. In 
general, those identified would be SSOA employees and contractors whose 
duties include on-site safety audits and examinations of rail public 
transportation systems. FTA proposed this would include the SSOA 
managers and supervisors with direct authority over such SSOA 
personnel.
    FTA proposed that once identified, designated personnel would have 
3 years to complete the applicable PTSCTP training requirements. FTA 
also proposed that designated personnel would be required to complete 
at least

[[Page 34057]]

one hour of refresher training every 2 years after completing the 
initial mandatory training. FTA further proposed that the SSOA would 
have discretion to determine the subject area and duration for such 
training. FTA also proposed that the interim training program 
requirements become the initial training requirements for this rule. 
The interim requirements were republished as Section IV of the NPRM. 
However, FTA did not seek comment on the curriculum of the interim 
training program since it was developed through public notice and 
comment and effective only since May 28, 2015.
    Five commenters responded to this section. One commenter indicated 
that State personnel, such as commissioners and directors, should not 
be required to participate in the PTSCTP requirements. The commenter 
stated that these individuals do not actually conduct safety audits and 
examinations of the rail transit systems under their jurisdiction. 
Other commenters indicated that FTA personnel and contractors should be 
included as designated personnel.
    Regarding refresher training, several commenters felt the two-year 
interval for refresher training was sufficient. However, one commenter 
disagreed with the two-year timeframe, indicating that more robust 
refresher training should be required annually with a minimum 
requirement of at least four hours of training. The commenter also 
stated that the initial timeframe for completing PTSCTP requirements 
should be less than the three years FTA proposed. One commenter 
recommended that FTA be more specific as to the required elements for 
refresher training. Another commenter stated that FTA should require at 
least one class of refresher training every two years without 
identifying a time limit for the class. Yet another commenter stated 
that refresher training should at minimum include the ``technical 
training component'' and ``knowledge of agency'' elements outlined in 
Section IV of the NPRM.
    FTA Response: In general, FTA believes those with direct management 
and supervisory responsibility of SSOA personnel and contractors that 
conduct safety audits and examinations should be subject to the PTSCTP 
training requirements. However, as indicated by a commenter, there are 
SSOA management personnel who do not directly oversee SSOA personnel 
and contractors. Conversely, there are managers and supervisors who do. 
In either case, FTA recognizes an SSOA is better situated to determine 
which managers and supervisors require technical knowledge or perform 
functions identified in the technical training plan each SSOA is 
required to develop to comport with 49 U.S.C. 5329(e)(3)(E). For 
example, knowledge of railroad components is required only by those 
individuals actually conducting the examinations and audits of those 
specific railroad components, but not necessarily knowledge required of 
SSOA managers.
    In short, some SSOA managers and supervisors will not be subject to 
PTSCTP requirements; however, those with direct supervisory 
responsibility of SSOA personnel and contractors subject to this part 
should share a common framework for understanding issues of risk and 
mitigation. For that reason, these managers and supervisors should at 
minimum undertake the SMS and TSSP curriculum identified in Appendix A. 
As indicated earlier, the SSOA will consult with FTA as it develops its 
technical training plan. This consultation should assist the SSOA with 
determining which of its personnel and contractor support should 
participate in the PTSCTP. However, FTA does not expect directors or 
commissioners, or similar State DOT personnel not involved in the day-
to-day operations of an SSOA to be identified as designated personnel.
    In response to comments suggesting the proposed three-year 
timeframe for completing the initial PTSCTP requirements is too long, 
FTA notes that RTAs and SSOAs already engage in significant safety 
training including the voluntary TSSP which underpins the PTSCTP 
requirements. FTA disagrees that the PTSCTP requirements should be 
completed in less than three years. FTA believes such a requirement 
would unduly burden recipients while not significantly contributing to 
public transportation safety. Furthermore, FTA notes that 49 U.S.C. 
5329 provides additional tools that FTA can utilize if it finds that 
targeted training or remedial action is required immediately.
    In response to comments regarding proposed refresher training 
requirements, from the onset FTA has stated its intent to take a 
comprehensive approach to safety training requirements. FTA recognizes 
there will be safety training requirements in other rules FTA is 
implementing for the National Public Transportation Safety Program 
(National Safety Program) which may apply also to some PTSCTP 
participants. FTA continues to believe that refresher training should 
be relevant to a recipient's specific circumstances and the recipient 
is in the best position to determine the subject matter and timeframe 
allotted for such training. In addition, FTA will provide guidance to 
assist recipients with identifying relevant subject matter for safety 
oversight refresher training.
    FTA believes the proposed requirements are sufficient and that a 
one-year training completion requirement or annual refresher training 
requirement would not provide significant value considering other 
safety training initiatives will be occurring during the same 
timeframe. For these reasons, the proposed rule text is included in the 
final rule except FTA omitted paragraph (c), which provided that the 
Reference Document was available on the FTA website. The training 
curriculum and requirements are now found in Appendix A to this rule.

Section 672.13 Designated Personnel of Public Transportation Agencies

    In the NPRM, FTA proposed that a recipient be required to identify 
its personnel whose job function is ``directly responsible for safety 
oversight'' of the public transportation system. FTA noted that the 
unique organizational framework of public transit systems does not 
reasonably allow for uniform designation of positions or functions that 
are ``directly responsible for safety oversight.''
    FTA stated that once identified, designated personnel would have 
three years to complete the applicable training for the PTSCTP. FTA 
also proposed that designated personnel would be required to complete 
at least one hour of refresher training every two years following the 
completion of the initial PTSCTP requirements. FTA further stated that 
RTA personnel would be mandatory participants while State DOT and bus 
transit system personnel would be voluntary participants. All 
recipients would have discretion to determine the subject area and time 
for biannual refresher training. Seven commenters provided responses to 
this section. In general, commenters responded to FTA's proposed 
timeframe for completing the PTSCTP requirements; however, two 
commenters indicated they were unable to locate the specific 
requirements of the Reference Document.
    One commenter stated that employees of rail systems should be 
required to meet the training requirements as soon as possible in order 
to ensure the safest transit operations for passengers. Several other 
commenters indicated that the three-year period for completing the 
required training should be extended because of potential scheduling 
conflicts. The commenters noted that

[[Page 34058]]

FTA's course availability is not always conducive to transit personnel 
being able to attend the training. Some commenters also indicated that 
there may be instances where the course location could interfere with 
attendance. One commenter suggested that FTA provide its training 
schedule as far in advance as possible in order to assist recipients 
with minimizing travel costs. The commenter also recommended that FTA 
increase the number of online courses.
    One commenter indicated that FTA should not require the Transit 
System Security (TSS) course as a mandatory component of the PTSCTP 
curriculum since security matters are not generally under the purview 
of safety oversight personnel. Two commenters noted that the proposed 
rule required rail transit agencies to provide technical training to 
SSOA personnel and suggested that FTA instead develop specific rail 
transit technical training courses.
    Regarding the requirement to identify personnel who are directly 
responsible for safety oversight, one commenter recommended that such 
personnel be limited to policymaking officials with broad safety 
accountabilities, rather than each employee who has a function or duty 
specific to an agency's safety plan. The commenter suggested that the 
rule apply only to those individuals who are accountable for the 
overall development, implementation, and review of the agency's safety 
program. Another commenter indicated that FTA use an approach in which 
it amplifies an SMS model where implementation of the agency safety 
plan is the shared responsibility of every position within the system 
(i.e., safety, operations, maintenance, human resources, training, and 
administration). The commenter further suggested that FTA provide 
guidance, or identify criteria to assist agencies with objectively 
identifying staff subject to the PTSCTP requirements.
    FTA Response: As noted in response to the section above, FTA 
disagrees with commenters who suggested that three years is not enough 
time to complete the required training. FTA has no indication that the 
current level of course offerings will not support completion of the 
requirements within three years. Review of the registration data 
website for interim training program registration indicates a 
significant number of those enrolling in the PTSCTP have already 
completed all, or some portion of the required TSSP component of the 
certificate program. However, FTA is providing additional course 
delivery dates to alleviate the potential burden due to the perceived 
lack of availability.
    To facilitate course availability and predictability, FTA will 
continue to expand its capacity for delivering the PTSCTP curriculum at 
sites around the country and publish schedules as early as possible. 
Where appropriate, FTA will also work on expanding web based courses to 
increase training opportunities and further reduce costs associated 
with the PTSCTP.
    Regarding SSOA training by RTAs, FTA did not propose a requirement 
for RTAs to provide technical training to SSOA personnel. However, FTA 
encourages SSOAs and RTAs to engage in joint training as much as 
practicable. This collaboration will only serve to promote a common 
framework of knowledge and improve communication between the RTA and 
the State regulator. Any training agreements between SSOAs and RTAs 
will be developed between the respective parties. If an RTA incurs 
additional expenses when including SSOA personnel with its training, 
then the parties can negotiate reimbursement for such expenses since 
SSOA training is an eligible expenditure of 49 U.S.C. 5329(e) grant 
funds.
    FTA disagrees with commenters who suggested that FTA identify 
designated personnel for public transportation agencies. As commenters 
indicated in response to question 52 of the ANPRM that preceded the 
NPRM to this rule, each agency has its specific organizational 
construct and assignment of safety oversight functions. FTA continues 
to believe that each agency should have discretion to determine which 
functions and positions are directly responsible for safety oversight 
of the agency. However, FTA will provide guidance to assist RTAs with 
objectively identifying such personnel.
    FTA agrees with commenters who indicated that employees who are in 
a position to be accountable for the development, implementation, and 
review of the agency's safety program should participate in the PTSCTP. 
This would also include RTA contractors. But the designation should not 
be limited only to personnel with management responsibility for the 
agency's safety plan. The designation should also include staff with 
primary responsibility for developing, implementing, and monitoring the 
agency's safety plan, as well as personnel who implement and execute 
SSOA requirements at the RTA. Depending on the size and organizational 
framework of the agency, this could be a few personnel or a sizable 
office or branch. The following guidance is provided to assist RTAs 
with identifying designated personnel:
    SSOA's Program Standard--Processes and procedures an RTA must have 
in place to comply with the standard: Who at the RTA is responsible for 
developing, implementing or maintaining the following elements of the 
program standard?
    (1) Program management;
    (2) Program standard development;
    (3) Program policy and objectives;
    (4) Oversight of the agency safety plans and internal safety 
reviews (who will respond to the SSOA if the SSOA determines the plans 
are inadequate?);
    (5) Triennial SSOA audits of Rail Public Transportation Agency 
Safety Plans (who will participate in the audit process and follow up 
on any findings or recommendations?);
    (6) Accident notification (who is responsible for making 
appropriate notifications to FTA, SSOAs or when applicable FRA?);
    (7) Investigations (who will conduct internal accident 
investigations or coordinate RTA investigations in accordance with the 
SSO program standard and any agreements in effect?), (if the RTA does 
not agree with elements of an SSOA report, who will submit a written 
dissent from the report?);
    (8) Corrective action plans (CAPs) (who is responsible for 
developing and carrying out the CAPs required by the SSOA?), (who will 
manage an issued CAP, identifying steps to minimize, control, correct, 
or eliminate the risks and hazards identified by the CAP, the schedule 
for taking those actions, and the individuals responsible for taking 
those actions?), (who will periodically report to the SSOA on its 
progress in carrying out the CAP?), (who will collect, track, and 
analyze data on occurrences to develop leading indicators, to prevent 
the likelihood of future events, and to inform the practice of SMS 
across the RTA?).
    FTA recognizes recipients may have questions as to which positions 
or functions should be designated as PTSCTP participants. Recipients 
may contact FTA via email at [email protected] for assistance.
    For the reasons herein, proposed paragraph (a) is revised to 
include RTA contractors and the phrase ``not subject to the safety 
oversight of another Federal agency'' is removed because the definition 
of ``rail fixed guideway public transportation systems'' includes the 
statement that such systems are not subject to FRA's jurisdiction. 
Paragraphs (b) and (c) are included in the final rule as proposed in 
the NPRM and proposed paragraph (d) is omitted now that the PTSCTP 
curriculum and training

[[Page 34059]]

requirements are listed in Appendix A to this rule.

Section 627.15 Evaluation of Prior Certification and Training

    In the NPRM, FTA acknowledged that participants who have completed 
safety training from entities other than FTA should be able to have 
that training reviewed to determine if it is equivalent to the 
competencies of the PTSCTP curriculum. To that end, FTA proposed that a 
participant provide official documentation to FTA from the organization 
that conducted the training. FTA stated that the documentation should 
indicate the date(s) and subject matter of the training. In addition, 
the participant would be required to provide a narrative summary of the 
training objectives and the competencies obtained as a result of the 
training.
    Six commenters responded to this section. In general, commenters 
agreed that FTA should review other safety training for PTSCTP 
equivalency. However, most did not agree with FTA's proposed process. 
Three commenters indicated that FTA should proactively evaluate 
training provided by other organizations. Commenters indicated the 
participant should not have to describe how the training meets the 
competency of the PTSCTP curriculum. One commenter recommended that FTA 
``grandfather'' existing transit agency personnel who possess five 
years of experience executing the requirements of 49 CFR part 659. The 
commenter also stated that FTA should provide PTSCTP credit for 
personnel who possess a Certified Safety Professional credential/
license. Another commenter suggested that FTA broadly and favorably 
consider equivalent training requests from those holding safety 
credentials, and degrees in safety. Lastly, one commenter noted that 
FTA should establish an objective measure for evaluating prior training 
and certification that is predictable, transparent, and fast.
    FTA Response: In general, FTA agrees with commenters who indicated 
there should be an expedited and transparent process for evaluating 
safety training provided by entities other than FTA. To that end, FTA 
continues to refine its process for evaluating a participant's prior 
safety training. At this time, FTA is not prepared to provide 
independent approval of prior safety training or safety professional 
certifications without the participant providing official documentation 
and describing how the training or designation meets the objectives of 
the specific requirements of the PTSCTP. As the training program 
matures, FTA anticipates that it will offer a list of courses and 
training that meet the PTSCTP requirements. Accordingly, the final rule 
includes the text as proposed in the NPRM.

Section 672.21 Records

    In the NPRM, FTA noted that an essential requirement of any 
training program is the maintenance of adequate records of training. To 
that end, FTA proposed to maintain an electronic record of each PTSCTP 
participant via its online enrollment process. However, FTA stated that 
the recipient would be required to ensure that its personnel 
periodically update their information with his or her course completion 
information. Designated personnel can enroll for the program and update 
their individual training records as they complete the applicable 
training requirements by following the instructions provided at FTA's 
training website. The following web address provides participants with 
enrollment and registration information: https://www.transit.dot.gov/regulations-and-guidance/safety/safety-training. Further, each 
recipient will be responsible for maintaining an updated training 
record for its designated personnel.
    Additionally, FTA proposed that each SSOA maintain training records 
to document the technical training of its designated personnel for at 
least five years from the date the record is created. FTA noted this 
documentation would assist the SSOA in complying with the grant 
requirements in accordance 49 U.S.C. 5329(e)(3)(E) by documenting that 
SSOA personnel and contractors have received training to perform 
requisite safety oversight functions.
    FTA received three comments to this section. One commenter 
indicated this section should be revised to require FTA to also 
maintain records of its personnel and contractors that are subject to 
PTSCTP training requirements. Commenters agreed that designated 
personnel should enroll through FTA's safety database; however, two 
commenters indicated that FTA should be responsible for updating the 
participant's training completion information, not the recipient.
    One commenter stated that an SSOA should not be responsible for 
maintaining training records for its contractors. The commenter stated 
that SSOAs should be able to require a contractor to provide 
certification showing the contractor has completed the required 
training. The commenter suggested that once a contractor has provided 
the initial documentation, the SSOA should not be required to maintain 
their training records and the contractor should be responsible for 
maintaining their own records. The commenter also indicated that SSOA 
management should be able to rely on the FTA database to track the 
progress and status of SSOA personnel and contractors without the need 
for additional tracking mechanisms.
    FTA Response: FTA concurs with commenters who indicated that FTA 
should administer and maintain the records for PTSCTP participants. 
However, FTA's ability to access participant training records for the 
PTSCTP does not relieve a recipient of the responsibility for ensuring 
its designated personnel, including its contractors, are in compliance 
with this part. The recipient is in the best position to ensure its 
designated personnel are timely updating course completion information. 
Furthermore, this process will assist the recipient with certifying 
compliance with this part.
    FTA also agrees that a recipient, including an SSOA, should not be 
responsible for developing and maintaining training records for 
contractors. The contractor should be responsible for documenting and 
maintaining training records for its personnel. However, the recipient 
is responsible for ensuring its contractors comply with this part. To 
that end, a recipient may require its contractors to provide timely 
training documentation for contractor personnel subject to this part. 
To assist with grant documentation requirements, an SSOA should retain 
records of both its personnel and contractors in accordance with the 
timeframe prescribed in section 672.21(c) of this part.
    As noted previously, this rule does not apply to FTA personnel and 
contractors. However, training records for FTA personnel are maintained 
in accordance with Federal standards; therefore, FTA disagrees with 
commenters who indicated this section should be revised to apply to 
FTA. However, as indicated by commenters, paragraph (b) is amended by 
replacing the term ``maintain'' with the term ``retain'' in reference 
to an SSOA's responsibility for the training records of its 
contractors. Paragraph (a) is included in the final rule as proposed, 
but subparagraphs (c)(1) through (5) are not included because Appendix 
A provides information required for SSOA technical training records.

Section 672.23 Availability of Records

    FTA proposed a requirement for the safekeeping and limited release 
of information maintained in accordance with the requirements of this 
part. FTA

[[Page 34060]]

stated that information maintained in the training records should not 
be released without the consent of the participant for whom the record 
is maintained, except in limited circumstances. FTA further noted that 
a participant should receive a copy of his or her training records 
without cost to him or her upon request.
    In the NPRM, FTA stated that a recipient would be required 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 
U.S. Department of Transportation personnel and appropriate State 
officials who are responsible for safety oversight of public 
transportation systems. Additionally, a recipient would 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.
    FTA Response: FTA received no comments directly related to this 
section. Accordingly, the text proposed in the NPRM is included in the 
final rule.

Section 672.31 Requirement To Certify Compliance

    FTA noted in the NPRM that recipients are required annually to 
certify their compliance with Federal grant requirements as a condition 
for receiving Federal funding. FTA proposed that recipients for whom 
the PTSCTP training requirements are mandatory should self-certify 
compliance with this part through the annual FTA certification and 
assurances process. FTA proposed that the recipient identify someone 
within the organization as authorized to certify compliance with this 
part on behalf of the recipient.
    One commenter to this section stated that FTA should annually 
certify its compliance with the PTSCTP requirements. Two other 
commenters indicated that similar to FTA's current annual certification 
and assurance process, a recipient's chief executive, such as the 
General Manager or equivalent, should be the official authorized to 
certify compliance. One of the commenters stated that a recipient's 
board of directors primarily performs policy-setting duties and should 
not be asked to certify safety compliance as it would be beyond their 
scope. Lastly, one commenter asked if the annual certification 
requirement also applied to SSOAs.
    FTA Response: The proposed rule stated that the recipient's 
governing body or authority should identify the person responsible for 
certifying the recipient's compliance with this part. FTA did not 
indicate that the governing body or chief executive would specifically 
have to certify the recipient's compliance with this part.
    Currently, recipients undergo FTA's annual self-certification and 
assurance process as a condition of receiving Federal transit funds 
administered through FTA (see https://www.fta.dot.gov/funding/grantee-resources/certifications-and-assurances/certifications-assurances). 
Each recipient, including an SSOA, is required to annually certify 
compliance with numerous Federal requirements as a condition for 
receiving Chapter 53 funds. However, FTA is not a recipient; therefore, 
FTA is not included in the annual certification process. For recipients 
however, annual certification of compliance with this part will now be 
included with FTA's annual certifications and assurance. Consequently, 
a recipient is required to designate an authorized representative for 
the purpose of signing the certification on behalf of the recipient. 
Accordingly, the text proposed in the NPRM is included in the final 
rule.

Section 672.33 Compliance as a Condition of Financial Assistance

    This section was proposed in the NPRM to outline options available 
to FTA when a recipient does not comply with the requirements of this 
part. This section indicated the Administrator's discretion to withhold 
Federal funds and provided a notice and comment period for recipients.
    Two commenters responded to this section. One commenter suggested 
the section be revised to include its applicability to SSOAs unless 
they are considered recipients. The other commenter indicated that 
absent clarification regarding how to identify designated personnel 
there is the possibility for an uneven identification of personnel 
across different agencies which could lead to a situation, where in 
hindsight, the Administrator may decide that a recipient has failed to 
comply with the requirements.
    FTA Response: FTA has reviewed this section in conjunction with the 
provisions of the Public Transportation Safety Program Safety Program 
(see 49 CFR part 670). FTA has determined that the provisions therein 
provide a recipient with sufficient notice and due process regarding 
the Administrator's authority and enforcement actions for noncompliance 
with this part. Therefore, FTA is not including proposed section 672.33 
in this final rule.

Appendix A: Public Transportation Safety Certification Training Program

    FTA proposed adopting the interim training program requirements 
listed in Section IV of the NPRM as the initial training requirements 
for the PTSCTP. FTA noted that the interim requirements were developed 
with public notice and comment and only became effective on May 28, 
2015. For that reason, FTA only requested comments about the 
effectiveness of the curriculum and technical training requirements.
    A number of commenters addressed FTA's proposed implementation of 
the PTSCTP and its applicability which we have already discussed; 
however, one commenter directly addressed the effectiveness of the 
proposed curriculum. The commenter noted that FTA should not require 
the Transit System Security (TSS) course as a mandatory component of 
the PTSCTP curriculum since security matters are not generally under 
the purview of safety oversight personnel.
    FTA Response: FTA agrees with the commenter and has revised the 
PTSCTP curriculum so that the TSS course is no longer a required 
component. FTA recognizes the value of the TSS course and will continue 
to offer it, but concurs that security is not within the general scope 
of training required to implement 49 U.S.C. 5329(c)(1) safety oversight 
requirements. Additionally, FTA has determined that the course 
objectives for the 2-hour online ``SMS Gap course'' training are now 
included in the online ``SMS Awareness'' course and the ``SMS 
Principles for Transit'' course; therefore, it is no longer a 
requirement.
    For clarity, FTA is renaming the ``SMS Principles for Rail 
Transit'' to ``SMS Principles for Transit'' in order to reflect its 
broader applicability across the industry. In addition, the ``SMS 
Principles for SSO Programs'' course is currently under development and 
is not expected to be available by the effective date of this rule; 
therefore, participants will have three years from the course's date of 
availability to complete it. The curriculum for the PTSCTP is revised 
accordingly and appears as Appendix A to this part and is no longer 
referred to as the Reference Document as noted in the NPRM. FTA will 
continue to evaluate the effectiveness of the PTSCTP requirements and 
should FTA determine revisions are warranted, FTA will seek public 
comment prior to doing so.

[[Page 34061]]

IV. Revised Regulatory Evaluation

    Before MAP-21, FTA funded and supported a wide variety of safety 
training at no direct cost to the transit industry and participants 
engaged in the training on a voluntary basis. Subsequently, MAP-21 
mandated that FTA develop an interim training safety certification 
program to enhance the technical qualifications of designated personnel 
directly responsible for safety oversight of public transportation 
systems in advance of a final rule for the Public Transportation Safety 
Certification Training Program. FTA noted that the interim program 
requirements were a condition of receiving Federal grant funding under 
sections 5307, 5311, and 5329 of title 49, United States Code. Although 
the interim program was not promulgated as a rulemaking, pursuant to 49 
U.S.C. 5334(k), FTA sought public comment on the interim provisions. It 
was noted that most of a participant's cost in the interim program 
would be an eligible expenditure of Federal financial assistance 
provided under sections 5307, 5311, and 5329 grants and no cost benefit 
analysis was conducted. FTA will now incorporate many components of the 
interim program in the final rule for the PTSCTP; however, with a 
lessened regulatory burden for required participants.
    The regulatory analyses below include the cost estimates for the 
final rule as required by Executive Order 12866 (Regulatory Planning 
and Review), using pre-MAP-21 estimates as the base line with revisions 
based on comments to the NPRM. The analysis also includes a 
deregulatory action cost estimate as required by Executive Order 13771 
(Reducing Regulation and Controlling Regulatory Costs), as the cost of 
the final rule is less than the cost of the interim rule.
    For the initial analysis to assess the costs for the PTSCTP, FTA 
first reviewed data from the Transportation Safety Institute (TSI) the 
organization that provides FTA sponsored training for transit grantees 
and stakeholders. Using the TSI attendance data for the transit safety 
courses and knowledge of how SSOAs and rail transit agencies are 
organized, FTA developed a maximum and minimum number of personnel, to 
include employees and contractors that would be affected by the PTSCTP. 
FTA 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, FTA assumed a minimum and maximum case scenario. Under the 
minimum case scenario, it is assumed that no additional staff will take 
the TSSP other than the ones who are already doing so. The TSI data 
prior to MAP-21 shows that on average 250 individuals attended the four 
TSSP courses, ranging from 175 attendees for transit rail incident 
investigations to 345 attendees for the transit rail system safety 
course. Given the total number of transit and SSOA entities, there were 
between two to three individuals per agency on average attending the 
courses already. The only additional training taken would be for the 
Safety Management System curriculum. In addition, to meet the 
requirements of this rule, the agencies would need to apply for 
certification for courses attended at TSI or at another venue and to 
maintain records of the training completed. The cost of the additional 
effort is included below.
    The maximum case scenario assumes a higher number of attendees than 
the current practice and assumes no prior completion of safety 
training. This scenario is being presented to show the cost of the rule 
if the level of attendance increases due to the publication of this 
final rule and if the training already taken by individuals does not 
satisfy the TSSP course requirements under this final rule.
    FTA notes that this analysis includes only the costs that could be 
quantified, which are those costs associated with the training, 
certification and record keeping. It does not reflect costs associated 
with any additional countermeasures that better trained personnel might 
take to increase safety that they would not have identified prior to 
taking the training.
    The initial cost-benefit analysis was provided in the NPRM for 
public comment. Several commenters asked if additional Federal funding 
would be available to pay for the training and asked why additional 
funding is not available for RTAs, but available to SSOAs.
    FTA Response: Funding determinations are made by Congress through 
statutory parameters for Chapter 53 recipients, including RTAs. In this 
instance, the training costs associated with the PTSCTP are an eligible 
expense for the Federal grants available to RTAs. However, Congress has 
provided funding for the State Safety Oversight program to eliminate 
the conflict of interest inherent between SSOAs and RTAs when RTAs 
provide funding to SSOAs that provide oversight of these RTAs. 
Furthermore, the incremental cost per RTA is not expected to be 
significant considering many agency employees already undertake or have 
completed most of the required courses. Additionally, much of the new 
SMS training is available online at no additional monetary cost, except 
staff time.
    Several commenters noted the additional cost burden of travel to 
meet the training requirements if the courses are not available locally 
or online. One commenter indicated that its costs could be 
approximately $3,000 per course per employee to take the TSSP courses. 
It was also mentioned that employees will be away from their jobs to 
attend the training and this will result in loss of productivity. One 
commenter requested that costs be shown on a per capita basis for each 
recipient instead of the aggregate estimate reflected in the NPRM.
    FTA Response: FTA does not expect agencies to incur significant 
additional travel costs since much of the SMS training is available 
online and FTA plans to increase its capacity to deliver training 
locally, which will provide more opportunities to attend without 
incurring additional expenses. FTA will also make training schedules 
available earlier to support improved scheduling. However, recognizing 
there may be occasions where travel may be required; FTA is including 
estimated travel costs in the revised assumptions for this rule.
    Regarding cost estimates (labor cost), the assumptions herein 
reflect the loss of individual productivity to attend the training. It 
is anticipated that this cost will be regained through benefits from 
improved safety performance of the agencies. However, FTA notes that it 
is a challenge to project costs per recipient because each recipient is 
responsible for identifying which of its safety oversight personnel 
will be required participants. Furthermore, participants will have 
varying degrees of requirements to fulfill depending on their prior 
TSSP participation.
    To determine aggregate costs, FTA made the following revisions to 
its analysis. FTA is now using the hourly wage rate for a transit 
manager from the 2016 Bureau of Labor Statistics to represent the 
average cost for personnel attending the training. The wage rate is 
adjusted to account for benefits and other employee compensation cost 
to reflect the full agency cost. The revised estimate also considers 
travel costs, assuming that 5 percent of required participants may not 
be able to attend courses locally. Furthermore, the Transit System 
Security (TSS) is eliminated, thus reducing the required

[[Page 34062]]

training from 140 hours over three years to 104 hours over the same 
period. The TSS training remains available for participants, but is 
optional.
    Additionally, FTA has eliminated the 2-hour SMS Gap course, which 
reduces the number of SMS training from 41 hours over three years to 39 
hours over the same period. This results in lower personnel training 
costs relative to PTSCTP compliance costs, but does not significantly 
reduce FTA's cost for providing the training.
    For the minimum case, we continued with the assumption that all 
designated personnel under this program had already completed the 
required courses and would require only the SMS portion of the 
curriculum. This assumption is supported given the popularity of the 
TSSP within the industry. It is supported further by the level of 
voluntary participation of transit industry personnel obtained from 
current graduation/attendance data at TSI.
    For the maximum case, we continue with the assumption that no one 
subject to the rule has a TSSP Certificate. In this case, all 
designated personnel would have to take and complete both the TSSP 
(minus the TSS course) and SMS coursework over the allotted three-year 
period. The table below shows the estimated counts used in our 
analysis. To simplify the analysis, we assume that the total designated 
personnel under this rule would undertake one-third of the total 
coursework each year. The required training would be completed over a 
period of three years.

   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.

TSSP Curriculum

    The TSSP consists of three courses.\1\ The Table below lists the 
courses and duration.
---------------------------------------------------------------------------

    \1\ The TSSP 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 analysis.

                        TSSP Coursework Required
                   [Completed within a 3 year period]
------------------------------------------------------------------------
                     TSSP courses                             Hours
------------------------------------------------------------------------
Rail System Safety....................................                36
Rail Incident Investigation...........................                36
Transit System Security (TSS) (no longer mandatory but                 0
 available as a voluntary course).....................
Effectively Managing Transit Emergencies..............                32
                                                       -----------------
    Total.............................................               104
------------------------------------------------------------------------

SMS Curriculum

    The SMS curriculum consists of two in-person courses and two online 
training sessions. While SSO personnel will be required to now take 39 
hours of total training, rail transit agency personnel will no longer 
be required to take the 2 hour SMS Gap course.

              SMS Coursework--In-Class and Online Required
                   [Completed within a 3 year period]
------------------------------------------------------------------------
                      SMS courses                             Hours
------------------------------------------------------------------------
SMS Awareness.........................................                 1
Safety Assurance......................................                 2
SMS Gap (no longer mandatory).........................                 0
SMS Principles for Transit............................                20
SMS Principles for SSO Programs.......................                16
                                                       -----------------
    Total.............................................                39
------------------------------------------------------------------------

Wage Rates

    An average wage rate of $86.11 is assumed for those taking training 
under this program, based on 2016 Bureau of Labor Statistics data on 
average wages for transit managers, including an adjustment for 
benefits and other employee compensation costs.\2\ Using this wage 
assumption, we have revised

[[Page 34063]]

Lower Bound and Upper Bound costs for attendance as depicted in the 
table below.
---------------------------------------------------------------------------

    \2\ Bureau of Labor Statistics, Occupational Employment 
Statistics for Urban Transit Systems (485100), General and 
Operations Managers (11-1021), May 2014. The average hourly wage of 
$55.18 was multiplied by a benefits adjustment of 1.56.

       Annual Costs for Attendance of SSOA, Rail Transit Agency, and FTA Personnel Within a 3-Year Period
----------------------------------------------------------------------------------------------------------------
                                                                                               Annual attendance
                                         Number of      Hourly rate    Training time (hours)  costs (total costs
                                         personnel                                               divided by 3)
----------------------------------------------------------------------------------------------------------------
Lower Bound Mandatory Cost/Year.....             310          $86.11  39 SSOA-FTA, 23 RTA...            $255,174
Upper Bound Mandatory Cost/Year.....             500           86.11  143 SSOA-FTA, 127 RTA.           1,896,156
                                                                      120...................
----------------------------------------------------------------------------------------------------------------

    In addition to the training requirements for certification, RTA 
personnel are required to attend one hour of training every two years 
to maintain the certification of their own choosing. This would add an 
ongoing annual cost of $13,347 for the minimum case scenario and just 
over $21,527 for the maximum case scenario.

Travel Costs

    To allow for situations where staff are unable to attend local 
training, travel costs are estimated. Based on current air and hotel 
rates, and hourly wage rate of $86.11, transportation cost of $600 and 
lodging and meals of $250 per day and travel time cost of $690 for 
eight hours of travel time is estimated. It is unknown how many 
participants would need to travel to attend training. However, training 
is frequently provided by FTA across the country and agencies have 
three years in which to complete the training; therefore, only a small 
percentage are expected to travel. FTA estimated the cost assuming that 
only 5 percent of the required participants may travel to another 
location to attend a course out of state. The table below shows the 
annual travel costs for attending safety training courses.

                                    Annual Travel Cost to Attend the Training
----------------------------------------------------------------------------------------------------------------
                                                                     Number of      Travel cost    Total annual
         Personnel required to travel to attend training             personnel      per person      travel cost
----------------------------------------------------------------------------------------------------------------
Lower Bound (5%)................................................               4          $4,078         $18,282
Upper Bound (5%)................................................               8          11,694          89,852
----------------------------------------------------------------------------------------------------------------

Administrative Costs

    To comply with the requirements of the final rule, SSOAs and RTAs 
will incur time to designate appropriate staff for training; seek 
evaluation for safety training previously taken to ensure compliance 
with FTA requirements; keep records of training completed and ensure 
certification. The total annual costs of these activities are estimated 
to be $212,735. The same cost estimate is applied to the lower and 
upper bound, although the cost would be higher for the lower bound 
since the course evaluation will not be needed if all personnel attend 
the new training, as assumed for the upper bound estimates.
    Next, we assessed 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 29 percent) of the total course offerings would be 
required of the combined TSSP/SMS training under this rule. 
Furthermore, of the total days of coursework offered by TSI, 30 percent 
were attributable to the TSSP/SMS coursework. To be conservative, we 
used a 30 percent weighting for allocating fixed costs and allocated 
full costs where we were able to identify costs 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. Lastly, no tuition fees are associated 
with taking the coursework for public agency employees, other than a 
small fee for course materials.
    The total cost for FTA to deliver the courses required under PTSTCP 
was about $1.4 million. However, since the TSSP training was previously 
provided prior to MAP-21, this cost is excluded from estimating the 
incremental cost of this rule. SMS training courses have been more 
recently developed to support safety goals, thus that is the only cost 
included here.

        TSI Program Costs Associated With TSSP and SMS Coursework
------------------------------------------------------------------------
            Federal Salaries and Benefits *                 $120,121
------------------------------------------------------------------------
Contract Services.....................................          $211,600
Equipment, Supplies, Other *..........................            33,291
Travel (Other than Course Delivery) *.................             7,886
Course Delivery.......................................           186,744
Indirect at 19%.......................................           106,332
                                                       -----------------
    Total Program.....................................           665,974
------------------------------------------------------------------------
* Weighted Cost Allocation.


[[Page 34064]]

    The total annual cost of providing the SMS training is estimated to 
be $665,974 per year. Table below shows the total annual cost of the 
final rule over the first three years.

                      Total Annual Costs for the PTSCTP Over a 3 Year Certification Period
----------------------------------------------------------------------------------------------------------------
                                                                   SSOA and RTA
                                                                       costs         TSI costs      Total costs
----------------------------------------------------------------------------------------------------------------
Aggregate COSTS MIN.............................................        $486,191        $665,974      $1,152,166
Aggregate COSTS MAX.............................................       2,198,743         665,974       2,864,717
----------------------------------------------------------------------------------------------------------------

    After completing the required training over the three-year period, 
RTA staff are required to complete an hour of refresher training every 
two years. These costs will incur beyond the three-year period 
discussed above. Similarly, any new personnel joining the agencies 
would be required to complete the training. To estimate the cost of 
training for the new staff, we used the rate of separations published 
in the U.S. Bureau of Labor Statistics monthly report, Job Opening and 
Labor Turnover. Using the rate of separation (quits, layoffs and 
discharges) of 1.8 percent for State and local government employees, 
excluding education, over the period September 2016 to September 2017, 
we estimated the number of staff requiring training after the third 
year. The annual cost of the refresher training and the new personnel 
is about $34,000 for the minimum case and $83,000 for the maximum case 
beyond the first three years. Using a ten year period of analysis, the 
total present value cost of the final rule is $8.4 million at 7 percent 
discount rate for the minimum case scenario and $3.4 million at 7 
percent discount rate for maximum scenario. At the 7 percent discount 
rate, the annualized costs are $0.48 million and $1.2 million for the 
minimum and maximum scenario. The annualized cost for the minimum and 
the maximum case, at 3 percent discount rate is $0.42 million and $1.03 
million respectively.

Potential Benefits

    Since the interim provisions have been in effect for only a short 
time, we were unable to generate any estimate of their benefits. Thus, 
to assess the benefits for the PTSCTP, we considered how the training 
required in this rulemaking could strengthen the State Safety Oversight 
program, since better trained personnel would be expected to take 
actions that are likely to lead to decreased safety risks.
    While the TSSP has been available for some time, it was an optional 
certification that many 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.
    It may be 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 in an industry that is already very safe is 
difficult to predict with any certainty.

Comparison of the Cost of the Final Rule With the Interim Provisions

    On February 27, 2015, FTA issued a notice of interim safety 
certification training program provisions for Federal and State Safety 
Oversight Agency personnel and their contractor support who conduct 
safety audits and examinations of public transportation systems not 
otherwise regulated by another Federal agency. The proposed final rule 
will replace the provisions outlined in the interim notice. The 
training program outlined in this final rule will eliminate two 
requirements; the Transit System Security course and the SMS Gap online 
course. Rail security is not under FTA's authority, so it is not a 
training requirement mandated by 49 U.S.C. 5329. The SMS Gap course 
requirement is eliminated because many of the elements of this course 
are included in the SMS Principles for Transit. This reduces the burden 
of the final rule compared to the interim provisions enacted in 
February 2015. The table below shows the annual cost of the Interim 
Rule and the Final rule.

              Public Transportation Safety Certification Training Program--Hours and Cost Decrease
----------------------------------------------------------------------------------------------------------------
                                                                                                    Difference
                      Training requirements                        Interim rule     Final rule     between rules
----------------------------------------------------------------------------------------------------------------
Safety Management System (SMS) Gap Course (Hours) \3\...........          \4\ 41              39              -2
Transit System Security (TSS) Course (days) \5\.................             140             104             -36
                                                                 -----------------------------------------------
    Total.......................................................             181             143             -38
Minimum Case Scenario Present Value Cost (7%)...................      $3,447,233      $3,395,753        -$51,480
Maximum Case Scenario Present Value Cost (7%)...................     $10,022,279      $8,436,102     -$1,586,177
Minimum Case Scenario Mandatory Annualized Cost (7%)............        $490,808        $483,479         -$7,330
Maximum Case Scenario Annualized Cost ((7%))....................      $1,426,947      $1,201,111       -$225,836
----------------------------------------------------------------------------------------------------------------


[[Page 34065]]

    Over a ten-year period, the final rule reduces the cost of the rule 
by $51,480 at the minimum case scenario and $1.6 million at the maximum 
case scenario using a discount rate of 7 percent. The annualized cost 
reductions of the final rule are $7,330 for the minimum case and 
$225,836 for the maximum case, using a 7 percent discount rate, 
resulting in a net benefit for the training participants. The reduced 
training requirements will not hinder the effectiveness of the safety 
training program since the participants will receive much of the 
relevant content through other courses or by other requirements, not 
covered under this rule certification requirements.
---------------------------------------------------------------------------

    \3\ FTA eliminated the ``SMS Gap'' course as part of the 
mandatory curriculum for the final rule since the ``SMS Principles 
for Transit'' course includes similar objectives.
    \4\ The number of hours of training for the SMS Principles for 
Rail Transit course (``SMS Principles for Transit'' in final rule) 
was incorrectly cited in the interim rule as 16 hours instead of 20 
hours, this has been corrected in the final rule.
    \5\ Based on public comment FTA eliminated the TSS course as 
part of the mandatory curriculum for the final rule.
---------------------------------------------------------------------------

V. Regulatory Analyses and Notices

Regulatory Flexibility Act and Executive Order 13272

    This 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 rule on small 
entities. This rule will apply to recipients of public transportation 
grants under 49 U.S.C. Chapter 53. 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 rulemaking. For these reasons, FTA 
certifies that this action will not have a significant economic impact 
on a substantial number of small entities.

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 economically 
significant. The proposals set forth in this rulemaking will not result 
in an effect on the economy of $100 million or more. The requirements 
set forth in the rulemaking 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.

Executive Order 13771

    As indicated in the cost-benefit analysis above and the summary 
chart below, this final rule is considered an Executive Order 13771 
deregulatory action because it reduces the cost of complying with FTA's 
Interim Safety Certification and Training Program (interim program) 
requirements promulgated in accordance with 49 U.S.C. 5329(c)(2) (see 
80 FR 10619).

----------------------------------------------------------------------------------------------------------------
                                                                                                    Difference
                      Training requirements                        Interim rule     Final rule     between rules
----------------------------------------------------------------------------------------------------------------
Safety Management System (SMS) Course (Hours) \6\...............          \7\ 41              39              -2
Transit Safety and Security (TSS) Course (days) \8\.............             140             104             -36
                                                                 -----------------------------------------------
    Total.......................................................             181             143             -38
Minimum Case Scenario Present Value Cost (7%)...................      $3,447,233      $3,395,753        -$51,480
Maximum Case Scenario Present Value Cost (7%)...................     $10,022,279      $8,436,102     -$1,586,177
Minimum Case Scenario Mandatory Annualized Cost (7%)............        $490,808        $483,479         -$7,330
Maximum Case Scenario Annualized Cost ((7%))....................      $1,426,947      $1,201,111       -$225,836
----------------------------------------------------------------------------------------------------------------

Unfunded Mandates Reform Act of 1995
---------------------------------------------------------------------------

    \6\ FTA eliminated the ``SMS Gap'' course as part of the 
mandatory curriculum for the final rule since the ``SMS Principles 
for Transit'' course includes similar objectives.
    \7\ The number of hours of training for the SMS Principles for 
Rail Transit course (``SMS Principles for Transit'' in final rule) 
was incorrectly cited in the interim rule as 16 hours instead of 20 
hours, this has been corrected in the final rule.
    \8\ Based on public comment FTA eliminated the TSS course as 
part of the mandatory curriculum for the final rule.
---------------------------------------------------------------------------

    This 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 rule is 
an eligible expenditure of Federal financial assistance provided to 
recipients under 49 U.S.C. Chapter 53. This rulemaking will not result 
in the expenditure by State, local, and tribal governments, in the 
aggregate, or by the private sector, of $155 million or more in any one 
year.

Executive Order 12372 (Intergovernmental Review)

    The regulations effectuating Executive Order 12372 regarding 
intergovernmental consultation on Federal programs and activities were 
applied during this rulemaking.

Executive Order 13132 (Federalism)

    This rulemaking has been analyzed in accordance with the principles 
and criteria established by Executive Order 13132, and FTA has 
determined that this rulemaking would not have sufficient Federalism 
implications to warrant the preparation of a Federalism assessment. FTA 
has also concluded that this rulemaking would not preempt any State law 
or State regulation or affect the States' abilities to discharge

[[Page 34066]]

traditional State governmental functions.

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 to implement 
the PTSCTP in accordance with 49 U.S.C. 5329(c)(1), this rulemaking 
requires 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 website.
    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 website 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. For this rule, OMB has issued control number 2132-0578.

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 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 rulemaking under Executive Order 13045. FTA 
certifies that this 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 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

[[Page 34067]]

consultation requirements on Indian tribal governments. Therefore, a 
tribal summary impact statement is not required.

Executive Order 13211 (Energy Effects)

    FTA has analyzed this 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

    In accordance with 5 U.S.C. 553(c), U.S. DOT solicits comments from 
the public to better inform its rulemaking process. U.S. DOT posts 
these comments, without edit, including any personal information the 
commenter provides, to www.regulations.gov, as described in the system 
of records notice (DOT/ALL-14 FDMS), which can be reviewed at 
www.dot.gov/privacy.

Statutory/Legal Authority for This Rulemaking

    This rulemaking is issued under the authority of 49 U.S.C. 
5329(c)(1) as amended, which requires the Secretary of Transportation 
to prescribe a public transportation safety certification training 
program for Federal and State employees, and 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 can 
be used to cross-reference this action with the Unified Agenda.

List of Subjects in 49 CFR Part 672

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

K. Jane Williams,
Acting Administrator.

0
For the reasons set forth 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, FTA hereby amends 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.
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.
Appendix A to Part 672--Public Transportation Safety Certification 
Training Program

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

Subpart A--General Provisions


Sec.  672.1  Purpose.

    (a) This part implements a uniform safety certification training 
curriculum and requirements to enhance the technical proficiency of 
individuals who conduct safety audits and examinations of public 
transportation systems operated by public transportation agencies and 
those who are directly responsible for safety oversight of public 
transportation agencies.
    (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 contractors that conduct 
safety audits and examinations of rail fixed guideway public 
transportation systems, and designated personnel and contractors who 
are directly responsible for the safety oversight of a recipient's rail 
fixed guideway public transportation systems.
    (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, a 
State Safety Oversight Agency, or public transportation agency through 
contract or other agreement.
    Designated personnel means:
    (1) Employees and contractors identified by a recipient whose job 
function is directly responsible for safety oversight of the public 
transportation system of the public transportation 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 rail fixed guideway public transportation systems 
subject to the jurisdiction of the agency.
    Directly responsible for safety oversight means public 
transportation agency personnel whose primary job function includes the 
development, implementation and review of the agency's safety plan, 
and/or the SSOA requirements for the rail fixed guideway public 
transportation system pursuant to 49 CFR parts 659 or 674.
    Examination means a process for gathering or analyzing facts or 
information related to the safety of a public transportation system.
    FTA means the Federal Transit Administration.
    Public transportation agency means an entity that provides public 
transportation service 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 as defined in Sec.  674.7 of this chapter.
    Recipient means a State or local governmental authority, or any 
other operator of a public transportation system receiving financial 
assistance under 49 U.S.C. chapter 53.
    Safety audit means a review or analysis of safety records and 
related materials, including, but not limited to, those related to 
financial accounts.
    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

[[Page 34068]]

that meets the requirements and performs the functions specified by 49 
U.S.C. 5329(e) and the regulations set forth in 49 CFR parts 659 and 
674.

Subpart B--Training Requirements


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

    (a) Each SSOA shall designate its personnel and contractors who 
conduct safety audits and examinations of public transportation 
systems, including appropriate managers and supervisors of such 
personnel, that must comply with the applicable training requirements 
of Appendix A to this part.
    (b) Designated personnel 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 shall determine refresher training requirements 
which must include, at a minimum, one (1) hour of safety oversight 
training.


Sec.  672.13  Designated personnel of public transportation agencies.

    (a) Each recipient that operates a rail fixed guideway public 
transportation system shall designate its personnel and contractors who 
are directly responsible for safety oversight and ensure their 
compliance with the applicable training requirements set forth in 
Appendix A to this part.
    (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 to participate in the applicable training 
requirements as set forth in Appendix A to this part.
    (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 shall determine 
refresher training requirements which must include, at a minimum, one 
(1) hour of safety oversight training.


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 requirements 
of this part.
    (c) FTA will evaluate the submission and determine if a training 
requirement of this part may be waived. 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. Each recipient shall ensure that its 
designated personnel are enrolled in the PTSCTP. Each recipient shall 
ensure that designated personnel update their individual training 
record as he or she completes the applicable training requirements of 
this part.
    (b) SSOA requirement. Each SSOA shall retain a record of the 
technical training completed by its designated personnel in accordance 
with the technical training requirements of Appendix A to this part. 
Such records shall be retained by the SSOA for at least five (5) years 
from the date the record is created.


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 by this part without the written 
consent of the designated personnel.
    (b) Designated personnel are entitled, upon written request to the 
recipient, to obtain copies of any records pertaining to his or her 
training required 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 over public transportation safety 
oversight of 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) 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.

Appendix A to Part 672--Public Transportation Safety Certification 
Training Program

A. Required Curriculum Over a Three-Year Period

    (1) FTA/SSOA personnel and contractor support, and public 
transportation agency personnel with direct responsibility for 
safety oversight of rail fixed guideway public transportation 
systems:
    (a) One (1) hour course on SMS Awareness--e-learning delivery 
(all required participants)
    (b) Two (2) hour courses on Safety Assurance--e-learning 
delivery (all required participants)
    (c) Twenty (20) hours on SMS Principles for Transit (all 
required participants)
    (d) Sixteen (16) hours on SMS Principles for SSO Programs (FTA/
SSOA/contractor support personnel only)
    (e) TSSP curriculum (minus Transit System Security (TSS) course) 
(all required participants--credit will be provided if participant 
has a Course Completion Certificate of previously taken TSSP 
courses)
    (i) Rail System Safety (36 hours)
    (ii) Effectively Managing Transit Emergencies (32 hours)
    (iii) Rail Incident Investigation (36 hours)
    (2) FTA/SSOA/contractor support personnel (technical training 
component):
    (a) 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).
    (b) 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

[[Page 34069]]

receiving technical training in the following competency areas 
appropriate to the specific rail fixed guideway public 
transportation system(s) for which safety audits and examinations 
are conducted:
    (i) Agency organizational structure
    (ii) System Safety Program Plan and Security Program Plan
    (iii) Knowledge of agency:
    (I) Territory and revenue service schedules
    (II) Current bulletins, general orders, and other associated 
directives that ensure safe operations
    (III) Operations and maintenance rule books
    (IV) Safety rules
    (V) Standard Operating Procedures
    (VI) Roadway Worker Protection
    (VII) Employee Hours of Service and Fatigue Management program
    (VIII) Employee Observation and Testing Program (Efficiency 
Testing)
    (IX) Employee training and certification requirements
    (X) Vehicle inspection and maintenance programs, schedules and 
records
    (XI) Track inspection and maintenance programs, schedules and 
records
    (XII) Tunnels, bridges, and other structures inspection and 
maintenance programs, schedules and records
    (XIII) Traction power (substation, overhead catenary system, and 
third rail), load dispatching, inspection and maintenance programs, 
schedules and records
    (XIV) Signal and train control inspection and maintenance 
programs, schedules and records
    (c) 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 as requested 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:
    (i) Require designated personnel to successfully:
    (I) Complete training that covers the skills and knowledge 
needed to effectively perform the tasks.
    (II) Pass a written and/or oral examination covering the skills 
and knowledge required for the designated personnel to effectively 
perform his or her tasks.
    (III) Demonstrate hands-on capability to perform his or her 
tasks to the satisfaction of the appropriate SSOA supervisor or 
designated instructor.
    (ii) 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.
    (iii) 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.
    (iv) 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.
    (v) Records must include the following information concerning 
each designated personnel:
    (I) Name;
    (II) The title and date each training course was completed and 
the proficiency test score(s) where applicable;
    (III) The content of each training course successfully 
completed;
    (IV) 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;
    (V) The tasks the designated personnel are deemed qualified to 
perform; and
    (VI) 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.
    (vi) 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.
    (vii) Periodically assess the effectiveness of the technical 
training. One method of 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:
    (a) SMS Awareness--e-learning delivery
    (b) Safety Assurance--e-learning delivery
    (c) SMS Principles for Transit
    (d) Courses offered through the TSSP Certificate (Bus)
    i. Effectively Managing Transit Emergencies
    ii. Transit Bus System Safety
    iii. Fundamentals of Bus Collision Investigation

[FR Doc. 2018-15168 Filed 7-18-18; 8:45 am]
 BILLING CODE P