[Federal Register Volume 89, Number 58 (Monday, March 25, 2024)]
[Proposed Rules]
[Pages 20605-20628]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-06251]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration

49 CFR Part 671

[Docket No. FTA-2023-0024]
RIN 2132-AB41


Rail Transit Roadway Worker Protection

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

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: The Federal Transit Administration (FTA) is proposing minimum 
safety standards for rail transit roadway worker protection (RWP) to 
ensure the safe operation of public transportation systems and to 
prevent accidents, incidents, fatalities, and injuries to transit 
workers who may access the roadway in the performance of work. This 
NPRM would apply to rail transit agencies (RTAs) covered by the State 
Safety Oversight (SSO) program, SSO agencies (SSOAs), and rail transit 
workers who access the roadway to perform work. It would set minimum 
standards for RWP program elements, including an RWP manual and track 
access guide; requirements for on-track safety and supervision, job 
safety briefings, good faith safety challenges, and reporting unsafe 
acts and conditions and near-misses; development and implementation of 
risk-based redundant protections for workers; and establishment of RWP 
training and qualification and RWP compliance monitoring activities. 
RTAs

[[Page 20606]]

would be expected to comply with these Federal standards as a baseline 
and use their existing Safety Management System (SMS) processes to 
determine any additional mitigations appropriate to address the level 
of RWP risk identified. SSOAs would oversee and enforce implementation 
of the RWP program requirements.

DATES: Comments should be filed by May 24, 2024. FTA will consider 
comments received after that date to the extent practicable.

ADDRESSES: You may send comments, identified by docket number FTA-2023-
0024 by any of the following methods:
     Federal Rulemaking Portal: https://www.regulations.gov. 
Follow the instructions for sending comments.
     Fax: (202) 493-2251.
     Mail: Docket Management Facility, U.S. Department of 
Transportation, 1200 New Jersey Avenue SE, West Building Ground Floor, 
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery/Courier: West Building Ground Floor, Room 
W12-140, 1200 New Jersey Avenue SE, Washington, DC, between 9 a.m. and 
5 p.m. ET, Monday through Friday, except Federal holidays.
    Instructions: All submissions received must include the agency name 
and docket number or Regulatory Information Number (RIN) for this 
rulemaking. All comments received will be posted without change to 
https://www.regulations.gov, including any personal information 
provided.
    Docket: For access to the docket to read background documents or 
comments received, go to https://www.regulations.gov. Background 
documents and comments received may also be viewed at the U.S. 
Department of Transportation, 1200 New Jersey Ave. SE, Docket 
Operations, M-30, West Building Ground Floor, Room W12-140, Washington, 
DC 20590-0001, between 9 a.m. and 5 p.m. EST, Monday through Friday, 
except Federal holidays.

FOR FURTHER INFORMATION CONTACT: For program matters, contact Ms. 
Margaretta ``Mia'' Veltri, Office of Transit Safety and Oversight, FTA, 
telephone at (202) 366-5094 or [email protected]. For legal 
matters, contact Ms. Emily Jessup, Attorney Advisor, FTA, telephone at 
202-366-8907 or [email protected]. Office hours are from 8:30 a.m. 
to 5 p.m., Monday through Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Executive Summary
    A. Purpose and Summary of Regulatory Action
    B. Statutory Authority
II. Background Informing FTA's Proposals
    A. Rail Transit Industry Safety Performance
    B. Recommendations From the National Transportation Safety Board
    C. Safety Risk Analysis and Report on Rail Transit Roadway 
Worker Protection
    D. Transit Worker Safety Request for Information
    E. Summary of Major Provisions
    F. Summary of Economic Analysis
III. Section-by-Section Analysis
IV. Regulatory Analyses and Notices

I. Executive Summary

A. Purpose and Summary of Regulatory Action

    The Federal Transit Administration (FTA) has adopted the principles 
and methods of Safety Management System (SMS) as the basis for 
enhancing the safety of public transportation in the United States. As 
part of its internal SMS, FTA established a Safety Risk Management 
(SRM) program to proactively address safety concerns impacting the 
transit industry and to systematically apply FTA's statutory oversight 
authority to improve the safety of the nation's transit infrastructure 
through the Public Transportation Safety Program.
    The process follows a five-step approach: (1) identify safety 
concerns; (2) assess safety risk; (3) develop mitigation; (4) implement 
mitigation; and (5) monitor safety performance. As a result of the 
first two steps, FTA may develop and advance appropriate mitigations to 
address a safety hazard, such as proposed safety regulations, general 
or special directives, safety advisories, or technical assistance and 
training activities.
    In 2019, FTA began piloting the SRM process to focus on high-
priority safety risks and identified the RWP safety concern as the 
second topic for analysis. Through the SRM process, FTA conducted a 
review of the existing approaches to RWP used by the rail transit 
industry. This review shows that on a national level, these approaches 
do not adequately protect transit workers from rail transit vehicles 
and other roadway hazards. As a result, FTA has determined that a 
Federal baseline RWP program is an appropriate mitigation and is 
proposing this regulation to reduce fatalities and serious injury 
events involving rail transit workers that occupy the rail roadway 
during hours of operation.
    This NPRM would require RTAs covered by the SSO program under 49 
CFR part 674 (Part 674) to implement a minimum, baseline RWP program to 
provide a standardized and consistent approach to protecting roadway 
workers industry-wide, overseen and enforced by SSOAs. Using the 
Federal standards as a baseline, FTA would expect RTAs to use their 
existing documented safety risk management processes to assess the 
associated safety risk and, based on the results of the safety risk 
assessment, identify the specific safety risk mitigations or strategies 
necessary to address the safety risk.
    This NPRM would prohibit the use of individual rail transit vehicle 
detection as a sole form of protection for workers on the roadway. It 
would set requirements for RTAs to conduct a safety risk assessment to 
identify and establish redundant protections for each category of work 
roadway workers perform on the roadway or track. Redundant protections 
may include procedures, such as foul time and advance warning systems, 
and also physical protections to stop trains in advance of workers, 
such as derailers and shunts. The safety risk assessment and redundant 
protections would be reviewed and approved by the SSOA, along with 
other elements of the RTA's RWP program.
    The safety risk assessment would be consistent with the RTA's 
Agency Safety Plan and the SSOA's Program Standard. RTAs may supplement 
the safety risk assessment with engineering assessments, inputs from 
the Safety Assurance process established under 49 CFR 673.27, the 
results of safety event investigations, and other safety risk 
management strategies and approaches.
    To ensure effective implementation and oversight of the RWP program 
and redundant protections, this NPRM also would specify RWP training 
and compliance monitoring activities, supplemented by near-miss 
reporting and SSOA oversight and auditing.

B. Statutory Authority

    Congress directed FTA to establish a Public Transportation Safety 
Program in the Moving Ahead for Progress in the 21st Century Act (Pub. 
L. 112-141) (MAP-21), which was reauthorized by the Fixing America's 
Surface Transportation (FAST) Act (Pub. L. 114-94). The Bipartisan 
Infrastructure Law, enacted as the Infrastructure Investment and Jobs 
Act (Pub. L. 117-58), continues FTA's authority to regulate public 
transportation systems that receive Federal financial assistance under 
Chapter 53. Title 49 U.S.C. 5329(f)(7) authorizes FTA to issue rules to 
carry out the public transportation safety program.
    Title 49 U.S.C. 5329(b)(2) directs FTA to develop and implement a 
National Public Transportation Safety Plan (NSP) that includes minimum 
safety standards

[[Page 20607]]

to ensure the safe operation of public transportation systems. In 2017, 
FTA published its first iteration of the National Safety Plan which was 
intended to be FTA's primary tool for communicating with the transit 
industry about its safety performance (82 FR 5628). Subsequently, on 
May 31, 2023, FTA published a second iteration of the NSP (88 FR 
34917). While the NSP currently contains only voluntary standards, as 
FTA's safety program has matured, it is now appropriate for FTA to 
propose required minimum standards for RWP. Pursuant to the 
Administrative Procedure Act (5 U.S.C. 553), FTA is proposing these 
minimum standards for public notice and comment through the rulemaking 
process.

II. Background Informing FTA's Proposals

A. Rail Transit Industry Safety Performance

    Rail transit employees and contractors who work on the roadway, 
also known as roadway workers, face numerous on-the-job hazards. 
Working on the roadway exposes workers to moving rail transit vehicles 
and electrified system components. Weather, including rain, snow, and 
heat can create conditions that cause slips, trips, and falls; 
hypothermia; and heat stroke. Surrounding automobile traffic can limit 
the ability to hear trains and warnings from watchpersons. Tight 
clearances, restricted visibility, varying distances from the track to 
places of safety, and the potential need to clear between rail transit 
vehicles make tunnels, bridges and aerial structures, locations with 
more than two tracks, and shared-use roadway (e.g., streets with mixed 
traffic) make roadways particularly challenging work environments. 
Adjacent construction and public utilities pose additional safety 
challenges. Faster trains, more frequent headways, and shorter non-
revenue maintenance windows all increase worker exposure to the risk of 
being struck by a train or electrocuted.
    RTAs manage these risks using a variety of RWP programs, including 
systems and approaches designed to safeguard roadway workers through 
rules and procedures, training and supervision, communication protocols 
and technology, and on-track protection. Many existing RWP programs 
implemented by RTAs use elements from the Federal Railroad 
Administration (FRA) RWP regulations contained in 49 CFR part 214, 
subpart C--Roadway Worker Protection, modified to address the RTA's 
unique operating conditions and requirements. SSOAs typically review 
implementation of these RWP programs as part of their triennial audits 
of the RTAs in their jurisdictions.
    Notwithstanding the use of RWP programs throughout the rail transit 
industry, roadway workers continue to be killed and seriously injured 
in roadway safety events. For example, in October 2022, two roadway 
workers on the Port Authority Transit Corporation (PATCO) roadway were 
struck and killed by a PATCO revenue service vehicle traveling through 
a close-clearance area. Preliminary information indicates the track was 
not taken out-of-service as expected, and the incident is currently 
under investigation by the National Transportation Safety Board (NTSB) 
(investigation number RRD23FR001). Roadway worker events continue to 
comprise the majority of transit worker fatalities for RTAs.
    This NPRM follows FTA's review of safety events involving roadway 
workers, dating back to 2008, including information reported to the 
National Transit Database (NTD) and State Safety Oversight Reporting 
Tool (SSOR); investigations completed by NTSB, including 12 
recommendations issued by NTSB to FTA since 2012 regarding needed 
improvements in the RWP programs administered in the U.S. rail transit 
industry; data and information submitted in response to FTA's request 
for information (RFI) on transit worker safety (86 FR 53143); and 
analysis completed as part of FTA's internal Safety Risk Management 
process.
    FTA's review is also informed by older information on accidents 
involving roadway workers collected from the NTD and the SSO program 
dating back to 1994 and the results of an inventory of RWP practices 
used in the rail transit industry, collected in 2014 in response to 
FTA's Safety Advisory 14-1: Inventory of Practice and Analysis (https://www.transit.dot.gov/oversight-policy-areas/safety-advisory-14-1-right-way-worker-protection-december-2013). Finally, FTA considered 
recommendations from the Transit Advisory Committee for Safety 
(TRACS),\1\ voluntary safety standards developed by the American Public 
Transportation Association (APTA), and the results of research 
conducted by the Transit Cooperative Research Program (TCRP) (see: 
https://www.trb.org/Publications/Blurbs/166925.aspx) and FTA's Office 
of Research, Demonstration and Innovation (https://www.transit.dot.gov/research-innovation/fta-standards-development-program-rail-transit-roadway-worker-protection-report).
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    \1\ The Transit Advisory Committee for Safety (TRACS) was 
established in 2009 by the U.S. Transportation Secretary to improve 
transit safety. TRACS provides information, advice, and 
recommendations on transit safety and other issues as determined by 
the Secretary of Transportation and the FTA Administrator. TRACS's 
membership reflects the geographic, size, and issue diversity across 
the transit industry and includes members from large and small bus 
and rail operators, state safety oversight agencies, academia, non-
profit organizations, and labor unions.
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    FTA's review finds that, dating back to 1994, 52 rail transit 
workers have been killed and over 200 workers have experienced major 
injuries resulting from safety events on the roadway, primarily 
resulting from collisions with rail transit vehicles, falls and 
electrocution. More detailed data covering the almost 15-year period 
between January 1, 2008 and October 31, 2022 is available from the NTD. 
During this time, 22 workers have been killed and 120 workers seriously 
injured in accidents on the roadway. This equates to approximately 1.5 
workers killed per year and just over eight workers seriously injured 
per year.
    To ensure FTA's analysis of existing RWP practices compares 
reasonably similar RWP programs and outcomes, this analysis, dating 
back to 2008, which supports the cost benefit statement for this 
proposed NPRM, does not include incidents occurring in the State of 
California, where roadway workers have been protected by General Order 
175-A, ``Rules and Regulations Governing Roadway Worker Protection 
provided by Rail Transit Agencies and Rail Fixed Guideway Systems'' 
since 2016. While there is evidence that dozens more workers are 
injured less seriously each year in incidents on the roadway, the NTD 
does not provide sufficient detail on these incidents to support 
substantive analysis.
    Based on this review, FTA finds that existing programs used in the 
rail transit industry do not adequately mitigate the risks of placing 
workers on the roadway. FTA agrees with NTSB that weaknesses in current 
programs leave all RTAs ``at risk for roadway worker fatalities and 
serious injuries'' (see https://www.ntsb.gov/safety/safety-recs/RecLetters/R-13-039-040.pdf). Further, FTA believes that SSOAs can do 
more to oversee and enhance the safety of roadway workers in their 
jurisdictions, in accordance with the SSOAs' authority under 49 CFR 
part 674.
    Many of the safety events in FTA's review primarily or tangentially 
involve RWP protections that rely solely on the ability of the roadway 
worker to detect oncoming rail transit vehicles. This approach is 
vulnerable to human error, such as miscalculating sight distance and 
generally underestimating the time

[[Page 20608]]

needed for workers to clear tracks. In many of the events reviewed by 
FTA, the roadway workers were not sufficiently aware of the immediate 
hazards they faced when working on the rail transit roadway. Many of 
these events were caused by roadway workers' lack of awareness of the 
presence or speed of approaching trains; lack of train visibility in 
curves or aerial structures; and the time required to move to a place 
of safety. Contributing to many of these events were the train 
operators' lack of awareness regarding the roadway workers' locations 
and insufficient time to slow and stop the trains before striking those 
workers.
    FTA's review confirms that reliance on the roadway worker to detect 
rail transit vehicles lacks safety redundancy and does not provide 
sufficient physical or procedural protections to ensure worker safety. 
Physical redundant protections are technological or mechanical 
interventions that physically stop a train from striking a roadway 
worker, such as a derailer or shunt in the signal system. Procedural 
redundant protections are rules-based interventions that rely on worker 
training and compliance, such as the use of foul time to clear the 
track for workers.
    FTA's review of these safety events also found that weaknesses in 
job safety briefings contributed to these events, placing roadway 
workers in situations where they may not have recognized the hazards of 
their work sites or the requirements of protection. Also, insufficient 
training and poor work scheduling practices left workers vulnerable to 
errors of judgement and fatigue that contributed to poor decision-
making on the roadway.
    While FTA's review finds that the majority of RWP fatalities and 
serious injuries have happened on heavy rail transit systems, other 
rail systems, including light rail and automated guideways, have also 
experienced fatal RWP accidents and serious injuries. Further, while 
most of these agencies have top train speeds in excess of 45 miles per 
hour, the conditions that make these events possible are present at all 
RTAs nationwide--even those agencies that provide service at slower 
speeds, with single rail cars, or more limited track configurations.

B. Recommendations From the National Transportation Safety Board

    Since 2008, NTSB has issued 12 safety recommendations to FTA based 
on its investigation of rail transit RWP safety events. These 
recommendations focus on the need for Federal regulation, minimum RWP 
requirements, enhancements in job safety briefings, and RWP training 
programs for the rail transit industry. NTSB also has recommended that 
RTAs use redundant protection when workers are on the roadway. A 
discussion of roadway worker safety events that occurred on the roadway 
follows below, along with the relevant NTSB recommendation and 
associated FTA action.
    On January 26, 2010, a hi-rail vehicle--a truck or automobile that 
can be operated on either highways or rails--struck and fatally injured 
two technicians who were working on the roadway replacing equipment 
between the tracks at the Washington Metropolitan Area Transit 
Authority (WMATA). On June 1, 2012, following its investigation at 
WMATA, NTSB recommended that FTA, ``Issue guidelines to advise transit 
agencies and state oversight agencies on how to effectively implement, 
oversee, and audit the requirements of [the SSO program] using industry 
best practices, industry voluntary standards, and appropriate elements 
from 49 Code of Federal Regulations Part 214, Subpart C--Roadway Worker 
Protection [sic]. (R-12-34).''
    To address this recommendation, FTA sent each RTA a package of RWP 
materials and guidance, including the results of FTA-sponsored research 
with the TCRP of the Transportation Research Board (TRB) at the 
National Academies of Science regarding RWP and rules compliance. FTA 
also provided updates on joint technology demonstration projects with 
the Metropolitan Atlanta Rapid Transit Authority (MARTA) and the 
Maryland Transit Administration (MTA) to support the piloting and 
testing of technology to help alert workers to the presence of trains 
and train operators to the presence of workers on the tracks. Finally, 
FTA re-issued an awareness video, developed in collaboration with 
WMATA, New York City Transit, and Transport Workers Union Local 100 in 
response to earlier RWP-related worker accidents, called ``A Knock at 
Your Door'' (http://www.youtube.com/watch?v=31XyWpQCWRc). This video is 
designed to reinforce the dangers and challenges of working on the rail 
transit right-of-way and now is used by RTAs in their track safety 
training programs.
    In response to a December 19, 2013, safety event resulting in two 
roadway worker fatalities on the Bay Area Rapid Transit (BART) system, 
NTSB issued two urgent safety recommendations to FTA, citing concerns 
that the current RWP programs in place in the rail transit industry may 
not be effective. NTSB recommended that FTA immediately:
     Issue a directive to all rail transit properties requiring 
redundant protection for roadway workers, such as positive train 
control, secondary warning devices, or shunting (R-13-39); and
     Issue a directive to require transit properties to review 
their wayside worker rules and procedures and revise them as necessary 
to eliminate any authorization that depends solely on the roadway 
worker to provide protection from trains and moving equipment (R-13-
40).
    To respond initially to these urgent safety recommendations, on 
December 31, 2013, FTA issued Safety Advisory 14-1: Right-of-Way Worker 
Protection to provide guidance to SSOAs and RTAs on redundant 
protections for workers. Safety Advisory 14-1 also requested 
information from RTAs and SSOAs regarding RWP program elements and 
level of implementation in the rail transit industry, as well as 
assessments from each RTA documenting the safety hazards and 
mitigations in place at their agencies to protect workers on the 
roadway.
    FTA's Safety Advisory 14-1 also included RWP best practices 
developed from the findings of 28 investigations of rail transit 
roadway worker fatalities from 2002 through 2013. Effective practices 
in flagging and redundant protection, roadway work scheduling, 
communication rules, and other practices were detailed in the advisory. 
Methods for improving existing practices, such as rules compliance 
testing, job safety briefings and training, were also detailed to 
assist transit agencies in improving their RWP processes and 
procedures.
    In addition, FTA provided new resources to assist the SSO program 
and States in conducting activities such as audits, investigations, and 
inspections related to Safety Advisory 14-1. Beginning in Fiscal Year 
(FY) 2013, FTA established its grant program for SSOAs pursuant to 49 
U.S.C. 5329(e)(6) and issued approximately $22 million per year to 
States to fund staffing and training for SSO program managers, staff, 
and contractors. FTA has continued to provide technical assistance and 
training to SSOA staff through the Transportation Safety Institute, the 
National Transit Institute, and a 2018 SSOA workshop session, including 
sessions focused on oversight of RWP program elements.
    Further, on September 24, 2014, NTSB released its Special 
Investigation Report on Railroad and Rail Transit Roadway Worker 
Protection (SIR 14-

[[Page 20609]]

03). In this report, NTSB identified and discussed the circumstances of 
15 railroad and rail transit worker deaths in 2013 and issued eight 
additional safety recommendations to FTA, including five directly 
related to proposals in this NPRM:
     Require initial and recurring training for roadway workers 
in hazard recognition and mitigation. Such training should include 
recognition and mitigation of the hazards of tasks being performed by 
coworkers (R-14-36);
     With assistance from the FRA and OSHA, establish roadway 
worker protection rules, including requirements for job briefings (R-
14-38);
     Once the action specified in Safety Recommendation R-14-38 
is completed, update the state safety oversight program to ensure that 
rail transit systems are meeting the safety requirements for roadway 
workers (R-14-39);
     Establish a national inspection program that specifically 
includes roadway worker activities (R-14-40); and
     Revise 49 CFR part 659 to require all federally funded 
rail transit properties to comply with 29parts 1904, 1910, and 1926 (R-
14-41).
    To respond to these recommendations, FTA has worked with the rail 
transit industry, SSOAs, and through its internal safety program 
regulatory processes to focus action on needed improvements in RWP 
safety. Through guidance, technical assistance, training, research 
projects, and now proposed regulation, transit worker safety, including 
RWP safety, has been a major focus for FTA's safety program.
    On October 30, 2015, FTA staff participated in developing the APTA 
Standard for On-Track System Safety Requirements, APTA RT-OP-S-21-15, 
as part of a cooperative agreement with the Center for Urban 
Transportation Research. This voluntary standard addresses RWP programs 
by providing minimum safety requirements for key elements noted in 
NTSB's Special Investigation Report on Railroad and Rail Transit 
Roadway Worker Protection.
    This standard augments existing APTA voluntary standards that 
address RWP by focusing specifically on the use and movement of on-
track equipment, which includes hi-rail vehicles and equipment. This 
voluntary standard encourages RTAs to equip all existing and new on-
track equipment with certain minimum design features such as automatic 
change-of-direction alarms; back up alarms which provide audible 
signals; and alarms that are distinguishable from surrounding ambient 
noise, all of which will serve as secondary warning systems. This 
standard also encourages RTAs to develop operating procedures and 
guidance for the use of on-track equipment in work zone areas and along 
the right-of-way.
    Additionally, in response to recommendation R-14-038 and to further 
address recommendations R-13-039 and R-13-040, FTA contributed to the 
development of APTA's 2016 Roadway Worker Protection Program 
Requirements Standard, APTA RT-OP-S-016-11. This voluntary standard 
encourages adherence to clear rules and procedures, appropriate 
training, certification and retraining, and regular monitoring of 
right-of-way safety compliance. It also defines minimum elements in an 
RTA's on-track safety program and emphasizes opportunities for 
redundant protection and the use of advanced worker warning technology. 
In January 2017, FTA issued its National Public Transportation Safety 
Plan, which encouraged the adoption of these voluntary APTA standards.

C. Safety Risk Analysis and Report on Rail Transit Roadway Worker 
Protection

    In 2019, FTA initiated a safety risk analysis of the hazards 
associated with RWP. FTA conducted this analysis to determine 
additional mitigations for RWP risks as the agency worked to maintain 
vigilance in the protection of transit workers. FTA used the results of 
this safety risk assessment to support the drafting of this NPRM.
    In 2021, as part of FTA's Standards Development Program, FTA issued 
Report No. 0212 on Rail Transit Roadway Worker Protection. This report 
summarized research that reviewed existing standards and best 
practices. The report also developed use cases, a risk assessment 
matrix, and high-level concepts of operations for rail transit RWP. The 
research report provided tools and resources that RTAs may use to 
address the safety risks of roadway workers performing tasks on and 
adjacent to rail tracks. By overlaying emerging technologies with 
existing policies and procedures, this report demonstrated that risk 
can be reduced for roadway workers.
    As discussed in this report, the use of a hazard/risk assessment 
matrix that incorporates human factors and risk analyses and considers 
several use cases, and the use of secondary RWP protection devices, may 
help agencies to improve RWP. It also demonstrated that while available 
RWP technologies provide additional warning to roadway workers and 
train crews, they are not a primary protection source. Only through 
overlaying these technologies with existing procedures and practices 
can RTAs enhance RWP and reduce safety risk for workers.

D. Transit Worker Safety Request for Information

    In September 2021, FTA published a request for information in the 
Federal Register to solicit information from the public related to 
transit worker safety to inform the regulatory process (86 FR 53143). 
FTA asked for comment on current RWP practices in the industry, 
including redundant protections and training, and on minimum 
requirements the public expected to see if FTA pursued Federal 
requirements for transit RWP programs. FTA received comments suggesting 
that classroom and field training should be required, RWP program 
requirements should be responsive to modal differences and differences 
in operating characteristics, and suggestions for specific technology 
or practices to improve safety (Docket FTA-2021-0012). The section-by-
section analysis below identifies where FTA proposals are responsive to 
these comments.

E. Summary of Major Provisions

    This NPRM would establish minimum safety standards to protect 
transit workers who may access the roadway in the performance of work.
    The NPRM proposes that each RTA would adopt and implement an RWP 
program to improve transit worker safety that is consistent with 
Federal and State safety requirements and approved by the SSOA. The RWP 
program would be documented in a dedicated RWP manual, which would 
include: (1) terminology, abbreviations, and acronyms used to describe 
the RWP program activities and requirements; (2) RWP program elements; 
(3) a definition of RTA and transit worker responsibilities for the RWP 
program; (4) training, qualification, and supervision required for 
transit workers to access the roadway, by labor category or type of 
work performed; and (5) processes and procedures to provide adequate 
on-track safety for all transit workers who may access the roadway in 
the performance of their work, including safety and oversight 
personnel.
    The RWP manual also would include or incorporate by reference a 
track access guide to support on-track safety. The track access guide 
would be based on a physical survey of the track geometry and condition 
of the transit system.
    The RTA would be required to completely review and update its RWP

[[Page 20610]]

manual not less than every two years. This includes updates to reflect 
current conditions, lessons learned in implementing the RWP program as 
described in the manual, and information provided by the SSOA and FTA. 
RTAs would be required to conduct a review within two years of the 
SSOA's initial approval of the RWP manual and not less than every two 
years thereafter.
    FTA's proposed rules for Public Transportation Agency Safety Plans 
(PTASP) would also require rail transit agencies to include or 
incorporate by reference in their Agency Safety Plans (ASPs) the 
policies and procedures regarding rail transit workers on the roadway. 
The ASP, and any updates to the ASP, will require approval by a joint 
labor-management Safety Committee. The joint labor-management Safety 
Committee may also, as part of its statutory responsibilities, identify 
RWP related safety deficiencies and identify and recommend risk-based 
mitigations or strategies to address RWP hazards identified in the 
agency's safety risk assessment.
    The NPRM would prohibit the use of any protections that rely solely 
on the roadway worker to detect rail transit vehicles. Each RTA would 
be required to conduct a safety risk assessment to identify redundant 
protections for all workers to be included in the RWP program and 
manual. Protections would be based on the category of work being 
performed. Tasks demanding more attention from roadway workers, 
including the use of tools and equipment, based on the results of the 
safety risk assessment, likely would require RTAs to implement greater 
levels of protection.
    In addition, the NPRM would require comprehensive job safety 
briefings, a good faith safety challenge provision, and required 
reporting of near misses. Formal training and qualification programs 
would be required for all workers who access the roadway. RTAs also 
would adopt a program for RWP program compliance auditing and 
monitoring.
    SSOAs would be responsible for approving, overseeing, and enforcing 
implementation of the requirements in the NPRM for each RTA in their 
jurisdiction, including the RWP Manual and supporting training and 
qualification programs.

F. Summary of Economic Analysis

    This proposed rule, which sets minimum safety standards for RWP 
programs, would benefit roadway workers by reducing their risk of 
fatalities and injuries. To estimate benefits, FTA analyzed national 
transit worker safety data from 2008 to 2020 and identified accidents 
that would have been prevented if agencies had implemented the 
protections in the proposed rule. On average, the rule would prevent an 
estimated 1.4 fatalities and 3.9 injuries per year, resulting in annual 
safety benefits of $14.2 million in 2021 dollars. To meet the safety 
standards, RTAs and SSOAs would incur an estimated $2.0 million in 
start-up costs plus $11.3 million in ongoing annual costs. The largest 
ongoing annual costs are for redundant worker protections ($5.9 
million) and roadway worker protection training ($4.5 million).
    Table ES-1 summarizes the potential effects of the proposed rule 
over a ten-year analysis period from 2023 to 2032. In 2021 dollars, the 
rule would have annualized net benefits of $2.6 million at a 2 percent 
discount rate, discounted to 2023.

                 Table ES-1--Summary of Economic Effects
                   [2021 Dollars, discounted to 2023]
------------------------------------------------------------------------
                                                        Annualized value
                         Item                             (2% discount
                                                             rate)
------------------------------------------------------------------------
Benefits.............................................        $13,414,248
Costs................................................         10,848,469
Net Benefits.........................................          2,565,779
------------------------------------------------------------------------

III. Section-by-Section Analysis

Subpart A--General

671.1 Purpose and Applicability
    FTA proposes that this regulation would apply to RTAs that receive 
Federal financial assistance under 49 U.S.C. chapter 53 and to all 
SSOAs that oversee the safety of rail fixed guideway public 
transportation systems. It also specifies that this regulation would 
not apply to rail systems that are subject to the safety oversight of 
the Federal Railroad Administration.
    FTA also proposes to specify that this regulation applies to 
transit workers who access any rail fixed guideway public 
transportation system in the performance of their work. FTA is 
proposing this applicability to encompass the RTAs and SSOAs in its SSO 
program and to establish protections for individuals under the RTA's 
purview as they access the roadway.
671.3 Policy
    FTA proposes that section 671.3(a) will explain that this 
regulation establishes minimum safety standards for rail transit RWP. 
FTA proposes that each RTA and SSOA may prescribe additional or more 
stringent rules that are consistent with this part.
    FTA further proposes that section 671.3(b) will explain that FTA 
has adopted the use of SMS as the basis for enhancing the safety of 
public transportation. Safety Risk Management and Safety Assurance, as 
required in part 673 of this chapter, form the basis of a transit 
agency's safety risk identification, assessment, mitigation, and 
monitoring programs. As such, FTA also proposes that any activities 
conducted to carry out this Part must be integrated into the RTA's SMS 
required under part 673 of this chapter.
671.5 Definitions
    FTA proposes definitions for terms used in this part to establish a 
standard RWP vocabulary.
    This section also includes definitions of terms used throughout 
FTA's safety program. Some of these terms are included in FTA's PTASP 
NPRM, which was issued on April 26, 2023 (88 FR 25336). FTA's intent is 
for terms to have the same meaning across the safety program, and FTA 
will reconcile overlapping terms in the appropriate rulemakings. 
Readers should refer, specifically, to the definitions of ``Accountable 
Executive,'' ``Equivalent Entity,'' ``Near-miss,'' ``Rail Fixed 
Guideway Public Transportation System,'' ``Rail Transit Agency,'' 
``Roadway,'' ``Safety event,'' ``State Safety Oversight Agency,'' and 
``Transit Worker.''
    FTA is proposing definitions for this part that are not found in 
other parts of the FTA safety program. FTA is proposing to define 
``roadway worker protection'' to mean the policies, processes, and 
procedures implemented by an RTA to prevent safety events for transit 
workers who must access the roadway in the performance of their work. 
FTA is proposing ``roadway worker'' to mean a transit worker whose 
duties involve inspection, construction, maintenance, repairs, or 
providing on-track safety such as flag persons and watchpersons on or 
near the roadway or right-of-way or with the potential of fouling 
track. FTA is proposing to define ``fouling a track'' to mean the 
placement of an individual or an item of equipment in such proximity to 
a track that the individual or equipment could be struck by a moving 
rail transit vehicle or on-track equipment and to further explain that 
any time an individual or equipment is within the track zone, it is 
fouling the track.
    FTA is proposing to define ``ample time'' to mean the time 
necessary for a roadway worker to be clear of the track zone or in a 
place of safety 15 seconds

[[Page 20611]]

before a rail transit vehicle moving at the maximum authorized speed on 
that track could arrive at the location of the roadway worker. As with 
the other requirements of this proposed regulation, FTA anticipates 
that some RTAs will exceed FTA's minimum requirements. In this case, 
FTA is proposing minimum ample time of 15 seconds to provide a baseline 
of safety that includes clearing the track zone or being in a place of 
safety. It is FTA's intent with this proposal to ensure that roadway 
workers receive adequate time to move sufficiently clear of moving 
vehicles or equipment determined not only by the amount of time needed 
to move physically off the tracks but also by the amount of time needed 
in that specific location to be sufficiently clear of moving vehicles.
    FTA is proposing to define ``place of safety'' to mean a place an 
individual or individuals can safely occupy outside the track zone, 
sufficiently clear of any rail transit vehicle, including any on-track 
equipment, moving on any track. FTA is proposing to define ``track 
zone'' to mean an area identified by transit workers where a person or 
equipment could be struck by the widest equipment that could occupy the 
track and typically is an area within six feet of the outside rail on 
both sides of any track.
    FTA is also proposing to define ``individual rail transit vehicle 
detection'' to mean a process by which a lone worker acquires on-track 
safety by visually detecting approaching rail transit vehicles and 
leaving the track in ample time. FTA is proposing to define ``on-track 
safety'' to mean a state of freedom from the danger of being struck by 
a moving rail transit vehicle or other equipment as provided by 
operating and safety rules that govern track occupancy by roadway 
workers, other transit workers, rail transit vehicles, and on-track 
equipment.
    Finally, FTA is proposing to define ``minor tasks'' to mean those 
tasks performed without the use of tools during the execution of which 
a roadway worker or other transit worker can visually assess their 
surroundings at least every five seconds for approaching rail transit 
vehicles and that can be performed without violating ample time. This 
definition is part of FTA's proposal to identify appropriate redundant 
protections for individuals engaged in tasks that require varying 
levels of attention. FTA is proposing to define ``redundant 
protection'' to mean at least one additional protection beyond 
individual rail transit vehicle detection to ensure on-track safety for 
roadway workers and that redundant protections may be procedural, 
physical, or both.
    FTA is also proposing definitions for ``equivalent protection,'' 
``flag person,'' ``foul time protection,'' ``job safety briefing,'' 
``lone worker,'' ``maximum authorized speed,'' ``qualified,'' ``rail 
transit vehicle approach warning,'' ``roadway maintenance machine,'' 
``roadway work group,'' ``roadway worker in charge,'' ``RWP manual,'' 
``sight distance,'' ``track access guide,'' ``watchperson,'' ``working 
limits,'' and ``work zone.''

Subpart B--RWP Program and Manual

    This subpart proposes minimum requirements for the RWP program, 
which must be adopted and implemented by each RTA. This subpart also 
proposes minimum requirements for the RWP manual. Similar to the 
relationship between the Agency Safety Plan and the SMS required by the 
PTASP regulation, the RWP manual documents the mechanisms by which the 
RTA will carry out its RWP program.
671.11 RWP Program
    Section 671.11(a) proposes that each RTA must adopt and implement 
an RWP program designed to improve transit worker safety and that this 
program must be consistent with Federal and state requirements.
    Section 671.11(b) proposes that the RWP program must include an RWP 
manual, described further in proposed section 671.13, and all of the 
RWP program elements described in proposed subpart D of this part.
    Section 671.11(c) proposes that each RTA must submit its RWP manual 
and subsequent updates to its SSOA for review and approval, as 
described in proposed section 671.25.
671.13 RWP Manual
    Section 671.13(a) proposes that the RTA establish and maintain a 
separate, dedicated manual. The creation of this document as a 
separate, dedicated manual reflects FTA's expectation that this manual 
will be a critical safety component of an RTA's rail program. This 
proposal also reflects FTA's belief that separation from other manuals 
or documents will grant the RTA greater flexibility and responsiveness 
in updating and amending the RWP manual as needed.
    Section 671.13(b) proposes that the RWP manual must include the 
terminology, abbreviations, and acronyms used by the RTA to describe 
its RWP program activities and requirements. This proposal reflects 
FTA's expectation that RTAs will continue use of, or, as necessary, 
create standard terminology, abbreviations, and acronyms used 
throughout the agency in relation to RWP.
    Section 671.13(c) proposes the list of required elements that must 
be documented in the RWP manual. The proposed required elements of the 
manual include all elements of the RWP program required in subpart D of 
this part and a definition of RTA and transit worker responsibilities 
as described in subpart C of this part. FTA also proposes that the RWP 
manual must document the training, qualification, and supervision the 
RTA requires for transit workers to access the track zone, by labor 
category or type of work performed. Finally, FTA proposes to require 
the RWP manual to document the processes and procedures for all transit 
workers who may access the track zone in the performance of their work, 
including safety and oversight personnel. In addition, FTA proposes 
that procedures for SSOA personnel to access the roadway must conform 
with the SSOA's risk-based inspection program. By requiring an RWP 
manual to contain certain elements, FTA's intent is to ensure that all 
critical elements of an RWP program are documented in one manual. FTA 
expects this to reduce the potential for conflicting RWP program 
directions and provide a single authoritative source of RWP program 
information.
    Section 671.13(d) proposes that the RWP manual must include or 
incorporate by reference a track access guide to support on-track 
safety. FTA believes that a track access guide is a critical element of 
on-track safety, as discussed in each subsection below. As FTA proposes 
that this guide must be based on a physical survey of the track 
geometry and condition of the track system, FTA is proposing 
flexibility for RTAs to choose to maintain this track access guide 
separately from their RWP manual to allow frequent updates as the 
condition of the track system changes.
    FTA proposes in section 671.13(d)(1) that the track access guide 
includes locations with limited, close, or no clearance, including 
locations that have size or access limitations. Locations with size or 
access limitations may include but are not limited to, alcoves, 
recessed spaces, or other designated places or areas of refuge or 
safety. FTA understands that, although areas of refuge or safety should 
not be used in a way that limits access, such as being used to store or 
otherwise house tools, equipment, or materials, RTAs may use some of 
these areas to store or ``stage'' items used to repair, maintain, or 
inspect the roadway. FTA proposes including these areas in the physical

[[Page 20612]]

survey to ensure roadway workers are aware of any such areas with 
access limitations.
    Section 671.13(d)(2) proposes that the track access guide must also 
identify locations with increased rail vehicle or on-track equipment 
braking requirements.
    Sections 671.13(d)(2), (3), (4), and (5) propose that the track 
access guide must identify areas with limited visibility, including 
locations with reduced rail transit operator visibility due to weather 
conditions; curves with limited or no visibility; locations with 
limited or no visibility due to obstructions or topography; and all 
portals with restricted views. Finally, section 671.13(d)(6) and (7) 
propose that the track access guide must identify locations with heavy 
outside noise or other environmental conditions that impact on-track 
safety and any other locations with access considerations.
    In section 671.13(e), FTA proposes to require that the RTA must 
completely review and update its RWP manual at least every two years. 
FTA proposes that this includes updates to reflect current conditions, 
lessons learned in implementing the RWP program as described in the 
manual, and information provided by the SSOA and FTA. FTA proposes that 
this review and update occur within two years after the SSOA's initial 
approval of the RWP manual and not at least every two years thereafter.
    FTA proposes a review and update cycle of not less than every two 
years to ensure that RWP manuals reflect current RTA conditions, 
policies and procedures, and lessons learned. This cycle is intended to 
balance the critical nature of this document and effort to review and 
update the same. As the track access guide must be included or 
incorporated by reference in the RWP manual, FTA's proposal includes 
the requirement that this complete review and update will include the 
track access guide, regardless of whether the guide is maintained as a 
separate document from the RWP manual. Further, in section 671.13(f), 
FTA requires RTAs to update both the RWP manual and the track access 
guide as soon as is practicable when a change in RTA conditions means 
either document does not reflect current conditions.
    Section 671.13(g) proposes that the RTA must distribute the RWP 
manual to all transit workers who access the roadway and that the RTA 
distribute the revised manual to all transit workers who access the 
roadway after each revision. For RTAs that decide to maintain the track 
access guide separately from the RWP manual, this proposal includes the 
requirement that those RTAs distribute the track access guide to all 
transit workers who access the roadway and distribute the revised track 
access guide to all transit workers after each revision. FTA's intent 
is to ensure that this safety critical information is disseminated to 
those workers who access the roadway.

Subpart C--Responsibilities

    FTA is proposing RWP responsibilities for three distinct entities: 
the RTA, transit workers, and the SSOA.
671.21 Rail Transit Agency
    Section 671.21 specifies responsibilities for the RTA, including 
establishing procedures and requirements for equipment and protection.
    Section 671.21(a) proposes general requirements for the RTA, the 
intent of each is described below. Section 671.21(a)(1) proposes to 
require the RTA to establish procedures to provide ample time and 
determine appropriate sight distance based on maximum authorized track 
speeds. FTA's proposed definition for terms used in this part can be 
found in proposed section 671.5. As previously noted, it is FTA's 
intent with this proposal to ensure that roadway workers receive 
adequate time to move sufficiently clear of moving vehicles or 
equipment determined not only by the amount of time needed to move 
physically off the tracks but also by the amount of time needed in that 
specific location to be sufficiently clear of moving vehicles.
    FTA's proposals reflect the expectation that RTAs include 
considerations for roadway work group size when making these 
determinations, to ensure ample time for all workers to be sufficiently 
clear of moving vehicles. For example, if the nearest place of safety 
is not sufficiently large to allow the entire roadway work group to be 
sufficiently clear of moving vehicles, the RTA must include additional 
time for members of the workgroup to access another location clear of 
moving vehicles.
    Section 671.21(a)(2) proposes to prohibit the use of individual 
rail transit vehicle detection as the only form of protection in the 
track zone. This proposed prohibition reflects FTA's determination that 
a lone worker may not be able to reliably detect approaching rail 
transit vehicles or equipment in ample time and, further, that the 
safety risk associated with the practice of individual rail transit 
vehicle detection as the only form of protection in the track zone is 
unacceptable. This proposed prohibition also reflects public input to a 
September 2021 Request for Information (RFI) on transit worker safety 
mitigations including potential minimum safety standards for RWP 
programs. Respondents generally agreed that the use of individual 
detection of rail transit vehicles as the only method of RWP program 
did not adequately address all hazards for workers.
    Sections 671.21(a)(3) and (4) propose that the RTA must establish 
procedures to provide job safety briefings to all transit workers who 
enter a track zone to perform work whenever a rule violation is 
observed. This is responsive both to FTA's determination that job 
safety briefings are a critical component of roadway safety and to RFI 
respondents' assertion that poor quality job safety briefings at 
different operational and organizational levels may contribute to 
safety risk for workers on the roadway.
    Section 671.21(a)(5) proposes that the RTA must establish 
procedures to provide transit workers with the right to challenge and 
refuse in good faith any assignment based on on-track safety concerns 
and resolve such challenges and refusals promptly and equitably. This 
is often called a ``good faith safety challenge'' or ``good faith 
challenge.'' FTA's proposed good faith challenge process described in 
section 671.37 is modelled on and generally consistent with the 
existing FRA good faith challenge. FTA understands that many RTAs 
already implement a version of this procedure and that their version 
may encompass more than just on-track safety concerns. FTA is not 
proposing that these RTAs to revise their existing procedure and 
process, as long as they meet the minimums specified here.
    Section 671.21(a)(6) proposes that the RTA must establish 
procedures to require the reporting of unsafe acts, unsafe conditions, 
and near-misses on the roadway to the Transit Worker Safety Reporting 
Program. This proposal creates additional safety reporting requirements 
for an RTA's Transit Worker Safety Reporting Program established under 
FTA's existing PTASP regulation (49 CFR 673.23(b)). FTA proposes that 
an RTA's Transit Worker Safety Reporting program must include mandatory 
reporting of three major categories of safety concerns on the roadway 
(unsafe acts, unsafe conditions, and near-misses). This proposed 
expansion of an RTA's safety reporting program reflects the safety 
critical nature of information related to RWP.
    Section 671.21(a)(7) proposes to require the RTA to ensure that all 
transit workers who must enter a track zone to

[[Page 20613]]

perform work understand, are qualified in, and comply with the RWP 
program. This proposal reflects industry practice and is intended to 
ensure that the RWP program is sufficiently broad in application to 
address all transit workers who may access a track zone.
    Section 671.21(b) requires the RTA to establish requirements for 
on-track safety, including equipment and protection. This proposal 
reflects industry practice. Section 671.21(b)(1) proposes to require 
the RTA to establish requirements for equipment transit workers must 
have in order to access the roadway or track zone. In deference to the 
specific equipment different job functions may require, FTA specifies 
that the RTA must establish these requirements by labor category. FTA's 
intent is to ensure that RTAs establish minimum basic requirements for 
equipment and to encourage RTAs to consider which positions at their 
agency may require additional equipment and address those requirements 
accordingly.
    Section 671.21(b)(2) proposes to require RTAs to establish 
requirements for credentials that transit workers must display while on 
the roadway or in the track zone. FTA's examples include a badge, 
wristband, or RWP card, but RTAs may identify alternate forms of 
credentialing. FTA proposes that RTAs must also establish a requirement 
for display of credentials such that they are visible when on the 
roadway or in the track zone. A physical indication of an individual's 
qualification to access the roadway or the track zone is reflective of 
industry best practices.
    Section 671.21(b)(3) proposes to require the RTA to establish 
requirements for on-track safety, including protections for emergency 
response personnel who must access the roadway or the track zone. FTA 
is proposing this to support the safety of emergency personnel who need 
to access the roadway or track zone in the performance of their job 
duties.
    Section 671.21(b)(4) proposes to require the RTA to establish 
protections for multiple roadway work groups within a common area in a 
track zone. This proposal is responsive to NTSB recommendations. FTA's 
proposal reflects its expectation that these protections include, at a 
minimum, information such as, when multiple work groups are present, 
who is considered the roadway worker in charge, whether one job safety 
briefing is sufficient or multiple job safety briefings must occur, and 
how track access is granted and released.
671.23 Transit Worker
    Section 671.23 proposes responsibilities for the transit worker. 
FTA is proposing specific responsibilities for transit workers in part 
to respond to common industry observations that, when regulations apply 
only directly to the transit agency, some transit agencies experience 
difficulty ensuring compliance from the workforce. FTA is also 
proposing specific responsibilities for transit workers as a reflection 
of the key role the individual transit worker plays in ensuring on-
track safety. This approach is consistent with FRA's requirement for 
individual roadway workers in 49 CFR 214.313.
    Section 671.23(a) proposes to require transit workers to follow the 
requirements of the RTA's RWP program as it applies to their position 
and labor category.
    Section 671.23(b) proposes to prohibit transit workers from fouling 
the track until they have received appropriate permissions and 
redundant protections have been established as specified in the RWP 
manual.
    Section 671.23(c) proposes to require transit workers to understand 
the protections that they will use for their on-track safety while 
performing the specific task that requires access to the roadway or 
track zone. Further, transit workers must acknowledge these protections 
in writing before they access the roadway or track zone.
    Section 671.23(d) proposes to permit a transit worker to refuse to 
foul the track if the worker makes a good faith determination that the 
instructions to be applied at a job location do not comply with the 
RTA's RWP program or are otherwise unsafe. This proposal is the 
companion to proposed section 671.21(a)(5), which requires RTAs to 
provide transit workers the right to challenge and refuse in good faith 
any assignment based on on-track safety concerns.
    Similarly, section 671.23(e) proposes to require transit workers to 
report unsafe acts and conditions and near-misses related to the RWP 
program as part of the RTA's Transit Worker Safety Reporting Program. 
This proposal is the companion to proposed section 671.21(a)(6).
671.25 State Safety Oversight Agency
    Section 671.25 proposes responsibilities for the SSOA. FTA proposes 
to require the SSOA to fulfill these responsibilities for every RTA 
under their jurisdiction. Although not explicitly stated in this text, 
SSOAs who oversee an RTA that operates in a location that places the 
RTA under the jurisdiction of two or more SSOAs must work cooperatively 
with the other SSOA(s) having jurisdiction as required under 49 CFR 
674.15.
    Section 671.25(a) proposes to require the SSOA to review and 
approve the RWP manual and any subsequent updates for each RTA within 
their jurisdiction. This is reflective of the SSOA's primary safety 
oversight responsibility for such RTAs.
    Section 671.25(a)(1) proposes to require that SSOA approve RWP 
program elements within 90 calendar days of receipt of the program. 
FTA's proposal reflects its expectation that this amount of time will 
allow SSOAs to complete full and detailed reviews of all program 
elements commensurate to the critical role the RWP program plays in 
ensuring transit worker safety. FTA encourages SSOAs and RTAs to 
collaborate early and often in the development of the initial RWP 
program to ensure that (1) the SSOA and RTA can meet their deadlines 
and (2) the RWP program developed is sufficient to ensure transit 
worker safety.
    Section 671.25(a)(2) proposes to require the SSOA to submit all 
approved RWP program elements for each RTA in its jurisdiction, and any 
subsequent updates, to FTA within 30 calendar days of when the SSOA 
approves those elements. FTA is proposing this to ensure it can 
validate these safety critical elements.
    Section 671.25(b) proposes to require the SSOA to update its 
Program Standard to explain the role of the SSOA in overseeing the 
RTA's execution of its RWP program. FTA believes that, as a key safety 
element of an SSOA's oversight program, the RWP program must be 
reflected in the SSOA's Program Standard. FTA encourages SSOAs and RTAs 
to work collaboratively on this update in conjunction with the 
recommended collaboration on the initial RWP program. FTA is proposing 
this approach to help SSOAs leverage RTA experience and vice versa, 
ultimately reducing the need for a prolonged RWP program review and 
revision process and strengthening both the RWP program and the SSOA's 
RWP program oversight.
    Section 671.25(c)(1) proposes that the SSOA conduct an annual audit 
of the RTA's compliance with its RWP program. FTA's proposal includes 
the requirement that the audit include all required RWP program 
elements and be conducted for each RTA the SSOA oversees. FTA expects 
SSOAs to conduct these audits independently from any analogous RTA 
internal audit

[[Page 20614]]

or compliance process. The proposal is responsive to NTSB 
recommendations to require SSOAs to ensure RTAs meet the safety 
requirements for roadway workers.
    Section 671.25(c)(2) proposes to require the SSOA to issue a report 
with any findings and recommendations arising from the audit. FTA 
proposes that this report must include, at a minimum, (1) an analysis 
of the effectiveness of the RWP program; (2) recommendations for 
improvements, if necessary or appropriate; and (3) corrective action 
plan(s), if necessary or appropriate. FTA also proposes that the RTA 
must be given an opportunity to comment on any findings and 
recommendations. In making this proposal, FTA expects the SSOA to 
exercise judgment and incorporate changes to the findings or 
recommendations when presented with errors of fact or other reasonable 
requests from the RTA. FTA believes these audit reports will be a 
valuable tool for communicating the results of the SSOA's audit in a 
form that supports communication of these results to the RTA and, 
ultimately, resolution of any findings and incorporation of any 
recommendations as appropriate. Regarding the proposed requirement that 
SSO audit reports of the RWP program include corrective action plans if 
necessary or appropriate, FTA proposes that SSOAs and RTAs will follow 
processes established in part 674 for requiring, developing, approving, 
and executing corrective action plan(s) related to the RWP program 
audit.
    FTA proposes that the analysis of the effectiveness of the RWP 
program included in the report must include a review of (1) all RWP-
related events over the period covered by the audit; (2) all RWP-
related reports made to the Transit Worker Safety Reporting Program 
over the period covered by the audit; (3) all documentation of 
instances where a transit worker(s) has challenged and refused in good 
faith any assignment based on on-track safety concerns and 
documentation on the resolution; (4) an assessment of the adequacy of 
the track access guide required in section 671.13(d), including whether 
the guide reflects current track geometry and conditions; (5) a review 
of training and qualification records for transit workers who must 
enter a track zone to perform work; (6) a representative sample of 
written job safety briefing confirmations as described in sections 
671.33(b)(2) and (3); and (7) a review of the RWP compliance monitoring 
program as described in section 671.43.

Subpart D--Required RWP Program Elements

    FTA is proposing the following minimum RWP program element 
requirements: roadway worker in charge, job safety briefings, 
requirements for lone workers, good faith safety challenges, risk-based 
redundant protections, an RWP training and qualification program, and 
an RWP compliance monitoring program.
671.31 Roadway Worker in Charge
    Section 671.31(a) proposes that the RTA must designate one roadway 
worker in charge for each roadway work group whose duties require 
fouling a track. FTA proposes that the roadway worker in charge must be 
qualified under the training and qualification program specified in 
proposed section 671.41 and is responsible for the on-track safety for 
all members of the roadway work group. This means that FTA expects the 
individual assigned as the roadway worker in charge to serve only the 
function of maintaining on-track safety for all members of their 
roadway work group and to perform no other unrelated job function. RTAs 
may designate a general roadway worker in charge or may designate a 
roadway worker in charge specifically for a particular work situation.
    Section 671.31(b) proposes that the RTA must ensure the roadway 
worker in charge provides a job safety briefing to all roadway workers 
before any member of the roadway work group fouls a track. 
Additionally, FTA proposes that the roadway worker in charge must 
provide an updated job safety briefing before the on-track safety 
procedures change during the work period and immediately after any 
observed violation of on-track safety procedures before track zone work 
continues.
    FTA understands that emergencies may occur such that roadway 
workers in charge may not be able to provide updated job safety 
briefings of changes to on-track safety. Therefore, FTA proposes 
section 671.31(b)(2) to specify that, in the event of an emergency, any 
roadway worker who cannot receive the updated job safety briefing in 
advance of a change to on-track safety procedures, must be removed from 
the roadway and must not return until on-track safety is re-
established, and they have been given an updated job safety briefing.
    FTA's proposals regarding job safety briefings largely reflect 
industry practice and propose explicitly requiring updated job safety 
briefings to address common situations where the on-track safety 
procedures change during a work period and to immediately respond to 
observed violations of on-track safety procedures.
671.33 Job Safety Briefing
    Section 671.33 proposes specific requirements for job safety 
briefings. This proposal is responsive to NTSB safety recommendations 
about establishing requirements for job safety briefings and is 
consistent with FRA requirements.
    Section 671.33(a) reiterates the proposed requirements that the RTA 
must ensure the roadway worker in charge provides any roadway worker 
who must foul a track with a job safety briefing prior to fouling the 
track, every time the roadway worker fouls the track.
    Section 671.33(b) proposes the required minimum elements, as 
appropriate, of the job safety briefing that the roadway worker in 
charge must provide. FTA proposes the ``as appropriate'' language 
because not all of the elements may be relevant to each rail transit 
system. This proposal includes (1) a discussion of the nature of the 
work to be performed and the characteristics of the work, and includes 
work plans for instances where multiple roadway worker groups are 
working within a single area. FTA expects this to also include any 
relevant information for multiple roadway worker groups working in 
adjacent areas; (2) a discussion of the established working limits; (3) 
identification of any hazards involved in performing the work; (4) 
information on how track safety is being provided for each track 
identified to be fouled and identification and location of key 
personnel, such as a watchperson and the roadway worker in charge; (5) 
instructions for each on-track safety procedure to be followed, 
including appropriate flags and flag placement, placement; (6) roles 
and responsibilities for communication for all transit workers involved 
in the work, responsive to NTSB recommendations; (7) safety information 
about any adjacent track and identification of the roadway maintenance 
machines or on-track equipment that may foul adjacent tracks; (8) 
information on how to access the roadway worker in charge and 
instructions for alternative procedures in the event that the roadway 
worker in charge becomes inaccessible to members of the roadway work 
group; (9) personal protective equipment required for the work to be 
performed; (10) designated place(s) of safety; and (11) the means for 
determining how ample time will be provided.
    FTA's intent is that the proposed discussion of the nature and 
characteristics of the work includes any relevant information for 
multiple

[[Page 20615]]

roadway worker groups working in adjacent areas. The proposals that the 
job safety briefing include instructions for each on-track safety 
procedure to be followed and the role and responsibilities for 
communication for all transit workers involved in the work are 
responsive to NTSB recommendations.
    Section 671.33(b)(10) proposes that the job safety briefing must 
identify designated place(s) of safety. FTA intends that the identified 
designated place(s) of safety will be sufficient for the number of 
transit workers in the roadway work group. This proposal reflects FTA's 
understanding that such designated places of safety must be accessible 
and clear of debris, tools, equipment, or any other material that 
hinders the ability to access and occupy the space. While not part of 
the proposal, FTA's expectation is that, where multiple work groups 
occupy overlapping or adjacent work locations, the associated roadway 
workers in charge coordinate to ensure their job safety briefings 
identify designated place(s) of safety sufficient for the combined 
number of transit workers in the roadway work group.
    Section 671.33(c) proposes that, to complete a job safety briefing, 
the roadway worker in charge must confirm that each roadway worker 
understands the on-track safety procedures and instructions, each 
roadway worker acknowledges the briefing and accepts the required 
personal protective equipment in writing, and the roadway worker in 
charge verifies in writing each roadway worker's understanding and 
written acknowledgment of the briefing.
    Section 671.33(d) proposes that, if there is any change in the 
scope of work or roadway work group after the initial job safety 
briefing, or if a violation of on-track safety is observed, a follow-up 
job safety briefing must be conducted. This follow-up safety briefing 
must be completed before any member of the work group reenters the 
roadway.
671.35 Lone Worker
    FTA proposes section 671.35 to address common industry and NTSB 
concerns and recommendations about the practice of permitting a single 
person to foul the track. Specifically, FTA proposes to allow RTAs to 
authorize lone workers to perform limited duties that require fouling a 
track only under the following circumstances: (1) the lone worker must 
be qualified as both as a roadway worker in charge and as a lone worker 
following the RTA's RWP training and qualification program; (2) the 
lone worker may perform only routine inspection or minor tasks and move 
from one location to another, may only access locations defined in the 
track access guide as appropriate for lone workers, and may not use 
power tools; and (3) the lone worker may not use individual rail 
transit vehicle detection as the only form of on-track safety. The 
proposal that lone workers may not use individual rail transit vehicle 
detection is a form of on-track safety is responsive to NTSB 
recommendations on lone workers. These proposed restrictions reflect 
the exponential increase in safety risk presented by workers fouling 
the track as individuals rather than as part of a roadway work group 
while respecting that certain job functions may be performed safely 
under these restrictions as a lone worker.
    Section 671.35(b) proposes that each lone worker must communicate 
with a supervisor or other designated transit worker to receive an on-
track safety briefing consistent with proposed section 671.33(b) prior 
to fouling the track. FTA proposes that this briefing must include a 
discussion of the planned work activities and the procedures they will 
use to establish on-track safety. FTA also proposes that the lone 
worker must acknowledge and document the job safety briefing in 
writing.
671.37 Good Faith Safety Challenge
    Section 671.37(a) proposes that the RTA must document its 
procedures that it provides to roadway workers the right to challenge 
and refuse in good faith any RWP assignment they believe is unsafe or 
would violate the RTA's RWP program. FTA proposes in section 671.37(b) 
that this written procedure must include methods or processes to ensure 
prompt and equitable resolution of any challenges and refusals made. 
Section 671.37(c) proposes that the written procedure must require the 
roadway worker to provide a description of the safety concern regarding 
on-track safety and that the roadway worker issuing a good faith safety 
challenge must remain clear of the roadway or track zone until the 
challenge and refusal is resolved. This process reflects common 
industry practice and provides a mechanism for transit workers, who 
often are the most familiar with the particular needs and hazards 
related to their specific job tasks, to appropriately address unsafe 
situations.
671.39 Risk-Based Redundant Protections
    Section 671.39(a) proposes requirements for RTAs to identify and 
provide redundant protections for each category of work roadway workers 
perform on the roadway or track. This section also proposes to require 
the establishment of redundant protections to ensure on-track safety 
for multiple roadway work groups within a common area. This proposal is 
responsive to NTSB recommendations for FTA to require the use of 
redundant protections.
    Section 671.39(b) proposes that the RTA must use the appropriate 
Safety Risk Management of its SMS established in part 673 to assess 
safety risk and establish mitigations in the form of redundant 
protections. This section proposes that the RTA must use the methods 
and processes established under part 673 to establish redundant 
protections for each category of work performed by roadway workers on 
the rail transit system, including workers, to the extent that lone 
workers are permitted under the agency's RWP program. This proposal 
reflects FTA's adoption of the principles of SMS as the mechanism for 
ensuring transit safety.
    In section 671.39(b)(1), FTA proposes that this safety risk 
assessment must be consistent with the RTA's Agency Safety Plan and the 
SSOA's Program Standard. In section 671.39(b)(2), FTA is proposing that 
RTAs may supplement the safety risk assessment with engineering 
assessments, inputs from the Safety Assurance process established in 
part 673, the results of safety event investigations, and other safety 
risk management strategies and approaches.
    Section 671.39(b)(3) proposes that the RTA must review and update 
the safety risk assessment at least every two years. This proposal is 
intended to ensure that the safety risk assessment reflects current 
conditions, lessons learned from safety events, actions the RTA has 
taken to address reports of unsafe acts and conditions and near-misses, 
and the results of the agency's monitoring of redundant protection 
effectiveness.
    Section 671.39(b)(4) proposes that the SSOA may identify and 
require the RTA to implement alternate redundant protections based on 
the RTA's unique operating characteristics and capabilities. These 
redundant protections may supplant or be implemented alongside the 
RTA's identified redundant protections.
    Section 671.39(c) proposes that the RTA must identify redundant 
protections for roadway workers performing different categories of work 
on the roadway and within track zones. This flexibility is intended to 
reflect the wide range of activities conducted on the roadway and to 
provide the opportunity for RTAs to ``right size''

[[Page 20616]]

protections based on the safety risk associated with different 
categories of work. This proposal would require RTAs to establish and 
layer redundant protections commensurate with the work being performed. 
FTA proposes that RTAs, at a minimum, identify redundant protections 
for the following categories of work, as appropriate: (1) roadway 
workers moving from one track zone to another; (2) roadway workers 
performing minor tasks; (3) roadway workers conducting visual 
inspections; (4) roadway workers using hand tools, machines, or 
equipment to test track system components or conduct non-visual 
inspections; (5) roadway workers using hand tools, machines, or 
equipment in performing maintenance, construction, or repairs; and (6) 
lone workers, to the extent that lone workers are permitted by the 
RTA's RWP program, accessing the roadway or track zone or performing 
visual inspections or minor tasks.
    Section 671.39(d)(1) proposes that redundant protections may be 
procedural or physical. FTA has proposed definitions for each kind of 
protection as it is likely that RTAs will use a mix of procedural and 
physical redundant protections to ensure on-track safety. Allowing both 
physical and procedural redundant protections is responsive to RFI 
respondents, the majority of whom recommended that FTA allow both 
physical and redundant protections for workers on the roadway.
    Section 671.39(d)(2) proposes example redundant protections. FTA is 
not proposing an explicit set of redundant protections; rather, FTA 
proposes that RTAs and SSOAs may use any of the redundant protections 
listed in this paragraph or identify, using the agency's Safety Risk 
Management process, redundant protections suitable to the specific 
circumstance under which they will be used.
    Section 671.39(d)(3) proposes that redundant protections for lone 
workers must include, at a minimum, foul time or an equivalent 
protection approved by the SSOA.
671.41 RWP Training and Qualifications
    Section 671.41(a) proposes the general requirement for an RTA to 
adopt an RWP training program. This proposal is responsive to NTSB 
recommendations. Section 671.41(a)(1) proposes that the training 
program must address all transit workers responsible for on-track 
safety by position. This proposal includes, but is not limited to, 
roadway workers, operation control center personnel, rail transit 
vehicle operators, operators of on-track equipment and roadway 
maintenance machines, and any other transit workers who play a role in 
providing on-track safety or fouling a track for the performance of 
work as transit workers who must be addressed by the RWP training 
program.
    Section 671.41(a)(2) proposes that a transit worker must complete 
the RWP training program for the relevant position before the RTA may 
assign that transit worker to perform the duties of a roadway worker; 
to oversee or supervise access to the track zone from the operations 
control center; or to operate vehicles, on-track equipment, and roadway 
maintenance machines on the rail transit system.
    Section 671.41(a)(3) proposes that the RWP training program must 
address RWP hazard recognition and mitigation. This proposal is 
responsive to an NTSB recommendation to require initial and recurring 
training for roadway workers in hazard recognition and mitigation. This 
section also specifies that the training program must address lessons 
learned through the results of compliance testing, near-miss reports, 
reports of unsafe acts or conditions, and feedback received on the 
training program.
    Section 671.41(a)(4) proposes that the RWP training program must 
include both initial and refresher training by position and that 
refresher training must occur every two years at a minimum.
    Section 671.41(a)(5) proposes that the RTA must review and update 
its RWP program not less than every two years. FTA proposes that this 
includes incorporating lessons learned in implementing the RWP program 
and information provided by the SSOA and FTA. FTA also proposes that 
the review and update process must include an opportunity for roadway 
worker involvement, to ensure potentially valuable safety information 
from workers executing tasks on the roadway can be collected and 
incorporated into the safety training program.
    Section 671.41(b) proposes the required elements of the RWP 
training program. FTA is proposing these elements based on industry 
best practices and best practices for adult learners.
    Section 671.41(b)(1) proposes that the RWP training program must 
include interactive training that provides the opportunity for workers 
to ask the RWP trainer questions and for workers and trainers to raise 
and discuss RWP issues. FTA proposes that the initial training must 
include experience in a representative field setting such that the 
initial training may not be classroom-only. FTA also proposes that both 
the initial and refresher training must include worker demonstrations 
and trainer assessments of the worker's ability to comply with RWP 
instructions.
    Section 671.41(c) proposes minimum contents for the RWP training 
program. FTA proposes that the RWP training program include at a 
minimum: (1) how to interpret and use the RTA's RWP manual; (2) how to 
use the RTA's good faith challenge process; (3) how to make reports on 
unsafe acts, unsafe conditions, and near misses through the RTA's 
Transit Worker Safety Reporting Program and the mandatory duty to make 
such reports; (4) track zone recognition and an understanding of the 
space around the tracks within which on-track safety is required, 
including use of the track access guide; (5) the functions and 
responsibilities of all transit workers involved in on-track safety, by 
position; (6) proper compliance with on-track safety instructions; (7) 
signals and directions given by watchpersons, and the proper procedures 
to implement upon receiving a rail transit vehicle approach warning 
from a watchperson; (8) the hazards associated with working on or near 
rail transit tracks, including traction power, if applicable; (9) rules 
and procedures for redundant protections identified under section 
671.37 and how they are applied to RWP; and (10) how to safely cross 
rail transit tracks in yards and on the mainline. These minimum 
proposed elements reflect industry best practice and provide a baseline 
for safety on the roadway.
    Section 671.41(d) proposes specialized minimum training and 
qualifications for transit workers with additional responsibilities for 
on-track safety. FTA is proposing additional training for transit 
workers serving the function of watchpersons, flag persons, lone 
workers, roadway workers in charge, and any other transit workers with 
responsibilities for establishing, supervising, and monitoring on track 
safety. FTA proposes that this training must cover the content and 
application of the additional RWP program requirements carried out by 
the relevant position(s). FTA also proposes that this additional 
training must also address the relevant physical characteristics of the 
RTA's system where on-track safety may be established.
    Similar to the general RWP training program, FTA proposes that this 
specialized training must include demonstration and assessment of the 
transit worker's ability to perform these additional responsibilities. 
FTA proposes that refresher training on these additional 
responsibilities must occur at

[[Page 20617]]

least every two years. This proposal reflects the critical safety role 
these transit workers have in establishing, supervising, and monitoring 
on track safety.
    Section 671.41(e) proposes that the RTA must ensure that those 
transit workers providing RWP training are qualified and have active 
RWP certification at the RTA. This proposal is intended to ensure that 
RTAs are providing effective RWP training. Section 671.41(e) further 
proposes that, at a minimum, the RTA must consider: (1) a trainer's 
experience and knowledge of effective training techniques in the chosen 
learning environment; (2) a trainer's experience with the RTA RWP 
program; (3) a trainer's knowledge of the RTA RWP rules, operations, 
and operating environment, including applicable operating rules; and 
(4) a trainer's knowledge of the training requirements specified in 
this part. FTA's intent with this proposal is to ensure that trainers 
providing RWP program training have the capacity to deliver effective 
training in the learning environment used at the agency; are 
experienced with the specifics of the RTA's individual RWP program, the 
RTA's rules, operations, and operating environment; and are 
knowledgeable about FTA's requirements for RWP program training.
671.43 RWP Compliance Monitoring Program
    Section 671.43 proposes that the RTA must develop and implement a 
program to monitor its own compliance with the requirements specified 
in its RWP program. This monitoring program is consistent with Safety 
Assurance principles and is intended to ensure consistent and effective 
RWP program implementation. FTA proposes that this program must 
include, at a minimum, inspections, observations, and audits consistent 
with the safety performance monitoring and measurement practices 
established in the RTA's Agency Safety Plan and the SSOA's Program 
Standard.
    Section 671.43(b)(1) further proposes that the RTA must provide 
monthly reports to the SSOA documenting the RTA's compliance with and 
sufficiency of the RWP program and section 671.43(b)(2) specifies that 
the RTA must provide an annual briefing to the Accountable Executive 
and the Board of Directors, or equivalent entity, regarding the 
performance of the RWP program and any identified deficiencies 
requiring corrective action.

Subpart E--Recordkeeping

671.51 Recordkeeping
    FTA proposes recordkeeping requirements related to the RWP program 
in keeping with the recordkeeping requirements established in part 673, 
which requires transit agencies to maintain document related to SMS 
implementation and the results of SMS processes and activities. As 
discussed above, an RWP program is a key element of Safety Risk 
Management and Safety Assurance in an RTA's SMS.
    Section 671.51(a) proposes that the RTA must maintain the documents 
that set forth its RWP program, documents related to the implementation 
of its RWP program, and documentation of the results from the 
procedures, processes, assessments, training, and activities specified 
in this part for the RWP program.
    Section 671.51(b) proposes that the RTA must maintain records of 
its compliance with this requirement, including transit worker RWP 
training and refresher training records, for a minimum of three years 
after the individual record is created.
    Finally, Section 671.51(c) specifies that the RTA must make these 
documents available upon request by FTA or other Federal entity, or an 
SSOA having jurisdiction.

IV. Regulatory Analyses and Notices

    Executive Order 12866 (``Regulatory Planning and Review''), as 
supplemented by Executive Order 13563 (``Improving Regulation and 
Regulatory Review'') and Executive Order 14094 (``Modernizing 
Regulatory Review''), directs Federal agencies to assess the benefits 
and costs of regulations, to select regulatory approaches that maximize 
net benefits when possible, and to consider economic, environmental, 
and distributional effects. It also directs the Office of Management 
and Budget (OMB) to review significant regulatory actions, including 
regulations with annual economic effects of $200 million or more. OMB 
has determined that the proposed rule is not significant within the 
meaning of Executive Order 12866 and has not reviewed it under that 
order.

Overview and Need for Regulation

    FTA has determined that unsafe practices and conditions place rail 
transit workers at risk of being killed or seriously injured while 
performing work on the roadway. According to data collected by FTA, 
roadway worker accidents have caused more transit worker fatalities 
than any other type of safety event. Since 1994, 52 rail transit 
workers have been killed and over 200 workers have experienced major 
injuries from roadway safety events, primarily from collisions with 
rail transit vehicles, falls, and electrocution. From January 1, 2008, 
to October 31, 2022, 22 workers have been killed and 120 workers 
seriously injured in roadway accidents. Currently, there are no Federal 
regulations or standards governing rail transit worker RWP, despite 
recommendations from NTSB and TRACS.
    The proposed rule would establish RWP program standards for rail 
transit agencies in all states. The rule would establish minimum 
baseline standards and require risk-based redundant protections, 
defined as protections outside of the employee's individual ability to 
detect a train and move to a place of safety, such as shunts or 
derailers, for rail transit roadway workers occupying the rail roadway 
during hours of operations. The rule would require transit agencies to 
do the following:
    1. Set minimum standards for RWP program elements, including an RWP 
manual and track access guide.
    2. Meet requirements for on-track safety and supervision, job 
safety briefings, good faith safety challenges, and reporting unsafe 
acts and conditions and near-misses.
    3. Develop and implement risk-based redundant protections for 
workers.
    4. Establish RWP training, qualification, and compliance monitoring 
activities.
    The proposed rule would apply to RTAs in the SSO program, SSOAs, 
and rail transit workers who access the roadway to perform work. SSOAs 
would oversee and enforce FTA's RWP program requirements.

Baseline and Analytical Approach

    FTA considered three regulatory options while developing the 
proposed rule. The key distinction between the three options is the use 
of redundant protections.
    Option 1: FTA would require RTAs to perform a risk analysis to 
determine what types of redundant protections must be used in addition 
to the baseline RWP program.
    Option 2: FTA would establish requirements for an RWP program but 
would not mandate the use of redundant protections.
    Option 3: FTA would mandate the use of standard physical redundant 
protections to protect workers when accessing the roadway in additions 
to the baseline RWP program.

[[Page 20618]]

    To assess the effects of the three regulatory options, FTA analyzed 
roadway worker injuries and fatalities outside California from January 
1, 2008, to September 19, 2020 (12.7 years). The analysis excludes 
California because the state established RWP safety standards in 
2016.\2\ Agencies reported 97 injuries and 20 fatalities, for an annual 
average of 7.6 injuries and 1.6 fatalities. FTA used the annual 
averages as a baseline rate for fatalities and injuries in the absence 
of the proposed rule.
---------------------------------------------------------------------------

    \2\ Public Utilities Commission of the State of California 
(2016). ``General Order No. 175-A: Rules and Regulations Governing 
Roadway Worker Protection Provided by Rail Transit Agencies and Rail 
Fixed Guideway Systems.'' https://docs.cpuc.ca.gov/PublishedDocs/Published/G000/M159/K905/159905345.pdf.
---------------------------------------------------------------------------

    To estimate benefits and costs of the proposed rule, FTA used a 
ten-year analysis period from 2023-2032. All dollar amounts listed are 
in 2020 dollars. To estimate labor costs associated with meeting 
requirements, FTA used occupational wage data from the Bureau of Labor 
Statistics as of May 2020 for the ``Urban Transit Systems'' industry 
(North American Industry Classification System code 485100).\3\ FTA 
used median hourly wages as a basis for the estimated labor costs, 
multiplied by 1.62 to account for employer benefits.\4\
---------------------------------------------------------------------------

    \3\ Bureau of Labor Statistics (2021). ``May 2020 National 
Occupational Employment and Wage Estimates: United States: NAICS 
485000--Transit and Ground Passenger Transportation.'' https://www.bls.gov/oes/2020/may/naics3_485000.htm.
    \4\ Multiplier derived using Bureau of Labor Statistics data on 
employer costs for employee compensation in December 2022 (https://www.bls.gov/news.release/ecec.htm). Employer costs for state and 
local government workers averaged $57.60 an hour, with $35.69 for 
wages and $21.95 for benefit costs. To estimate full costs from 
wages, one would use a multiplier of $57.60/$21.95, or 1.62.
---------------------------------------------------------------------------

Benefits

    Transit subject-matter experts working with FTA reviewed injuries 
and fatalities reported in the NTD to determine if the regulatory 
options would have prevented them. FTA then calculated the average 
annual number of preventable injuries and fatalities to estimate the 
benefits of each regulatory option. One source of uncertainty for the 
analysis is that FTA does not have information on the RWP programs or 
protections that agencies may have adopted after the accidents. As a 
result, the analysis may slightly overestimate the benefits (and the 
associated costs) of the regulatory options.
    Table 1 compares the average number of preventable injuries and 
fatalities for each regulatory option. Option 1 would result in an 
average annual reduction of 2.37 injuries and 1.18 fatalities. Option 2 
results in an average annual reduction of 1.34 injuries and 0.87 
fatalities. Option 3 results in an average annual reduction of 3.87 
injuries and 1.42 fatalities.

                    Table 1--Average Annual Preventable Injuries and Fatalities, 2008 to 2020
----------------------------------------------------------------------------------------------------------------
                          Item                                Option 1           Option 2           Option 3
----------------------------------------------------------------------------------------------------------------
Preventable Injuries...................................               2.37               1.34               3.87
Preventable Fatalities.................................               1.18               0.87               1.42
----------------------------------------------------------------------------------------------------------------

    To determine the monetized values for prevented fatalities and 
injuries, FTA used DOT's value of $11.6 million for a fatality and the 
KABCO Scale value of $210,000 for an injury with ``Severity Unknown.'' 
\5\
---------------------------------------------------------------------------

    \5\ U.S. Department of Transportation (2022). ``Departmental 
Guidance on Valuation of a Statistical Life in Economic Analysis.'' 
https://www.transportation.gov/office-policy/transportation-policy/revised-departmental-guidance-on-valuation-of-a-statistical-life-in-economic-analysis.
---------------------------------------------------------------------------

    Over the 10-year analysis period, the undiscounted benefits for 
Option 1 are $142.3 million, and the annualized benefits are $13.7 
million at a 2 percent discount rate, discounted to 2023 (Table 2). For 
Option 2, the undiscounted benefits are $103.5 million, with annualized 
benefits of $10 million. For Option 3, the undiscounted benefits are 
$173 million, with annualized benefits of $16.6 million.

                                     Table 2--Benefits of the Proposed Rule
                                                   [2023-2032]
----------------------------------------------------------------------------------------------------------------
                Benefits  (2023 to 2032)                      Option 1           Option 2           Option 3
----------------------------------------------------------------------------------------------------------------
Undiscounted...........................................       $142,311,760       $103,532,044       $172,931,886
Annualized (2% Discount Rate)..........................         13,678,562          9,951,177         16,621,673
----------------------------------------------------------------------------------------------------------------

Costs

    Agencies are expected to incur start-up and ongoing costs to 
implement RWP requirements. While some costs vary by regulatory option, 
many of the costs are fixed. Table 3 summarizes costs of the provisions 
over the 10-year analysis period. The largest fixed cost is for the 
Roadway Worker Protection Training program, which has estimated costs 
of $46 million. The largest difference in costs among the regulatory 
options stems from the Minimum Controls and Limitations (redundant 
worker protections) requirement, which has costs ranging from $0 for 
Option 2 to $118 million for Option 3.

                                  Table 3--Ten-Year Costs of the Proposed Rule
                                                   [2023-2032]
----------------------------------------------------------------------------------------------------------------
                      Requirement                             Option 1           Option 2           Option 3
----------------------------------------------------------------------------------------------------------------
RWP Program............................................           $911,728           $911,728           $911,728
RWP Manual.............................................             51,656             51,656             51,656
Rail System Responsibilities...........................            152,466            152,466            152,466

[[Page 20619]]

 
Employee Responsibilities..............................          5,165,600          5,165,600          5,165,600
Job Safety Briefing....................................              2,418              2,418              2,418
Minimum Controls and Limitations.......................         59,138,560                  0        118,277,120
Roadway Worker Protection Training.....................         46,041,229         46,065,170         46,065,170
Risk Assessment for Redundant Protections..............            118,910                  0             118,91
Employee Injury and Illness Program & Records..........            356,730            356,730            356,730
Near Miss Reporting Program & Records..................          2,616,020          2,616,020          2,616,020
Recordkeeping..........................................            258,280            258,280            258,280
                                                        --------------------------------------------------------
    Total Costs........................................        114,813,598         55,508,069        176,976,098
----------------------------------------------------------------------------------------------------------------

RWP Programs

    RTAs would incur costs to develop and implement programs for ROW 
workers if they do not already have formal standalone programs. FTA 
estimates that 33 of the 55 RTAs outside California (60 percent) 
already have formal standalone programs, based on industry responses to 
FTA Safety Advisory 14-1,\6\ and that 26 of the 33 RTAs already monitor 
the effectiveness of the programs.
---------------------------------------------------------------------------

    \6\ Federal Transit Administration (December 2013). ``FTA Safety 
Advisory 14-1: Right-of Way Worker Protection.'' https://www.transit.dot.gov/oversight-policy-areas/safety-advisory-14-1-right-way-worker-protection-december-2013.
---------------------------------------------------------------------------

    For the remaining 22 RTAs (40 percent), FTA estimates that an RTA 
would need an average of 96 labor hours to develop and implement a 
formal standalone RWP program, plus 40 hours per year to monitor the 
program's effectiveness. The 40-hour estimate also applies to the 5 
RTAs that already have programs but do not monitor their effectiveness. 
FTA assumes that the work is performed by a First-Line Supervisor of 
Mechanics, Installers, and Repairers with a median wage rate of $58.70 
per hour. The program requirements have estimated one-time costs of 
$232,452 and annual recurring costs of $67,928 (Table 4).

                       Table 4--RWP Program Costs
                              [Options 1-3]
------------------------------------------------------------------------
            Requirement               One-time costs    Recurring costs
------------------------------------------------------------------------
RWP Program Establishment.........            $51,656  .................
RWP Program Effectiveness                           0            $67,928
 Monitoring.......................
SSOA Review.......................            129,140  .................
RWP Program Response to SSOA                   51,656  .................
 Comments.........................
                                   -------------------------------------
    Total.........................            232,452             67,928
------------------------------------------------------------------------

RWP Training Programs

    The proposed rule would require agencies to establish initial and 
refresher training for roadway workers. FTA subject matter experts 
estimated resources needed for transit agencies to develop and 
implement the programs. FTA assumes that initial training and refresher 
trainings for roadway workers require 4.5 hours to complete per 
employee, training for all RTA employees requires 1 hour, and training 
for lone workers requires 8 hours. The resources needed for initial and 
refresher training are the same for each regulatory option.
    FTA estimates that 90 percent of RTAs have already developed 
initial training programs for roadway workers and 79 percent of RTAs 
have already developed refresher training for roadway workers. FTA 
estimates that an RTA would need 60 hours to develop an initial or 
refresher training if it has not already. FTA assumes that no agencies 
have developed training for all employees or training for lone workers.
    The training has estimated one-time costs of $560,000 and annual 
recurring costs of $4.5 million for all three regulatory options. Table 
5 shows estimated costs by regulatory option for RWP training in the 
first year and subsequent years; Table 6 shows estimated costs by 
occupation.

                                       Table 5--RWP Training Program Costs
                                                  [Options 1-3]
----------------------------------------------------------------------------------------------------------------
                                                                                   Total costs,    Total costs,
            Requirement               Workers          Total required hours           initial         annual
----------------------------------------------------------------------------------------------------------------
Development of Initial Training...  ...........  60 hours per RTA...............         $11,623  ..............
Development of Recurring Training.  ...........  60 hours per RTA...............          24,407  ..............
Initial Training for Roadway             31,974  143,882........................         524,915  ..............
 Workers.
Refresher Training for Roadway           31,974  143,882........................  ..............      $1,102,322
 Workers.
Training for All Employees........       50,132  50,132.........................  ..............       1,881,946
Training for Lone Workers.........        5,500  44,000.........................  ..............       1,563,760
                                   -----------------------------------------------------------------------------

[[Page 20620]]

 
    Total.........................  ...........  ...............................         560,945       4,548,028
----------------------------------------------------------------------------------------------------------------


                                                    Table 6--RWP Training Program Costs by Occupation
                                                                      [Options 1-3]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                         Total        Total
                                                                  Fully                   Hours per     required     required      Total        Total
                          Occupation                              loaded      Workers       worker       hours,       hours,       costs,       costs,
                                                                wage rate                               initial       annual      initial       annual
--------------------------------------------------------------------------------------------------------------------------------------------------------
49-9071 Maintenance and Repair Workers, General..............       $35.54       13,824          4.5       62,209       62,209     $221,090     $928,577
53-4041 Subway and Streetcar Operators.......................        37.20       18,150          4.5       81,674       81,674      303,825    1,276,067
00-0000 All Occupations......................................        37.54       50,132            1  ...........       50,132  ...........    1,881,946
49-9071 Maintenance and Repair Workers, General (Lone                35.54        5,500            8  ...........       44,000  ...........    1,563,760
 Workers)....................................................
                                                              ------------------------------------------------------------------------------------------
    Total....................................................  ...........       87,606  ...........      143,882      238,014      524,915    4,548,028
--------------------------------------------------------------------------------------------------------------------------------------------------------

Redundant Worker Protections

    The major cost driver for redundant worker protections is the 
number of full-time equivalent (FTE) employees needed to establish 
worker controls and access limitations. Option 1 requires RTAs to do a 
risk assessment to determine the types of redundant protections to use, 
Option 2 does not require redundant protections, and Option 3 requires 
all RTAs to use standard physical redundant protections.
    Table 7 lists annual estimated costs for the additional FTEs needed 
under each regulatory option. The number of FTEs needed is derived from 
information in California's Public Utilities Commission General Order 
Number 175-A. FTA assumes a labor rate of $35.54 per hour for 
Maintenance and Repair Workers, General for this requirement. For 
Option 1, FTA assumes 80 additional FTEs (at 2080 hours per FTE) for an 
annual total of 166,400 hours and $5,913,856 in recurring costs. Option 
3 assumes 160 additional FTEs for a total of 332,800 required hours, 
annually and $11,827,712 in recurring costs.

                             Table 7--Redundant Worker Protections, Estimated Costs
                                                   [2023-2032]
----------------------------------------------------------------------------------------------------------------
               Regulatory option                     FTEs        Required hours    Labor rate      Annual costs
----------------------------------------------------------------------------------------------------------------
Option 1......................................              80            2,080          $35.54       $5,913,856
Option 2......................................               0                0               0                0
Option 3......................................             160            2,080           35.54       11,827,712
----------------------------------------------------------------------------------------------------------------

Other Costs

    Additional cost elements for each regulatory option include:

 Developing an RWP manual
 Establishing rail fixed guideway public transportation system 
responsibilities
 Establishing employee responsibilities
 Conducting job safety briefings
 Conducting risk assessment for redundant protections
 Establishing employee injury and illness program and 
maintaining records
 Establishing a near miss reporting program and maintaining 
records
 Other recordkeeping

    FTA assumes that each option has the same staffing requirements and 
costs for the additional cost elements, unless stated otherwise. A 
breakdown of the costs is listed in Table 8.

            Table 8--Additional RWP Requirements, Options 1-3
------------------------------------------------------------------------
            Requirement               One-time costs    Recurring costs
------------------------------------------------------------------------
RWP Manual........................            $51,656  .................
Rail System Responsibilities......             95,564             $5,690
Employee Responsibilities.........  .................            516,560
Job Safety Briefing...............  .................                242
Risk Assessment for Redundant                 118,910  .................
 Protections (Options 1 and 3)....
Employee Injury and Illness         .................             35,673
 Program and Records..............
Near Miss Reporting Program and               951,280            166,474
 Records..........................
Recordkeeping.....................  .................             25,828
                                   -------------------------------------
    Total.........................          1,217,410            750,467
------------------------------------------------------------------------


[[Page 20621]]

Summary of Costs

    Table 9 summarizes undiscounted costs for the three regulatory 
options. Option 1 has one-time costs of $2.0 million and annual costs 
of $11.3 million. Option 2 has one-time costs of $1.9 million and $5.4 
million. Finally, Option 3 has one-time costs of $2.0 million and $17.2 
million in annual costs.

                            Table 9--Summary of Costs by Regulatory Option, 2023-2032
----------------------------------------------------------------------------------------------------------------
                                                                                                  Total costs
                   Regulatory option                       One-time costs      Annual costs      (undiscounted)
----------------------------------------------------------------------------------------------------------------
Option 1...............................................         $2,010,807        $11,280,279       $114,813,598
Option 2...............................................          1,915,917          5,366,415         55,580,068
Option 3...............................................          2,034,827         17,194,127        173,976,098
----------------------------------------------------------------------------------------------------------------

    Table 10 shows estimated discounted costs for each regulatory 
option over the 10-year analysis period at a 2 percent discount rate, 
discounted to 2023. Option 1 has annualized costs of $11.1 million, 
Option 2 has annualized costs of $5.4 million, and Option 3 has 
annualized costs of $16.7 million.

                            Table 10--Discounted Costs (2023-2032), 2% Discount Rate
----------------------------------------------------------------------------------------------------------------
                      Requirement                             Option 1           Option 2           Option 3
----------------------------------------------------------------------------------------------------------------
RWP Program............................................           $805,517           $805,517           $805,517
RWP Manual.............................................             48,677             48,677             48,677
Rail System Responsibilities...........................            139,180            139,180            139,180
Employee Responsibilities..............................          4,459,866          4,459,866          4,459,866
Job Safety Briefing....................................              2,088              2,088              2,088
Minimum Controls and Limitations.......................         51,058,933                  0        102,117,867
Roadway Worker Protection Training.....................         39,795,269         39,795,269         39,795,269
Risk Assessment for Redundant Protections..............            112,051                  0            112,051
Employee Injury and Illness Program & Records..........            307,923            307,923            307,923
Near Miss Reporting Program & Records..................          2,333,712          2,333,712          2,333,712
Recordkeeping..........................................            222,993            222,993            222,993
                                                        --------------------------------------------------------
    Total Costs........................................         99,286,280         48,173,861        150,367,799
    Annualized Costs...................................         11,053,197          5,359,021         16,739,923
----------------------------------------------------------------------------------------------------------------

Net Benefits

    Table 11 shows the estimated net benefits for each regulatory 
option at a 2 percent discount rate, discounted to 2023. Option 1 has 
annualized net benefits of $2.6 million, Option 2 has annualized net 
benefits of $4.6 million, and Option 3 has annualized net benefits of -
$120,000.
    Option 2, which would prevent an annual average of 1.34 injuries 
and 0.87 fatalities, yielded the highest net benefit. Option 1 prevents 
more fatalities and injuries (2.37 injuries and 1.18 fatalities) while 
also yielding a positive net benefit. While Option 3 would prevent the 
most fatalities and injuries, it does not have a positive net benefit 
due to the costs of the required physical redundant protections.

                                             Table 11--Net Benefits
----------------------------------------------------------------------------------------------------------------
                                                                                                 Annualized net
                   Regulatory option                         Annualized     Annualized  costs     benefits (2%
                                                              benefits                           discount rate)
----------------------------------------------------------------------------------------------------------------
Option 1...............................................        $13,678,562        $11,053,197         $2,625,365
Option 2...............................................          9,951,177          5,359,021          4,592,156
Option 3...............................................         16,621,673         16,733,623           -111,950
----------------------------------------------------------------------------------------------------------------

Sensitivity Analysis

    The net benefits for each regulatory option primarily depend on the 
estimated number of fatalities they would prevent. FTA conducted a 
sensitivity analysis to understand how changes to the estimates would 
affect the relative net benefits of the three options.
    If the redundant worker protections that agencies would adopt in 
Option 1 would prevent more fatalities and injuries than estimated, 
then the net benefits of Option 1 would increase relative to Option 2. 
The protections would need to prevent an additional 0.18 fatalities 
(for an annual average of 1.36 fatalities) for Option 1 to have the 
same net benefits as Option 2 at a 2 percent discount rate. Similarly, 
for Option 3, the redundant worker protections would need to prevent an 
additional .42 fatalities (for an annual average of 1.84 fatalities) 
for Option 3 to have the same net benefits as Option 2 at a 2 percent 
discount rate.

Regulatory Alternatives

    FTA selected the requirements of Option 1 for the proposed rule 
because it would prevent more roadway worker safety events than Option 
2 while maintaining net positive benefits. Many current rail transit 
RWP programs have provisions that allow roadway workers onto the track 
to perform work without protections beyond their own ability to detect 
oncoming trains and clear the tracks before their arrival. FTA's 
internal safety risk management process

[[Page 20622]]

identified the lack of redundant protections as the most significant 
contributor to rail transit roadway worker safety events. Similarly, 
NTSB, TRACS, and many commenters responding to FTA's RFI on Rail 
Transit Worker Safety also support the use of redundant protections.\7\ 
Because no two RTAs are the same, Option 1 would provide rail transit 
agencies the flexibility to determine the types of procedural and 
physical redundant protections to incorporate. Option 1 would also 
provide a clear role for SSOAs to approve RWP programs and to ensure 
overall program effectiveness.
---------------------------------------------------------------------------

    \7\ Federal Transit Administration (2021). ``Request for 
Information on Transit Worker Safety.'' https://www.federalregister.gov/documents/2021/09/24/2021-20744/request-for-information-on-transit-worker-safety.
---------------------------------------------------------------------------

Regulatory Flexibility Act

    The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.) 
requires Federal agencies to assess the impact of a regulation on small 
entities unless the agency determines that the regulation is not 
expected to have a significant economic impact on a substantial number 
of small entities.
    The proposed rule would create new RWP program requirements for 
RTAs and SSOAs. Under the Act, public-sector organizations and local 
governments qualify as small entities if they serve a population of 
less than 50,000. RTAs do not qualify as small entities because they 
all operate in urbanized areas with populations of more than 50,000, 
and SSOAs do not qualify because they are state agencies. FTA has 
therefore determined that the proposed rule would not have a 
significant effect on a substantial number of small entities.

Unfunded Mandates Reform Act of 1995

    FTA has determined that this rule would not impose unfunded 
mandates, as defined by the Unfunded Mandates Reform Act of 1995 (Pub. 
L. 104-4). This rule does not include a Federal mandate that may result 
in expenditures of $100 million or more in any one year, adjusted for 
inflation, by State, local, and tribal governments in the aggregate or 
by the private sector. The threshold in 2023 dollars is $183 million 
after adjusting for inflation using the gross domestic product implicit 
price deflator. Additionally, the definition of ``Federal mandate'' in 
the Unfunded Mandates Reform Act excludes financial assistance of the 
type in which State, local, or tribal governments have authority to 
adjust their participation in the program in accordance with changes 
made in the program by the Federal government. The Federal Transit Act 
permits this type of flexibility.

Executive Order 13132 (Federalism Assessment)

    Executive Order 13132 requires agencies to assure meaningful and 
timely input by State and local officials in the development of 
regulatory policies that may have a substantial direct effect on the 
States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government. This action has been analyzed in 
accordance with the principles and criteria contained in Executive 
Order 13132 dated August 4, 1999, and FTA determined this action will 
not have a substantial direct effect or sufficient federalism 
implications on the States. FTA also determined this action will not 
preempt any State law or regulation or affect the States' ability to 
discharge traditional State governmental functions.

Executive Order 12372 (Intergovernmental Review)

    The regulations implementing Executive Order 12372 regarding 
intergovernmental consultation on Federal programs and activities apply 
to this program.

Paperwork Reduction Act

    In compliance with the Paperwork Reduction Act of 1995 (44 U.S.C. 
3501, et seq.) (PRA), and the White House Office of Management and 
Budget's (OMB) implementing regulation at 5 CFR 1320.8(d), FTA is 
seeking approval from OMB for a new information collection that is 
associated with a notice of proposed rulemaking. FTA is seeking 
approval from OMB for the information collection request abstracted 
below.
     Type of Collection: Operators of rail public 
transportation systems.
     Respondents to Collection: RTAs in the SSO program, SSOAs, 
and rail transit workers who access the roadway to perform work.
     Type of Review: OMB Clearance. New information collection 
request.
     Summary of the Collection: The collection of information 
includes: (1) Each RTA would adopt and implement an RWP program to 
improve transit worker safety that is consistent with Federal and State 
safety requirements and approved by the SSOA; they would be required to 
review and update their program manual not less than every two years; 
(2) Require implementation of comprehensive job safety briefings and 
reporting of near-misses; (3) Documenting formal training and 
qualification programs for all workers who access the roadway; (4) 
Program compliance auditing and monitoring; (5) Periodic request for 
information; and (6) Ensuring compliance of SSOAs responsibility to 
approve, oversee and enforce RWP requirements (7) submission of RWP 
programs and updates to FTA.
     Frequency: Bi-Annual, Periodic.
    FTA seeks public comment to evaluate whether the proposed 
collection of information is necessary for the proper performance of 
FTA's functions, including whether the information will have practical 
utility; whether the estimation of the burden of the proposed 
information collection is accurate, including the validity of the 
methodologies and assumptions used; ways in which the quality, utility, 
and clarity of the information can be enhanced; and whether the burden 
can be minimized, including through the use of automated collection 
techniques or other forms of information technology.

National Environmental Policy Act

    Federal agencies are required to adopt implementing procedures for 
the National Environmental Policy Act (NEPA) that establish specific 
criteria for, and identification of, three classes of actions: (1) 
Those that normally require preparation of an Environmental Impact 
Statement, (2) those that normally require preparation of an 
Environmental Assessment, and (3) those that are categorically excluded 
from further NEPA review (40 CFR 1507.3(b)). This rule qualifies for 
categorical exclusions under 23 CFR 771.118(c)(4) (planning and 
administrative activities that do not involve or lead directly to 
construction). FTA has evaluated whether the rule will involve unusual 
or extraordinary circumstances and has determined that it will not.

Executive Order 12630 (Taking of Private Property)

    FTA has analyzed this rule under Executive Order 12630, 
Governmental Actions and Interference with Constitutionally Protected 
Property Rights. FTA does not believe this rule affects a taking of 
private property or otherwise has taking implications under Executive 
Order 12630.

Executive Order 12988 (Civil Justice Reform)

    This rule meets applicable standards in sections 3(a) and 3(b)(2) 
of Executive Order 12988, Civil Justice Reform, to

[[Page 20623]]

minimize litigation, eliminate ambiguity, and reduce burden.

Executive Order 13045 (Protection of Children)

    FTA has analyzed this rule under Executive Order 13045, Protection 
of Children from Environmental Health Risks and Safety Risks. FTA 
certifies that this action will not cause an environmental risk to 
health or safety that might disproportionately affect children.

Executive Order 13175 (Tribal Consultation)

    FTA has analyzed this rule under Executive Order 13175, 
Consultation and Coordination with Indian Tribal Governments, and 
believes that it will not have substantial direct effects on one or 
more Indian tribes; will not impose substantial direct compliance costs 
on Indian tribal governments; and will not preempt tribal laws. 
Therefore, a tribal summary impact statement is not required.

Executive Order 13211 (Energy Effects)

    FTA has analyzed this action under Executive Order 13211, Actions 
Concerning Regulations That Significantly Affect Energy Supply, 
Distribution, or Use. FTA has determined that this action is not a 
significant energy action under that order and is not likely to have a 
significant adverse effect on the supply, distribution, or use of 
energy. Therefore, a Statement of Energy Effects is not required.

Executive Orders 14096 and 12898 (Environmental Justice)

    Executive Order 14096 (Revitalizing Our Nation's Commitment to 
Environmental Justice for All) (Apr. 21, 2023) (which builds upon 
Executive Order 12898) and DOT Order 5610.2(a) (77 FR 27534, May 10, 
2012; see: https://www.transportation.gov/transportation-policy/environmental-justice/department-transportation-order-56102a) require 
DOT agencies to make achieving environmental justice (EJ) part of their 
mission consistent with statutory authority by identifying, analyzing, 
and addressing, as appropriate, disproportionate and adverse human 
health or environmental effects, including those related to climate 
change and cumulative impacts of environmental and other burdens on 
communities with EJ concerns. All DOT agencies seek to advance these 
policy goals and to engage in this analysis as appropriate in 
rulemaking activities. On August 15, 2012, FTA's Circular 4703.1 became 
effective, which contains guidance for recipients of FTA financial 
assistance to incorporate EJ principles into plans, projects, and 
activities. (See: https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/environmental-justice-policy-guidance-federal-transit).
    FTA has evaluated this action under its environmental justice 
policies and FTA has determined that this action will not cause 
disproportionate and adverse human health and environmental effects on 
communities with EJ concerns.

Regulation Identifier Number

    A Regulation Identifier Number (RIN) is assigned to each regulatory 
action listed in the Unified Agenda of Federal Regulations. The 
Regulatory Information Service Center publishes the Unified Agenda in 
April and October of each year. The RIN number contained in the heading 
of this document can be used to cross-reference this rule with the 
Unified Agenda.

List of Subjects in 49 CFR Part 671

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


0
 For the reasons set forth in the preamble, and under the authority of 
49 U.S.C. 5329 and the delegations of authority at 49 CFR 1.91, FTA 
proposes to amend Chapter VI of Title 49, Code of Federal Regulations, 
by adding part 671, as set forth below:

PART 671--RAIL TRANSIT ROADWAY WORKER PROTECTION

Subpart A--General
Sec.
671.1 Purpose and Applicability.
671.3 Policy.
671.5 Definitions.
Subpart B--Roadway Worker Protection (RWP) Program and Manual
671.11 RWP Program.
671.13 RWP Manual.
Subpart C--Responsibilities
671.21 Rail Transit Agency.
671.23 Transit Worker.
671.25 State Safety Oversight Agency.
Subpart D--Required RWP Program Elements
671.31 Roadway Worker in Charge.
671.33 Job Safety Briefing.
671.35 Lone Worker.
671.37 Good Faith Safety Challenge.
671.39 Risk-Based Redundant Protections.
671.41 RWP Training and Qualification Program.
671.43 RWP Compliance Monitoring Program.
Subpart E--Recordkeeping
671.51 Recordkeeping.

    Authority:  49 U.S.C. 5329, 49 CFR 1.91.

Subpart A--General


Sec.  671.1  Purpose and Applicability.

    (a) The purpose of this part is to set forth the applicability of 
the rail transit Roadway Worker Protection (RWP) regulation.
    (b) This part applies to rail transit agencies (RTA) that receive 
Federal financial assistance authorized under 49 U.S.C. Chapter 53; and 
to State Safety Oversight Agencies (SSOA) that oversee the safety of 
rail fixed guideway public transportation systems. This part does not 
apply to rail systems that are subject to the safety oversight of the 
Federal Railroad Administration (FRA).
    (c) This part applies to transit workers who access any rail fixed 
guideway public transportation systems in the performance of work.


Sec.  671.3  Policy.

    (a) This part establishes minimum safety standards for rail transit 
Roadway Worker Protection (RWP) to ensure the safe operation of public 
transportation systems and to prevent accidents, incidents, fatalities, 
and injuries to transit workers who may access the roadway in the 
performance of work. Each RTA and SSOA may prescribe additional or more 
stringent operating rules, safety rules, and other special instructions 
that are consistent with this part.
    (b) The Federal Transit Administration (FTA) has adopted the 
principles and methods of Safety Management Systems (SMS) as the basis 
for enhancing the safety of public transportation in the United States. 
Activities conducted to carry out these RWP safety standards must be 
integrated into the RTA's SMS, including the Safety Risk Management 
process, specified in Sec.  673.25 of this chapter, and the Safety 
Assurance process, specified in Sec.  673.27 of this chapter.


Sec.  671.5  Definitions.

    As used in this part:
    Accountable Executive means a single, identifiable person who has 
ultimate responsibility for carrying out the Public Transportation 
Agency Safety Plan of a transit agency; responsibility for carrying out 
the transit agency's Transit Asset Management Plan; and control or 
direction over the human and capital resources needed to develop and 
maintain both the transit agency's Public Transportation Agency Safety 
Plan, in accordance with 49 U.S.C. 5329(d), and the transit agency's 
Transit Asset Management Plan in accordance with 49 U.S.C. 5326.

[[Page 20624]]

    Ample time means the time necessary for a roadway worker to be 
clear of the track zone or in a place of safety 15 seconds before a 
rail transit vehicle moving at the maximum authorized speed on that 
track could arrive at the location of the roadway worker.
    Equivalent entity means an entity that carries out duties similar 
to that of a Board of Directors, for a recipient or subrecipient of FTA 
funds under 49 U.S.C. chapter 53, including sufficient authority to 
review and approve a recipient or subrecipient's Public Transportation 
Agency Safety Plan.
    Equivalent protection means alternative designs, materials, or 
methods that the RTA can demonstrate to the SSOA will provide equal or 
greater safety for roadway workers than the means specified in this 
part.
    Flag person means a roadway worker designated by the RTA to direct 
or restrict the movement of rail transit vehicles or equipment past a 
point on a track to provide on-track safety for roadway workers, while 
engaged solely in performing that function.
    Foul time protection is a method of establishing working limits in 
which a roadway worker is notified by the control center that no rail 
transit vehicles will be authorized to operate within a specific 
segment of track until the roadway worker reports clear of the track.
    Fouling a track means the placement of an individual or an item of 
equipment in such proximity to a track that the individual or equipment 
could be struck by a moving rail transit vehicle or on-track equipment. 
Any time an individual or equipment is within the track zone, it is 
fouling the track.
    Individual rail transit vehicle detection means a process by which 
a lone worker acquires on-track safety by visually detecting 
approaching rail transit vehicles or equipment and leaving the track in 
ample time.
    Job safety briefing means a meeting addressing the requirements of 
this part that is conducted prior to commencing work by the Roadway 
Worker in Charge, typically at the job site, to notify roadway workers 
or other transit workers about the hazards related to the work to be 
performed and the protections to eliminate or protect against those 
hazards. Alternatively, briefings can be conducted virtually for those 
individuals who are working remotely on the job site (e.g., remote 
drone operators).
    Lone worker means an individual roadway worker who is not afforded 
on-track safety by another roadway worker, who is not a member of a 
roadway work group, and who is not engaged in a common task with 
another roadway worker.
    Maximum authorized speed means the highest speed permitted for the 
movement of rail transit vehicles established by the rail transit 
vehicle control system, service schedule, and operating rules. This 
speed is used when calculating ample time.
    Minor tasks mean those tasks performed without the use of tools 
during the execution of which a roadway worker or other transit worker 
can visually assess their surroundings at least every five (5) seconds 
for approaching rail transit vehicles and that can be performed without 
violating ample time.
    Near-miss means a narrowly avoided safety event.
    On-track safety means a state of freedom from the danger of being 
struck by a moving rail transit vehicle or other equipment as provided 
by operating and safety rules that govern track occupancy by roadway 
workers, other transit workers, rail transit vehicles, and on-track 
equipment.
    Place of safety means a space an individual or individuals can 
safely occupy outside the track zone, sufficiently clear of any rail 
transit vehicle, including any on-track equipment, moving on any track.
    Qualified means a status attained by a roadway worker or other 
transit worker who has successfully completed required training, 
including refresher training, for; has demonstrated proficiency in; and 
is authorized by the RTA to perform the duties of a particular position 
or function.
    Rail fixed guideway public transportation system means any fixed 
guideway system or any such system in engineering or construction, that 
uses rail, is operated for public transportation, is within the 
jurisdiction of a State, and is not subject to the jurisdiction of the 
Federal Railroad Administration, or any such system in engineering or 
construction. These systems include but are not limited to rapid rail, 
heavy rail, light rail, monorail, trolley, inclined plane, funicular, 
and automated guideway.
    Rail transit agency (RTA) means any entity that provides services 
on a rail fixed guideway public transportation system.
    Rail transit vehicle means any rolling stock used on a rail fixed 
guideway public transportation system, including but not limited to 
passenger and maintenance vehicles.
    Rail transit vehicle approach warning means a method of 
establishing on-track safety by warning roadway workers of the approach 
of rail transit vehicles in ample time for them to move to or remain in 
a place of safety in accordance with the requirements of this part.
    Redundant protection means at least one additional protection 
beyond individual rail transit vehicle detection to ensure on-track 
safety for roadway workers. Redundant protections may be procedural, 
physical, or both.
    Roadway means land on which rail transit tracks and support 
infrastructure have been constructed to support the movement of rail 
transit vehicles.
    Roadway maintenance machine means a device which is used on or near 
rail transit track for maintenance, repair, construction or inspection 
of track, bridges, roadway, signal, communications, or electric 
traction systems. Roadway maintenance machines may have road or rail 
wheels or may be stationary.
    Roadway worker means a transit worker whose duties involve 
inspection, construction, maintenance, repairs, or providing on-track 
safety such as flag persons and watchpersons on or near the roadway or 
right-of-way or with the potential of fouling track.
    Roadway work group means two or more roadway workers organized to 
work together on a common task.
    Roadway Worker in Charge means a roadway worker who is qualified 
under this part to establish on-track safety.
    Roadway Worker Protection (RWP) means the polices, processes, and 
procedures implemented by an RTA to prevent safety events for transit 
workers who must access the roadway in the performance of their work.
    RWP manual means the entire set of the RTA's on-track safety rules 
and instructions maintained together, including operating rules and 
other procedures concerning on-track safety protection and on-track 
safety measures, designed to prevent roadway workers from being struck 
by rail transit vehicles or other on-track equipment.
    Safety event means an unexpected outcome resulting in injury or 
death; damage to or loss of the facilities, equipment, rolling stock, 
or infrastructure of a public transportation system; or damage to the 
environment.
    Sight distance means mean the length of roadway visible ahead for a 
roadway worker.
    State Safety Oversight Agency (SSOA) means an agency established by 
a State that meets the requirements and performs the functions 
specified by 49 U.S.C. 5329(e) and 49 CFR part 674.
    Track access guide means a document that describes the physical 
characteristics of the RTA's track system, including track areas with 
close

[[Page 20625]]

or no clearance, curves with blind spots or restricted sight lines, 
areas with loud noise, and potential environmental conditions that 
require additional consideration in establishing on-track safety.
    Track zone means an area identified by transit workers where a 
person or equipment could be struck by the widest equipment that could 
occupy the track, and typically is an area within six feet of the 
outside rail on both sides of any track.
    Transit worker means any employee, contractor, or volunteer working 
on behalf of the RTA or SSOA.
    Transit Worker Safety Reporting Program means the process required 
under Sec.  673.23 of this chapter that allows transit workers to 
report safety concerns, including transit worker assaults, near-misses, 
and unsafe acts and conditions to senior management, provides 
protections for transit workers who report safety conditions to senior 
management, and describes transit worker behaviors that may result in 
disciplinary action.
    Watchperson means a roadway worker qualified to provide warning to 
roadway workers of approaching rail transit vehicles or track equipment 
whose sole duty is to look out for approaching rail transit vehicles 
and track equipment and provide at least 15 seconds advanced warning 
plus time to clear based on the maximum authorized track speed for the 
work location to transit workers before the arrival of rail transit 
vehicles.
    Working limits means a segment of track with explicit boundaries 
upon which rail transit vehicles and on-track equipment may move only 
as authorized by the roadway worker having control over that defined 
segment of track.
    Work zone means the immediate area where work is being performed 
within the track zone.

Subpart B--Roadway Worker Protection (RWP) Program and Manual


Sec.  671.11  RWP program.

    (a) Each RTA must adopt and implement an approved RWP program to 
improve transit worker safety that is consistent with Federal and State 
safety requirements and meets the minimum requirements of this part.
    (b) The RWP program must include:
    (1) An RWP manual as described in Sec.  671.13.
    (2) All of the RWP program elements described in Subpart D.
    (c) Each RTA must submit its RWP manual and subsequent updates to 
its SSOA for review and approval as described in Sec.  671.25.


Sec.  671.13  RWP manual.

    (a) Each RTA must establish and maintain a separate, dedicated 
manual documenting its RWP program.
    (b) The RWP manual must include the terminology, abbreviations, and 
acronyms used to describe the RWP program activities and requirements.
    (c) The RWP manual must document:
    (1) All elements of the RWP program in Subpart D.
    (2) A definition of RTA and transit worker responsibilities as 
described in Subpart C--Responsibilities.
    (3) Training, qualification, and supervision required for transit 
workers to access the track zone, by labor category or type of work 
performed.
    (4) Processes and procedures, including any use of roadway workers 
to provide adequate on-track safety, for all transit workers who may 
access the track zone in the performance of their work, including 
safety and oversight personnel. Procedures for SSOA personnel to access 
the roadway must conform with the SSOA's risk-based inspection program.
    (d) The RWP manual must include or incorporate by reference a track 
access guide to support on-track safety. The track access guide must be 
based on a physical survey of the track geometry and condition of the 
transit system and include, at a minimum:
    (1) Locations with limited, close, or no clearance, including 
locations (such as alcoves, recessed spaces, or other designated places 
or areas of refuge or safety) with size or access limitations.
    (2) Locations subject to increased rail vehicle or on-track 
equipment braking requirements or reduced rail transit vehicle operator 
visibility due to precipitation or other weather conditions.
    (3) Curves with no or limited visibility.
    (4) Locations with limited or no visibility due to obstructions or 
topography.
    (5) All portals with restricted views.
    (6) Locations with heavy outside noise or other environment 
conditions that impact on-track safety.
    (7) Any other locations with access considerations.
    (e) Following initial approval of the RWP manual by its SSOA, not 
less than every two years, the RTA must review and update its RWP 
manual to reflect current conditions and lessons learned in 
implementing the RWP program and information provided by the SSOA and 
FTA.
    (f) The RTA must update its RWP manual and track access guide as 
necessary and as soon as practicable upon any change to the system 
which conflicts with any element of either document.
    (g) The RWP manual must be distributed to all transit workers who 
access the roadway and redistributed after each revision.

Subpart C--Responsibilities


Sec.  671.21  Rail transit agency.

    (a) In General. Each RTA must establish procedures to:
    (1) Provide ample time and determine the appropriate sight distance 
based on maximum authorized track speeds.
    (2) Ensure that individual rail transit vehicle detection is never 
used as the only form of protection in the track zone.
    (3) Provide job safety briefings to all transit workers who must 
enter a track zone to perform work.
    (4) Provide job safety briefings to all transit workers whenever a 
rule violation is observed.
    (5) Provide transit workers with the right to challenge and refuse 
in good faith any assignment based on on-track safety concerns and 
resolve such challenges and refusals promptly and equitably.
    (6) Require the reporting of unsafe acts, unsafe conditions, and 
near-misses on the roadway as part of the Transit Worker Safety 
Reporting Program and described in Sec.  673.23(b) of this chapter.
    (7) Ensure all transit workers who must enter a track zone to 
perform work understand, are qualified in, and comply with the RWP 
program.
    (b) Equipment and protections. Each RTA must establish the 
requirements for on-track safety, including:
    (1) Equipment that transit workers must have to access the roadway 
or a track zone by labor category, including personal protective 
equipment such as high-reflection vests, safety shoes, and hard hats.
    (2) Credentials (e.g., badge, wristband, RWP card) for transit 
workers to enter the roadway or track zone by labor category and how to 
display them so they are visible.
    (3) Protections for emergency response personnel who must access 
the roadway or the track zone.
    (4) Protections for multiple roadway work groups within a common 
work area in a track zone.


Sec.  671.23   Transit worker.

    (a) RWP program. Each transit worker must follow the requirements 
of the RTA's RWP program by position and labor category.
    (b) Fouling the track. A transit worker may only foul the track 
once they have received appropriate permissions and

[[Page 20626]]

redundant protections have been established as specified in the RWP 
manual.
    (c) Acknowledgement of protections providing on-track safety. A 
transit worker must understand and acknowledge in writing the 
protections providing on-track safety measures for their specific task 
before accessing the roadway or track zone.
    (d) Refusal to foul the track. A transit worker may refuse to foul 
the track if the transit worker makes a good faith determination that 
that they believe any RWP assignment is unsafe or would violate the 
RTA's RWP program.
    (e) Reporting. A transit worker must report unsafe acts and 
conditions and near-misses related to the RWP program as part of the 
RTA's Transit Worker Safety Reporting Program.


Sec.  671.25  State safety oversight agency.

    (a) Review and approve RWP program elements. The SSOA must review 
and approve the RWP manual and any subsequent updates for each RTA 
within its jurisdiction within the following deadlines:
    (1) Initial approval of the RWP program elements must be completed 
within 90 calendar days of receipt of the program, and
    (2) The SSOA also must submit all approved RWP program elements for 
each RTA in its jurisdiction, and any subsequent updates, to FTA within 
30 calendar days of approving them.
    (b) RWP program oversight. The SSOA must update its program 
standard to explain the role of the SSOA in overseeing an RTA's 
execution of its RWP program.
    (c) Annual RWP program audit.
    (1) The SSOA must conduct an annual audit of the RTA's compliance 
with its RWP program, including all required RWP program elements, for 
each RTA that it oversees.
    (2) The SSOA must issue a report with any findings and 
recommendations arising from the audit, which must include, at minimum:
    (i) An analysis of the effectiveness of the RWP program, including, 
at a minimum, a review of:
    (A) All RWP-related events over the period covered by the audit.
    (B) All RWP-related reports made to the Transit Worker Safety 
Reporting Program over the period covered by the audit.
    (C) All documentation of instances where a transit worker(s) 
challenged and refused in good faith any assignment based on on-track 
safety concerns and documentation of the resolution for any such 
instance during the period covered by the audit.
    (D) An assessment of the adequacy of the track access guide, 
including whether the guide reflects current track geometry and 
conditions.
    (E) A review of all training and qualification records for transit 
workers who must enter a track zone to perform work.
    (F) A representative sample of written job safety briefing 
confirmations as described in Sec.  671.33.
    (G) The compliance monitoring program described in Sec.  671.43.
    (ii) Recommendations for improvements, if necessary or appropriate.
    (iii) Corrective action plan(s), if necessary or appropriate, must 
be, developed and executed consistent with requirements established in 
part 674.
    (3) The RTA must be given an opportunity to comment on any findings 
and recommendations.

Subpart D--Required RWP Program Elements


Sec.  671.31  Roadway worker in charge.

    (a) On-track safety and supervision. The RTA must designate one 
roadway worker in charge for each roadway work group whose duties 
require fouling a track.
    (1) The roadway worker in charge must be qualified under the RTA's 
training and qualification program as specified in Sec.  671.41.
    (2) The roadway worker in charge may be designated generally or may 
be designated specifically for a particular work situation.
    (3) The roadway worker in charge is responsible for the on-track 
safety for all members of the roadway work group.
    (4) The roadway worker in charge must serve only the function of 
maintaining on-track safety for all members of the roadway work group 
and perform no other unrelated job function while designated for duty.
    (b) Communication. The RTA must ensure that the roadway worker in 
charge provides a job safety briefing to all roadway workers before any 
member of a roadway work group fouls a track, following the 
requirements specified in Sec.  671.33.
    (1) The roadway worker in charge must provide the job safety 
briefing to all members of the roadway work group before the on-track 
safety procedures change during the work period, or immediately 
following an observed violation of on-track safety procedures before 
track zone work continues.
    (2) In the event of an emergency, any roadway worker who cannot be 
notified in advance of changes to on-track safety, must be warned 
immediately to leave the roadway and must not return until on-track 
safety is re-established, and a job safety briefing is completed.


Sec.  671.33  Job safety briefing.

    (a) General. The RTA must ensure the roadway worker in charge 
provides any roadway worker who must foul a track with a job safety 
briefing prior to fouling the track, every time the roadway worker 
fouls the track.
    (b) Elements. The job safety briefing must include, at a minimum, 
the following, as appropriate:
    (1) A discussion of the nature of the work to be performed and the 
characteristics of the work, including work plans for multiple roadway 
worker groups within a single work area.
    (2) Working limits.
    (3) The hazards involved in performing the work, as described in 
Federal Railroad Administration and the Occupational Safety and Health 
Administration's guidance on hazard identification as part of a job 
safety briefing.
    (4) Information on how on-track safety is to be provided for each 
track identified to be fouled and identification and location of key 
personnel such as a watchperson and the roadway worker in charge.
    (5) Instructions for each on-track safety procedure to be followed, 
including appropriate flags and proper flag placement.
    (6) Communication roles and responsibilities for all transit 
workers involved in the work.
    (7) Safety information about any adjacent track, defined as track 
next to or adjoining the track zone where on-track safety has been 
established, and identification of roadway maintenance machines or on-
track equipment that will foul such tracks.
    (8) Information on the accessibility of the roadway worker in 
charge and alternative procedures in the event the roadway worker in 
charge is no longer accessible to members of the roadway work group.
    (9) Required personal protective equipment.
    (10) Designated place(s) of safety of a sufficient size to 
accommodate all roadway workers within the work area.
    (11) The means for determining ample time.
    (c) Confirmation and written acknowledgement. A job safety briefing 
is complete only after:
    (1) The roadway worker in charge confirms that each roadway worker 
understands the on-track safety procedures and instructions.
    (2) Each roadway worker acknowledges the briefing and the

[[Page 20627]]

requirement to use the required personal protective equipment in 
writing.
    (3) The roadway worker in charge confirms in writing that they 
attest to each roadway worker's understanding of the briefing and has 
received written acknowledgement of the briefing from each worker.
    (d) Follow-up briefings. If there is any change in the scope of 
work or roadway work group after the initial job safety briefing, or if 
a violation of on-track safety is observed, a follow-up job safety 
briefing must be conducted.


Sec.  671.35   Lone worker.

    (a) On-track safety and supervision. The RTA may authorize lone 
workers to perform limited duties that require fouling a track.
    (1) The lone worker must be qualified as a roadway worker in charge 
and lone worker under the RTA's training and qualification program as 
specified in Sec.  671.41.
    (2) The lone worker may perform routine inspection or minor tasks 
and move from one location to another. The lone worker may not use 
power tools and may only access locations defined in the track access 
guide as appropriate for lone workers, i.e., no loud noises, no 
restricted clearances, etc.
    (3) The lone worker may not use individual rail transit vehicle 
detection, where the lone worker is solely responsible for seeing 
approaching trains and clearing the track before the trains arrive, as 
the only form of on-track safety.
    (b) Communication. Each lone worker must communicate prior to 
fouling the track with a supervisor or another designated employee to 
receive an on-track safety job briefing consisting of the elements in 
Sec.  671.33(b), including a discussion of their planned work 
activities and the procedures that they intend to use to establish on-
track safety. The lone worker must acknowledge and document the job 
safety briefing in writing consistent with Sec.  671.33(c).


Sec.  671.37   Good faith safety challenge.

    (a) Written procedure. Each RTA must document its procedures that 
provide to every roadway worker the right to challenge and refuse in 
good faith any RWP assignment they believe is unsafe or would violate 
the RTA's RWP program.
    (b) Prompt and equitable resolution. The written procedure must 
include methods or processes to achieve prompt and equitable resolution 
of any challenges and refusals made.
    (c) Requirements. The written procedure must include a requirement 
that the roadway worker provide a description of the safety concern 
regarding on-track safety and must remain clear of the roadway or track 
zone until the challenge and refusal is resolved.


Sec.  671.39  Risk-based redundant protections.

    (a) General requirements.
    (1) Each RTA must identify and provide redundant protections for 
each category of work roadway workers perform the roadway or track.
    (2) Redundant protections must be established to ensure on-track 
safety for multiple roadway work groups within a common work area.
    (b) Safety risk assessment to determine redundant protections. Each 
RTA must assess the risk associated with transit workers accessing the 
roadway using the methods and processes established under Sec.  
673.25(c) of this chapter. The RTA must use the methods and processes 
established under Sec.  673.25(d) of this chapter to establish 
redundant protections for each category of work performed by roadway 
workers on the rail transit system and must include lone workers.
    (1) The safety risk assessment must be consistent with the RTA's 
Agency Safety Plan and the SSOA's Program Standard.
    (2) The safety risk assessment may be supplemented by engineering 
assessments, inputs from the safety assurance process established under 
Sec.  673.27 of this chapter, the results of safety event 
investigation, and other safety risk management strategies or 
approaches.
    (3) The RTA must review and update the safety risk assessment at 
least every two years to include current conditions and lessons learned 
from safety events, actions taken to address reports of unsafe acts and 
conditions, and near-misses, and results from compliance monitoring 
regarding the effectiveness of the redundant protections.
    (4) The SSOA may also identify and require the RTA to implement 
alternate redundant protections based on the RTA's unique operating 
characteristics and capabilities.
    (c) Categories of work requiring redundant protections. Redundant 
protections must be identified for roadway workers performing different 
categories of work on the roadway and within track zones, which may 
include but are not limited to categories such as:
    (1) Roadway workers moving from one track zone location to another.
    (2) Roadway workers performing minor tasks.
    (3) Roadway workers conducting visual inspections.
    (4) Roadway workers using hand tools, machines, or equipment in 
conducting testing of track system components or non-visual 
inspections.
    (5) Roadway workers using hand tools, machines, or equipment in 
performing maintenance, construction, or repairs.
    (6) Lone workers accessing the roadway or track zone or performing 
visual inspections or minor tasks.
    (d) Types of redundant protections.
    (1) Redundant protections may be procedural or physical.
    (i) Procedural protections alert rail transit vehicle operators to 
the presence of roadway workers and use radio communications, 
personnel, signage, or other means to direct rail transit vehicle 
movement.
    (ii) Physical protections physically control the movement of rail 
transit vehicles into or through a work zone.
    (2) Redundant protections may include:
    (i) Approaches consistent with the Federal Railroad Administration 
rules governing redundant protections.
    (ii) Rail transit vehicle approach warning.
    (iii) Foul time.
    (iv) Exclusive track occupancy, defined as a method of establishing 
working limits, as part of on-track safety, in which movement authority 
of rail transit vehicles and other equipment is withheld by the control 
center or restricted by flag persons and provided by a roadway worker 
in charge.
    (v) Warning signs, flags, or lights.
    (vi) Flag persons.
    (vii) Lock outs from the rail transit vehicle control systems or 
lining and locking track switches or otherwise physically preventing 
entry and movement of rail transit vehicles.
    (viii) Secondary warning devices and alert systems.
    (ix) Shunt devices and portable trip stops to reduce the likelihood 
of rail transit vehicles from entering work zone with workers.
    (x) Restricting work to times when propulsion power is down with 
verification that track is out of service, and when barriers are placed 
that physically prevent rail transit vehicles, including on-track 
equipment, from entering the work zone.
    (xi) Use of walkways in tunnels and on elevated structures to 
reduce roadway worker time in the track zone.
    (xii) Speed restrictions.
    (3) Redundant protections for lone workers must include, at a 
minimum,

[[Page 20628]]

foul time or an equivalent protection approved by the SSOA.


Sec.  671.41  RWP training and qualification program.

    (a) General. Each RTA must adopt an RWP training program.
    (1) The RWP training program must address all transit workers 
responsible for on-track safety, by position, including roadway 
workers, operations control center personnel, rail transit vehicle 
operators, operators of on-track equipment and roadway maintenance 
machines, and any others with a role in providing on-track safety or 
fouling a track for the performance of work.
    (2) The RWP training program must be completed for the relevant 
position before an RTA may assign a transit worker to perform the 
duties of a roadway worker, to oversee or supervise access to the track 
zone from the operations control center, or to operate vehicles, on-
track equipment, and roadway maintenance machines on the rail transit 
system.
    (3) The RWP training program must address RWP hazard recognition 
and mitigation, and lessons learned through the results of compliance 
testing, near-miss reports, reports of unsafe acts or conditions, and 
feedback received on the training program.
    (4) The RWP training program must include initial and refresher 
training, by position. Refresher training must occur every two years at 
a minimum.
    (5) The RTA must review and update its RWP training program not 
less than every two years, to reflect lessons learned in implementing 
the RWP program and information provided by the SSOA and FTA. The RTA 
must provide an opportunity for roadway worker involvement in the RWP 
training program review and update process.
    (b) Required elements. The RWP training program must include 
interactive training with the opportunity to ask the RWP trainer 
questions and raise and discuss RWP issues.
    (1) Initial training must include experience in a representative 
field setting.
    (2) Initial and refresher training must include demonstrations and 
assessments to ensure the ability to comply with RWP instructions given 
by transit workers performing, or responsible for, on-track safety and 
RWP functions.
    (c) Minimum contents for RWP training. The RWP training program 
must address the following minimum contents:
    (1) How to interpret and use the RTA's RWP manual.
    (2) How to challenge and refuse in good faith RWP assignments.
    (3) How to report unsafe acts, unsafe conditions, and near-misses 
after they occur, and the mandatory duty to make such reports.
    (4) Recognition of the track zone and understanding of the space 
around tracks within which on-track safety is required, including use 
of the track access guide.
    (5) The functions and responsibilities of all transit workers 
involved in on-track safety, by position.
    (6) Proper compliance with on-track safety instructions given by 
transit workers performing or responsible for on-track safety 
functions.
    (7) Signals and directions given by watchpersons, and the proper 
procedures upon receiving a rail transit vehicle approach warning from 
a watchperson.
    (8) The hazards associated with working on or near rail transit 
tracks to include traction power, if applicable.
    (9) Rules and procedures for redundant protections identified under 
671.37 and how they are applied to RWP.
    (10) Requirements for safely crossing rail transit tracks in yards 
and on the mainline.
    (d) Specialized training and qualification for transit workers with 
additional responsibilities for on-track safety. The RWP training 
program must include additional training for watchpersons, flag 
persons, lone workers, roadway workers in charge, and other transit 
workers with responsibilities for establishing, supervising, and 
monitoring on-track safety.
    (1) This training must cover the content and application of the 
additional RWP program requirements carried out by these positions and 
must address the relevant physical characteristics of the RTA's system 
where on-track safety may be established.
    (2) This training must include demonstrations and assessments to 
confirm the transit worker's ability to perform these additional 
responsibilities.
    (3) Refresher training on additional responsibilities for on-track 
safety, by position, must occur every two years at a minimum.
    (e) Competency and qualification of training personnel. Each RTA 
must ensure that transit workers providing RWP training are qualified 
and have active RWP certification at the RTA to provide effective RWP 
training, and at a minimum must consider the following:
    (1) A trainer's experience and knowledge of effective training 
techniques in the chosen learning environment.
    (2) A trainer's experience with the RTA RWP program.
    (3) A trainer's knowledge of the RTA RWP rules, operations, and 
operating environment, including applicable operating rules.
    (4) A trainer's knowledge of the training requirements specified in 
this part.


Sec.  671.43  RWP compliance monitoring program.

    (a) General. Each RTA must adopt a program for monitoring its 
compliance with the requirements specified in its RWP program.
    (b) Required elements. The RWP compliance monitoring program must 
include inspections, observations, and audits, consistent with safety 
performance monitoring and measurement requirements in the RTA's Agency 
Safety Plan described in Sec.  673.27 of this chapter and the SSOA's 
Program Standard.
    (1) The RTA must provide monthly reports to the SSOA documenting 
the RTA's compliance with and sufficiency of the RWP program.
    (2) The RTA must provide an annual briefing to the Accountable 
Executive and the Board of Directors, or equivalent entity, regarding 
the performance of the RWP program and any identified deficiencies 
requiring corrective action.

Subpart E--Recordkeeping


Sec.  671.51  Recordkeeping.

    (a) Each RTA must maintain the documents that set forth its RWP 
program, documents related to the implementation of the RWP program and 
results from the procedures, processes, assessments, training, and 
activities specified in this part for the RWP program.
    (b) Each RTA must maintain records of its compliance with this 
requirement, including records of transit worker RWP training and 
refresher training, for a minimum of three years after they are 
created.
    (c) These documents must be made available upon request by the FTA 
or other Federal entity, or a SSOA having jurisdiction.

Veronica Vanterpool,
Acting Administrator.
[FR Doc. 2024-06251 Filed 3-22-24; 8:45 am]
BILLING CODE 4910-57-P