[Federal Register Volume 89, Number 211 (Thursday, October 31, 2024)]
[Notices]
[Pages 86907-86914]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-25341]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
[Docket No. FTA-2024-0013]
National Transit Database: Proposed Reporting Changes and
Clarifications for Report Years 2025 and 2026
AGENCY: Federal Transit Administration (FTA), Department of
Transportation (DOT).
ACTION: Notice, request for comments.
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SUMMARY: This notice provides information on proposed changes and
clarifications to the National Transit Database (NTD) reporting
requirements. Some of the proposed NTD changes would take effect
beginning in NTD report year (RY) 2025, while others would take effect
in RY 2026.
DATES: Comments should be filed by December 30, 2024. FTA will consider
comments received after that date to the extent practicable.
ADDRESSES: You may send comments, identified by docket number FTA-2024-
0013, by any of the following methods:
Federal eRulemaking Portal: Go to https://www.regulations.gov and follow the online instructions for submitting
comments.
Mail: Send comments to 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 or Courier: West Building Ground Floor, Room
W12-140, 1200 New Jersey Ave. SE, between 9 a.m. and 5 p.m. ET, Monday
through Friday, except Federal holidays.
Fax: Fax comments to Docket Management Facility, U.S.
Department of Transportation, at (202) 493-2251.
Instructions: You must include the agency name (Federal Transit
Administration) and Docket Number (FTA-2024-0013) for this notice, at
the beginning of your comments. If sent by mail, submit two copies of
your comments.
Electronic Access and Filing: This document and all comments
received may be viewed online through the Federal eRulemaking portal at
https://www.regulations.gov or at the street address listed above.
Electronic submission, retrieval help, and guidelines are available on
the Federal eRulemaking portal website. The website is available 24
hours each day, 365 days a year. Please follow the instructions. An
electronic copy of this document may also be downloaded from the Office
of the Federal Register's home page at https://www.federalregister.gov.
Privacy Act: Except as provided below, all comments received into
the docket will be made public in their entirety. The comments will be
searchable by the name of the individual submitting the comment (or
signing the comment, if submitted on behalf of an association,
business, labor union, etc.) You should not include information in your
comment that you do not want to be made public. You may review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (65 FR 19477) or at https://www.transportation.gov/
privacy.
FOR FURTHER INFORMATION CONTACT: Chelsea Champlin, National Transit
Database Program Manager, FTA Office of Budget and Policy, 202-366-
1651, [email protected].
SUPPLEMENTARY INFORMATION:
Table of Contents
A. Background and Overview
B. Additional Data Within Publicly Hosted General Transit Feed
Specification (GTFS) Datasets
C. Changes to Passenger Stations and Maintenance Facilities
Reporting
D. A-20 NTD/TERM Alignment
E. Safety and Security--Cyber Security Event Reporting
F. Safety and Security--Disabling Damage
G. Reduced Reporter Exemption for Operators Serving Predominantly
Rural Areas
H. Voluntary Reporter Tag
A. Background and Overview
The National Transit Database (NTD) was established by Congress to
be the Nation's primary source for information and statistics on the
transit systems of the United States. Recipients and beneficiaries of
Federal Transit Administration (FTA) grants under either the Urbanized
Area Formula Program (49 U.S.C. 5307) or Rural Area Formula Program (49
U.S.C. 5311) are required by law to report to the NTD. FTA funding
recipients that own, operate, or manage public transportation capital
assets are required to provide more limited reports to the NTD
regarding Transit Asset Management.
Pursuant to 49 U.S.C. 5334(k), FTA seeks public comment on seven
(7) proposed NTD reporting changes and clarifications. These proposals
are based on input from the transportation industry and FTA's
assessment of geospatial data needs following the NTD's first annual
data collection since implementing reporting changes required by the
Bipartisan Infrastructure Law, enacted as the Infrastructure Investment
and Jobs Act (Pub. L. 117-58). The information below describes
anticipated reporting impacts from each proposed change or
clarification and the proposed effective date of each change. FTA seeks
comments on the proposed changes and clarifications described below.
All impacts or changes described below are proposed and subject to
finalization in a future notice.
B. Additional Data Within Publicly Hosted General Transit Feed
Specification (GTFS) Datasets
The Infrastructure Investment and Jobs Act amended 49 U.S.C.
5335(a) to require FTA to collect ``geographic service area coverage''
data through the NTD. As of Report Year (RY) 2023, FTA requires that
reporters with fixed route modes create and maintain a public domain
GTFS dataset that reflects their fixed route service. These changes
were finalized through a Federal Register notice published on March 3,
2023 (88 FR 13497). Specifically, FTA requires agencies that operate
fixed route service to maintain a GTFS feed and submit to the NTD a
corresponding link or file containing their GTFS dataset. FTA requires
that the GTFS file contain six underlying text files at a minimum,
including trips.txt and stops.txt. A seventh set of files (shapes.txt
and feed_info.txt) is optional under current requirements. GTFS ensures
data consistency by establishing minimum
[[Page 86908]]
requirements within each file; some fields are noted as ``optional.''
FTA recommends reporting some optional fields (as described below) to
improve the usefulness of the datasets for data users. However, these
fields currently are not required.
In this notice, FTA proposes to further improve the utility of the
GTFS data it collects by collecting additional data according to the
GTFS specification.
Align agency_id and NTD ID Within GTFS File
The agency_id field in GTFS is a unique, numeric identifier that is
used to identify a transit agency or specific service. FTA adopted GTFS
standards using the May 9, 2022 version of GTFS, including the current
definition of ``agency_id'', which is published here: https://gtfs.org/reference/static#field-definitions. This definition does not specify a
naming convention for the agency_id field or a requirement to use this
field in all GTFS text files.
To improve the usefulness of the datasets, FTA proposes two changes
to the agency_id data field. First, FTA proposes to require agencies to
align the agency_id field to the agency's National Transit Database
Identification Number (NTDID). FTA assigns each reporter a unique five-
digit NTDID number, which is used in all NTD reports and
correspondence. Please note that rural subrecipient reporters should
not include the four-digit ID associated with the State.
Second, FTA proposes to make the agency_id data field a non-
conditional requirement--that is, a required field for all GTFS
submissions--in agency.txt, routes.txt, fare_attributes.txt (if used),
and attributions.txt (if used). Currently, this field is conditionally
required in the agency.txt, route.txt, and fare_attributes.txt files
when multiple agencies are defined in the agency.txt file. While this
change primarily affects agencies with only one reportable service in
their GTFS feed, FTA would like to reiterate the existing policy when a
GTFS feed contains multiple services. In the case where multiple NTD
reporting agencies share a single GTFS feed, the routes.txt file must
reflect the respective NTDID associated with each route. For example,
if a reporter uses one URL for Agency X and Agency Y, each route that
is operated by Agency X must have Agency X's NTDID in the agency_id
field, and likewise for Agency Y. In the event that the GTFS feed
includes non-reportable service (such as intercity bus service), the
agency may leave the agency_id field blank for those routes or may
assign whatever agency_id is convenient, provided it is not a five-
digit number.
FTA proposes that these new requirements apply to all agencies that
must already supply a GTFS feed: Full Reporters, Reduced Reporters,
Tribal Reporters, and Rural Reporters. The requirement would apply only
to reporters that operate a fixed route mode. The requirement would
take effect beginning in NTD Report Year 2025.
Shapes.txt File (Geospatial Drawing of Routes) as Part of GTFS
Submission
FTA proposes to collect the shapes.txt file as part of the GTFS
submission for each mode. This file is optional in the existing GTFS
specification. Under this proposal, NTD reporters operating one or more
fixed route modes would be required to include in their static GTFS zip
(i.e., the file hosted by the agency) a shapes.txt file for each route.
The purpose of this file is to provide shapes, which, according to the
GTFS specification, ``describe the path that a vehicle travels along a
route alignment'' which may also be ``associated with trips (the data
from the presently required trips.txt file).'' These shapes ``consist
of a sequence of points through which the vehicle passes in order.''
FTA proposes that the requirement become effective upon the
original submission of the annual report in RY 2025 for Full Reporters
and in RY 2026 for Reduced, Rural, and Tribal Reporters. FTA estimates
that over one-third of all reporters already maintain the shapes.txt
file. Collecting the data included in shapes.txt would benefit transit
users by allowing for improved trip planning. In addition, this
collection would improve future FTA performance measures and strategic
planning.
The National Rural Transit Assistance Program (RTAP) provides
resources to help transit agencies generate GTFS data. A resource guide
for creating a GTFS dataset is available at https://www.nationalrtap.org/Technology-Tools/GTFS-Builder. This includes Excel
templates that will allow users to build GTFS data from existing
transit schedules and stop information with little-to-no additional
technical expertise. The shapes.txt file can be generated using the
GTFS builder approach described in the guide linked above (see the
``14. Optional--Complete shapes Tab'').
C. Changes to Passenger Stations and Maintenance Facilities Reporting
Historically, FTA has collected information on passenger stations
on two forms in the NTD Asset Module: the A-10 (Stations and
Maintenance Facilities) form and the A-15 (Transit Asset Management
Facilities Inventory) form. However, due to differences in how the two
forms define a ``station,'' there have been discrepancies between the
count of stations as reported in the A-10 and the count of stations in
the A-15.
The current A-10 form captures data for both passenger stations and
maintenance facilities, regardless of capital responsibility. Agencies
currently must report the following information for passenger stations
and maintenance facilities, separated by mode and Type of Service
(Directly Operated (DO) and Purchased Transportation (PT)):
1. The number of passenger stations, both accessible and
inaccessible, in accordance with the Americans with Disabilities Act of
1990 (ADA) and USDOT's implementing regulations at 49 CFR part 37.
2. The number of elevators and escalators within passenger
stations.
3. The number of maintenance facilities, tallied by size and
ownership categories.
To improve and standardize the reporting of passenger stations and
facilities in the NTD asset module, FTA proposes to eliminate the A-10
Stations and Maintenance Facilities form, which currently collects a
count of ADA-accessible and non-accessible stations. All station
information would be reported through a single, consolidated Transit
Asset Management Facilities (A-15) form. This form would contain all
data collection related to accessibility that is currently captured on
the A-10 form. Agencies must indicate which stations are ADA accessible
and inaccessible. For ADA accessibility requirements, please reference
49 CFR part 37.
In addition to passenger stations, FTA proposes that agencies
inventory all maintenance facilities on the expanded A-15 form,
regardless of capital responsibility. Under current A-15 reporting
requirements, agencies only inventory administrative and maintenance
facilities if the agency has capital responsibility for the facility
and the transit use is greater than incidental. With the new
consolidated form, FTA proposes to include facilities without capital
responsibility, but maintain the exception for incidental use.
Maintenance facilities with less than full capital responsibility,
which previously would have been reportable on the A-10 and not the A-
15, would be reportable on the new, consolidated A-15 form. Facilities
whose transit use is incidental would not be reportable,
[[Page 86909]]
consistent with existing requirements. Use is considered incidental
when 50 percent or less of the facility's physical space is dedicated
to the provision of public transportation service.
The intent of this change is both to (a) standardize reporting of
transit passenger stations and facilities across forms, and (b) lessen
the burden on reporters. By combining these forms into a single form,
FTA intends to capture station information through a single source and
reduce the effort needed to complete the annual NTD asset module
reporting.
All facilities that are currently reportable on the A-15 would
continue to be reported on the new consolidated form. In addition to
facilities already collected, the expanded A-15 data collection would
include the following:
1. Each passenger station's accessibility, expressed as either
``ADA accessible'' or ``ADA inaccessible,'' in accordance with 49 CFR
part 37. An accessible station complies with part 37 and is fully
accessible to individuals with disabilities, including individuals who
use wheelchairs. Inaccessible stations do not meet the requirements of
part 37.
2. The number of elevators and escalators within passenger stations
for each applicable station.
3. The number of passenger facilities (for fixed-route modes) and
maintenance facilities (for all modes and types of service other than
Taxi (TX) or Transportation Network Company (TN)) by size and ownership
categories. Data on maintenance facilities would be collected in a
manner similar to the chart below.
----------------------------------------------------------------------------------------------------------------
Leased from
Facility type Owned another public Leased from a Total
agency private entity
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General Maintenance Facilities < 200
Vehicles).
General Maintenance Facilities with
200-300 Vehicles.
General Maintenance Facilities > 300
Vehicles.
Heavy Maintenance Facilities..........
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Total............................. (This total will be the
count of facilities
with 0
percent capital
replacement
responsibility).
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FTA is also seeking feedback on the definition of a ``passenger
station'' for the purpose of uniform inventorying on the expanded A-15
form. On the expanded form, FTA proposes to retain all facilities that
are currently reported to the NTD as passenger stations, which means
that agencies should continue to inventory all passenger stations as
defined in the NTD reporting manual (2024 NTD Reporting Policy Manual,
https://www.transit.dot.gov/ntd/2024-ntd-reporting-policy-manual, page
160).
FTA proposes to retain the current guidance that for any station
that operates in mixed traffic, a significant structure must be
present. This does not include bus shelters. Significant structures are
structures that are enclosed or, if partially enclosed, have a minimum
roof square footage of 150 feet. Examples may include larger canopies
or coverings to serve passengers.
In previous report years, reporters have expressed some confusion
as to whether certain facilities, particularly those with multiple
platforms, should be reported as a single facility or as two separate
facilities. To address this concern and clarify facility reporting, FTA
proposes that passenger stations serving rail modes and bus rapid
transit modes that span both sides of the right-of-way must be
inventoried as a single facility if all of the following criteria are
met.
a. Condition assessments are conducted comprehensively, where all
subcomponents are assessed in the same procedure/assessment,
b. Passengers can access the facility on both sides of the right-
of-way without leaving the facility or designated pedestrian crossing
areas, and
c. The ownership, size, and other attributes reported on the
expanded A-15 form are the same across the facility.
These changes would take effect for all asset module reporting
beginning in NTD Report Year (RY) 2025.
D. A-20 NTD/TERM Alignment
FTA seeks to improve data collection categories on the A-20 Transit
Way Mileage Form to align with FTA's Transit Economics Requirement
Model (TERM) categories. (For more information on TERM, please see:
https://www.transit.dot.gov/regulations-and-programs/asset-management/transit-economic-requirements-models-term-federal-user.) The goal of
this proposed change is to create consistency between NTD data
collection and the TERM model, both of which are used in the Department
of Transportation's Conditions and Performance report to Congress. The
proposed changes include three new categories on the A-20 Form:
``Track--Turntable,'' ``Power and Signal--Pump Rooms,'' and ``Power and
Signal--Fan Plants.'' For each of these new categories, agencies would
report a count of each applicable asset, similar to existing data
collection categories on the form.
FTA proposes that under the ``Track'' section of the A-20 form,
agencies would report the count of turntables by mode under the
``Special Track'' section. A turntable is a track element used to turn
train cars in a different direction. This count should include
turntables located in rail yards or other locations. To be consistent
with other special track categories, agencies would report the Expected
Service Years When New, Percent Agency Capital Responsibility, Decade
Built, and Agency with Shared Responsibility (when applicable).
FTA proposes that the ``Power and Signal'' section would include a
count of Pump Rooms and Fan Plants by mode. Pump Rooms are assets
throughout rail operations that help control water in underground
systems. Fan Plants refer to assets that assist with ventilation in
underground systems. Similar to existing ``Power and Signal'' elements
on the A-20 form, agencies would provide the Expected Service Years
When New, Percent Agency Capital Responsibility, and Agency with Shared
Responsibility (when applicable) for these new categories. Agencies
also would report the decade of original construction or rebuild (when
rebuilt as new). For further detail on these
[[Page 86910]]
existing fields, please refer to the latest NTD reporting manual.
In addition to these new categories, FTA aims to clarify the data
collected for all assets on the ``Construction'' section on the A-20
form. Currently, the form collects the decade of construction for a
specific asset category. While this information is accurate to the
original build date, it fails to capture when transit assets are fully
rebuilt, which significantly extends the useful life of the asset.
Similar to other data collected related to asset age, FTA is proposing
that the decade of construction should reflect the original
construction date, or the decade rebuilt as new, if applicable. If an
element is reconstructed as new or has been renovated to the degree
that its expected useful life is equivalent to the condition and useful
life of a new element, the agency should report the decade in which
this renovation was completed. This information would allow for more
accurate modelling of the expected life and condition of the asset,
which in turn would generate more accurate estimates of the state of
good repair needs of these assets in TERM.
FTA proposes that these changes would take effect beginning in NTD
Report Year (RY) 2025.
E. Safety and Security--Cyber Security Event Reporting
FTA seeks to update cyber security NTD reporting requirements.
Under current FTA guidance, reportable cyber security events may not
capture the prevalence or risks posed by cyber events. For purposes of
NTD reporting, a cyber event is ``an event that targets transit
facilities, personnel, information, or computer or telecommunications
systems associated with transit agencies.'' (``System Security Event
Details Key Descriptions'' in the National Transit Database Safety &
Security Policy Manual, page 69, https://www.transit.dot.gov/sites/fta.dot.gov/files/2024-02/2024-Safety-and-Security-Policy-Manual_1-0.pdf). Cyber security events are reportable to the NTD if they meet a
major event threshold; the most common threshold met is property
damage. Between 2014 and June 2024, there have been four cybersecurity
events reported to NTD; however, based on an analysis of media
coverage, FTA has reason to believe that there have been dozens of
breaches, ransomware, and other cyber events on transit agencies during
the same period.
To address this issue, FTA proposes clarifications to cyber
security event reporting applicable to Full Reporters (reporting via
the S&S-40 major event form). Specifically, FTA proposes clarifications
in the following areas:
1. Reporting Threshold and IT as Infrastructure
2. Selecting a Mode when Reporting Cyber Security Events
3. Substantial Damage for Rail Modes
The proposed clarifications would give reporters clear guidance on
cyber event reporting and would improve data collection, strengthening
FTA's policy development, safety oversight, and safety risk mitigation
programs, and providing NTD data users (such as transit agencies and
other Federal agencies concerned with cyber security) greater insight
into cyber security events within public transit.
Reporting Threshold and IT as Infrastructure
A cyber security event is an event that targets transit facilities,
personnel, information, or computer or telecommunications systems
associated with transit agencies. (National Transit Database Safety and
Security Reporting Manual, https://www.transit.dot.gov/sites/fta.dot.gov/files/2024-02/2024-Safety-and-Security-Policy-Manual_1-0.pdf). Cyber security events include:
Denial or disruption of computer or telecommunications
services, especially train control systems,
Unauthorized monitoring of computer or telecommunications
systems,
Unauthorized disclosure of proprietary or classified
information stored within or communicated through computer or
telecommunications systems,
Unauthorized modification or destruction of computer
programming codes, computer network databases, stored information, or
computer capabilities; or
Manipulation of computer or telecommunications services
resulting from fraud, financial loss, or other criminal violations.
(See National Transit Database Glossary, https://www.transit.dot.gov/ntd/national-transit-database-ntd-glossary).
In many cases, a cyber security event would be reportable as a
major event. Under current NTD reporting requirements, an event is
reportable as a major event when any major event threshold is met and
the event:
Occurs at a transit revenue facility, maintenance
facility, or rail yard;
Occurs on transit right-of-way or infrastructure (the
underlying framework or structures that support a public transportation
system);
Occurs during a transit-related maintenance activity; or
Involves a transit revenue vehicle.
(See ``When to Report a Major Event'' in the National Transit
Database Safety & Security Policy Manual, page 20. https://www.transit.dot.gov/sites/fta.dot.gov/files/2024-02/2024-Safety-and-Security-Policy-Manual_1-0.pdf).
FTA historically has interpreted ``infrastructure'' to include only
physical assets for both cyber security and other safety and security
events. However, FTA believes this interpretation does not adequately
encompass impacts to transit IT infrastructure, particularly as it
pertains to cyber security events. To address this issue, FTA proposes
that ``infrastructure'' also should include information, computer, and
telecommunications systems that exist in any transit facilities (i.e.,
in the facilities reported on annual form A-15). In addition to
providing clarity for cyber security event reporting, FTA's
clarification with regards to `infrastructure' would apply to other
system security events, such as sabotage or vandalism, provided they
meet all other major event thresholds. Similarly, because they involve
`disruptions to telecommunications services', major power failures
which result in damage to these systems would be reportable if they
meet a major event threshold. Thus, cyber security events occurring on
this type of infrastructure that meet an NTD major event reporting
threshold would be reportable to the NTD on the S&S-40 form.
Selecting a Mode When Reporting Cyber Security Events
Reportable cyber security events are by definition system events
that affect ``a transit system as a whole.'' (``System Security
Events'' in the National Transit Database Safety & Security Policy
Manual, page 68. https://www.transit.dot.gov/sites/fta.dot.gov/files/2024-02/2024-Safety-and-Security-Policy-Manual_1-0.pdf). For this
reason, FTA proposes that agencies would consistently select a single
designated mode for reporting cyber security events in their system,
regardless of the specific infrastructure that is targeted. FTA
currently uses the Appian system to collect major events, and a user
may select only one mode on the safety and security major event form
(S&S-40). Because of this constraint, it is not possible to file an
S&S-40 report for multiple modes simultaneously. This results in
reporters filing multiple S&S-40 reports for different modes arising
from the same cyber event. For this reason, and given the nature of
cyber security events as system events, FTA is proposing a hierarchy
for S&S-40 cyber security events where reporters would
[[Page 86911]]
select a single designated mode as detailed below. Among other
benefits, this approach would result in reduced reporting burden due to
the elimination of multiple (duplicative) reports resulting from a
single cyber security event.
FTA proposes that all Rail Transit Agencies (RTAs) (any entity that
provides services on a rail fixed guideway public transportation
system) would select a rail mode for reporting all cyber security
events, regardless of the specific infrastructure that is targeted. If
an agency operates more than one rail mode--for example, Heavy Rail
(HR) and Light Rail (LR)--they would follow the Predominant Use Rule to
determine the appropriate mode to associate with the event.
Agencies that operate fixed route bus modes, but do not operate
fixed guideway rail, would select a bus mode for reporting all cyber
security events. If an agency operates more than one bus mode--for
example, Motorbus (MB) and Bus Rapid Transit (RB)--they would follow
the Predominant Use Rule to determine the appropriate mode to associate
with the event.
Agencies that operate demand response service and do not operate
fixed guideway rail nor fixed route bus would select the demand
response mode for reporting all cyber security events.
Agencies that operate only ferryboat service would select the
ferryboat mode for reporting all cyber security events.
FTA proposes that this clarification would take effect for Full
Reporters in calendar year 2025 as soon as practicable following
publication of the Federal Register notice finalizing the NTD reporting
changes.
Substantial Damage for Rail Modes
One of the major event thresholds on the S&S-40 form for rail modes
is ``substantial damage.'' While FTA is proposing changes to this
reporting threshold for safety and personal security events in this
Federal Register notice (see below), the threshold would remain
unchanged for system security events, which includes cyber security
events. Per the current NTD S&S reporting requirements, the definition
of ``substantial damage'' for rail modes includes damage to any
involved vehicles, facilities, equipment, rolling stock, or
infrastructure that: (1) disrupts the operations of the rail transit
agency and (2) adversely affects the structural strength, performance,
or operating characteristics of the asset, such that it requires
towing, rescue, on-site maintenance, or immediate removal prior to safe
operation. (See ``Exhibit 5: Reporting Thresholds'' in the National
Transit Database Safety & Security Policy Manual, page 22. https://www.transit.dot.gov/sites/fta.dot.gov/files/2024-02/2024-Safety-and-Security-Policy-Manual_1-0.pdf).
FTA proposes to clarify how to apply the substantial damage
threshold to cyber security events. Regarding the ``disruption of
operations'' element of the threshold, FTA proposes that for cyber
security events, disruption of operations would include the disruptions
of the normal operations of transit facilities, personnel, information,
or computer or telecommunications systems associated with transit
agencies. Examples include (this is not an exhaustive list):
Ransomware, if it disrupts operations
Denial of service attack if it disrupts operations
Communications disruption (e.g., phone lines, website, digital
signs, applications)
Shutting down systems to protect personal data
Severing connections to other systems
Inability to collect fares
Inability to assign routes or make pull-out
The ``disruption of operations'' element would not be met for
events where an actor did not target transit facilities, personnel,
information, or computer or telecommunications systems associated with
transit agencies, such as (this is not an exhaustive list):
A user installing an unapproved software utility to
perform maintenance activities or updates to fix a bug or deploy
enhancements;
Deployed software or logic changes that are not malicious;
Accidents that do not involve malicious actors.
Regarding the second element of the ``substantial damage''
threshold, FTA proposes that a cyber security event automatically would
be presumed to adversely affect the operating characteristics of the
asset or infrastructure that is targeted such that it would require
maintenance to remedy. This is based on FTA's analysis of cyber events
and research, which indicates that cyber events disrupting operations
adversely affect performance or operations such that they require
maintenance to remedy while services are assessed, modified, or halted
before being reestablished. (See e.g., National Institute of Standards
and Technology (NIST), U.S. Department of Commerce, https://www.nist.gov/cyberframework/recover) In effect, this means that cyber
security events only need to meet the first element of the
``substantial damage'' threshold.
FTA clarifies that events are reportable as cyber security events
when they are caused by the actions of a third party. If the actions
are caused by a transit employee, the event would be reported as
sabotage.
The proposed changes would take effect for safety and security
reporting beginning in calendar year 2025 following the publication of
the final notice.
F. Safety and Security--Disabling Damage
Section 5329 of Title 49, United States Code, requires FTA to
establish a comprehensive public transportation safety program, the
elements of which include a National Public Transportation Safety Plan;
a safety training and certification program for Federal, State, and
local transportation agency employees with safety responsibilities;
Public Transportation Agency Safety Plans; and a strengthened State
Safety Oversight Program. Pursuant to that authority, in on October 16,
2024, FTA published a final rule (89 FR 83956) updating the State
Safety Oversight (SSO) requirements at 49 CFR part 674. This final rule
includes a new safety event category titled ``disabling damage'' for
purposes of the SSO notification and investigation thresholds in 49 CFR
674.33 and 674.35. The final rule defines ``disabling damage'' as
``damage to a rail transit vehicle resulting from a collision and
preventing the vehicle from operating under its own power.'' 49 CFR
674.7.
As discussed in Section E above, at present, one of the major event
reporting thresholds for rail modes on the NTD Safety and Security
Major Event (S&S-40) form is ``substantial damage.'' Substantial damage
is defined as follows:
``Substantial damage is damage to any involved vehicles,
facilities, equipment, rolling stock, or infrastructure that:
Disrupts the operations of the rail transit agency, and
Adversely affects the structural strength, performance, or
operating characteristics of the asset, such that it requires towing,
rescue, on-site maintenance, or immediate removal prior to safe
operation.''
(National Transit Database Safety and Security Reporting Manual,
https://www.transit.dot.gov/sites/fta.dot.gov/files/2024-02/2024-Safety-and-Security-Policy-Manual_1-0.pdf)
Because the substantial damage and disabling damage thresholds
capture different information, FTA is proposing to revise the NTD major
event reporting requirements to capture the new
[[Page 86912]]
``disabling damage'' event category defined in the SSO final rule.
FTA is seeking comments on two proposed alternatives to collect
this new information. The first option is a wholesale replacement of
the substantial damage major event threshold with a disabling damage
threshold for safety events. The second option is to maintain the
substantial damage threshold and include disabling damage events as a
subset of substantial damage events.
Substantial damage is currently a reporting threshold on the S&S-40
form, which is only completed by NTD Full Reporters, and this reporting
threshold pertains only to rail modes. As such, either proposed
alternative only would affect Full Reporters who operate rail fixed
guideway modes. For all other reporters, there would be no impact to
safety and security reporting. The changes discussed below would apply
only to NTD reporting of major events on the S&S-40 form, and would not
alter other program requirements, including the two-hour notification
or investigation requirements under 49 CFR part 674.
FTA proposes that under either alternative, FTA would begin
collecting disabling damage information in calendar year 2025 as soon
as practicable following publication of the Federal Register notice
finalizing the NTD reporting changes. Each alternative is described
below, including impacts to data collection and data users.
1. Replacing ``Substantial Damage'' Threshold With ``Disabling Damage''
for Major Safety Events
The first alternative that FTA is considering is to eliminate the
``substantial damage'' major event threshold for safety events and
personal security events and replace it with a ``disabling damage''
threshold. Under this alternative, only property damage events which
result in disabling damage (i.e., damage to a rail transit vehicle
resulting from a collision and preventing the vehicle from operating
under its own power) or that meet another major event threshold would
be reportable on the S&S-40 for rail modes. This would eliminate major
event reporting requirements for events that meet the current
substantial damage threshold but do not meet the definition of
disabling damage or another major event threshold. All other reporting
thresholds, such as injuries, fatalities, and evacuations, would be
unchanged. In addition, the substantial damage threshold would be
retained for system security events.
Under this proposed revision, for all rail collision safety and
security events, the National Transit Database would ask reporters to
indicate if the event meets the threshold of ``disabling damage'' (as
defined in part 674). Safety and personal security events that do not
meet the disabling damage threshold (or another threshold such as
injury, fatality, or evacuation) no longer would be reportable on the
S&S-40 form, even if they would have been reportable as substantial
damage previously. System security events still would be reportable if
they meet the substantial damage threshold, including cyber security
events as discussed in this notice. The breakdown by event type is
summarized below.
This alternative would reduce burden by reducing the number of
reportable major safety and personal security events. For example,
electrical malfunctions that disrupt operations but do not involve a
collision, injury, fatality, or evacuation no longer would be
reportable on the S&S-40. FTA believes that the number of events that
result in substantial damage but not disabling damage, and which do not
meet another threshold, is minimal compared to the overall number of
safety and security events reported to the NTD.
In 2023, the NTD recorded 398 events that were classified as
involving ``substantial damage'' (see NTD Major Safety Events file, at
https://data.transportation.gov/Public-Transit/Major-Safety-Events/9ivb-8ae9/explore). Of these, 22 events would not meet the definition
of disabling damage and did not meet another major event threshold
(injury, fatality, etc.)--such as events where a pantograph was
damaged, disrupting service but not damaging the rail transit vehicle.
Under this proposal, these events would not be reportable on the S&S-
40.
For clarity, the following are all safety and security event types
currently in the NTD reporting system, and how they would be affected
by this proposed reporting change:
Collision: substantial damage question removed and
replaced with disabling damage.
Derailment (including yard derailments and non-revenue
vehicles): Substantial damage question removed entirely. Because
derailment is a separate reporting threshold, the number of reportable
events would be unchanged.
Fire: Substantial damage question removed entirely. If an
injury, fatality, or evacuation occurs, the fire would still be
reportable. Based on 2023 NTD safety reports, there were no events
which met the substantial damage threshold that did not meet another
threshold.
Hazardous material spill: Substantial damage question
removed entirely. If an injury, fatality, or evacuation occurs, the
hazardous material spill would still be reportable. Based on 2023 NTD
safety reports, there were no events which met the substantial damage
threshold that did not meet another threshold.
An earthquake/flood/hurricane/tornado/other high winds/
snowstorm/ice storm, etc. (Act of God): Substantial damage question
removed entirely. If an injury, fatality, or evacuation occurs, the
event would still be reportable. However, damage resulting from Act of
God events that do not meet one of these other thresholds would no
longer be reportable.
System Security Event: bomb threat/bombing/chemical/
biological/nuclear/radiological/arson/hijacking/sabotage/burglary/
vandalism/suspicious package/cyber security event/other system security
event: Substantial damage question would be maintained. This includes
cyber security events.
Personal Security Event: assault/robbery/rape/suicide/
attempted suicide/larceny or theft (including vehicle theft from a
parking lot)/homicide/other personal security event: Substantial damage
question removed entirely. If an injury, fatality, or evacuation
occurs, the event would still be reportable. However, personal security
events where no other thresholds are met would no longer be reportable.
Other Safety Event (e.g., fall, electric shock, smoke,
slip/fall, power failure, runaway train, other): Substantial damage
question removed entirely. If an injury, fatality, or evacuation
occurs, the safety event would still be reportable. However, other
safety events where no other thresholds are met would no longer be
reportable.
FTA recognizes that the data on substantial damage may be useful to
NTD data users. FTA welcomes public comments on existing and future use
cases using substantial damage events that do not involve disabling
damage and do not meet another S&S-40 reporting threshold (e.g., no
injuries, no fatalities, and where only agency equipment, other than a
rail transit vehicle, or other property experience substantial damage).
2. Adding Disabling Damage as a Subset of Substantial Damage Collision
Events
The second alternative that FTA is considering is adding a question
to the S&S-40 form to allow agencies to report events that cause
disabling damage as a
[[Page 86913]]
distinct subset of events that cause substantial damage. One of the
reasons for proposing a new category of disabling damage is to allow
FTA to identify collision events involving a rail transit vehicle more
easily that prevent the vehicle from operating under its own power.
This proposed option would allow FTA's systems to identify such events
more accurately (e.g., sub setting substantial damage events to the
State Safety Oversight Reporting (SSOR) system if they involve
disabling damage). Moreover, it would preserve the broader set of data
FTA collects involving substantial damage events that do not involve
disabling damage for FTA data analysis and other NTD data users.
This change would apply to the roughly 320 collision events
annually that are reported as substantial damage. FTA anticipates that
nearly all of the events reported as substantial damage would be marked
``Yes'' for disabling damage; only a small number would be marked as
``No.'' Examples of events that are substantial but not disabling
include events where rail rolling stock strikes a personal vehicle,
with no disabling damage to the rail rolling stock, but the personal
vehicle is rendered inoperable. Other examples include events where
rail transit property other than a rail transit vehicle experiences
substantial damage (e.g., equipment is struck by an object and is
substantially damaged), and there is a disruption to service.
Under this proposed option, FTA would retain substantial damage as
a reporting threshold. All of the events described above therefore
would require major event reports, given that substantial damage
occurred. Disabling damage would be recorded as a subset of substantial
damage.
FTA would operationalize this requirement by adding a question to
the S&S-40 Report. NTD reporters would be first asked to indicate if
the collision event caused substantial damage--consistent with current
reporting requirements. If the reporter indicates that the event caused
substantial damage, the system would prompt the reporter to indicate if
the event resulted in disabling damage. If the event did not result in
disabling damage, the reporter would simply indicate that no disabling
damage occurred.
This option would not expand the set of events that are currently
reported. However, it would increase the data collected for each rail
collision event involving substantial damage. In calendar year 2023,
there were 398 such events--if FTA implements this change, each of
these events would require this additional field to establish whether
or not the event involved disabling damage.
FTA seeks comment on both proposed alternatives. The proposed
changes would take effect in calendar year 2025, approximately three
months after the publication of the final notice.
G. Reduced Reporter Exemption for Operators Predominantly Serving Rural
Areas
FTA recognizes that there are unique rural operators who provide
service over large geographic regions in the United States that
partially contain one or more small urbanized areas (UZAs). Although
these operators predominantly serve rural areas, they currently report
to the NTD as Full Reporters if they operate more than 30 vehicles in
maximum service. FTA believes that data reporting requirements should
be reduced for these operators to align with the Rural Module reporting
requirements of the NTD. This proposal stems from changes to urbanized
zone areas from the 2020 Census, which resulted in many agencies that
had traditionally been rural reporters suddenly becoming urban
reporters, some of whom still predominantly serve rural areas. As a
result of this Census change, some transit agencies have requested a
waiver from full reporting requirements. In the interest of reducing
reporting burden and given that these reporters still predominantly
serve rural areas, FTA is proposing to extend waivers to this set of
reporters whose service contributes a small proportion towards urban
transit service.
Accordingly, FTA proposes a waiver process in which reporters that
predominantly serve rural areas may request an exemption from filing as
a Full Reporter. Effectively, this would mean that operators receiving
the waiver would report as Reduced Reporters instead.
Under this proposal, FTA would grant the waiver if the agency
predominantly serves a rural area, as determined by the following
criteria:
Receives funding under 49 U.S.C. 5311,
Reports one or more primary or secondary UZAs on their
Federal Funding Allocation form (FFA-10),
Operates more than 30 Vehicles Operated in Maximum Service
(VOMS),
Operates fewer total VOMS in urbanized areas (UZAs) than
rural (non-UZA) areas, and
Allocates more total Vehicle Revenue Miles (VRM) to non-
UZAs than UZAs.
FTA believes these criteria would positively identify reporters who
predominantly serve rural areas without carving out too broad an
exemption. Upon publication of the final notice, FTA would review and
validate NTD data to assess the above criteria. FTA proposes to use
data from the most recent year's validated and accepted data to
evaluate eligibility for this waiver, and FTA would grant the waiver if
each of the above criteria are met. Based on current available data,
FTA estimates that approximately 10-15 agencies would be eligible for
this waiver.
FTA would automatically identify agencies that qualify for this
waiver based on the prior year's validated and accepted data submitted
to the NTD. All eligible reporters then would be presented with the
option to request the waiver annually during the Report Year Kick-Off
(RYKO) process, which confirms an agency's basic information and
operational data listed above that would affect reporter type
selection. This process would use the ratio of Section 5307 to total
Federal funding expended to estimate VOMS in urbanized areas versus
rural areas, because these data are not directly collected on the
Federal Funding Allocation form (FFA-10).
If an agency is reporting to the NTD for the first time and wishes
to request this waiver, they would be prompted to provide the relevant
information for determining eligibility as a part of the ``New ID
Request'' process.
FTA proposes that agencies granted this waiver would certify that
they continue to meet the eligibility requirements each year. This
certification would be verified through FTA's normal validation of an
agency's annual RYKO. However, if an agency's operations change
significantly and they no longer meet eligibility requirements,
agencies could request a one-year extension of the waiver to allow the
agency time to implement data collection changes that would facilitate
a Full Reporter submission the following year.
FTA notes that agencies that receive this waiver would report as
Reduced Reporters going forward. They therefore would no longer submit
Passenger Miles Traveled (PMT) data to the NTD. FTA uses PMT data as
part of the calculation of Urbanized Area formula apportionments under
49 U.S.C. 5307 (Section 5307). Agencies considering this waiver would
coordinate with the local planning agency in the UZA in which they
operate, and the State DOT receiving Section 5311 funding which may
impact apportionment to the UZA. These data would otherwise be used in
[[Page 86914]]
the incentive tier of the Section 5307 formula apportionment.
Under this proposal, FTA would continue to automatically grant a
Full Reporting waiver for agencies that report that they operate in a
primary or secondary UZA and report 30 or fewer VOMS in the NTD annual
report (assuming all figures have been validated). Agencies that
neither operate in a UZA nor receive or benefit from Section 5307
funding would not need to apply for this waiver.
FTA proposes that this waiver would be available beginning in NTD
Report Year (RY) 2025.
H. Voluntary Reporter Tag
Recipients and beneficiaries of FTA funding under either the
Urbanized Area Formula Program (49 U.S.C. 5307) or Rural Area Formula
Program (49 U.S.C. 5311) are required by law to report to the NTD. FTA
funding recipients that own, operate, or manage public transportation
capital assets are required to provide more limited reports to the NTD
regarding Transit Asset Management. However, while most transit
agencies report to the NTD because they are required to do so by
Federal statute, some transit agencies do not receive or benefit from
FTA funds but submit NTD reports on a voluntary basis. The service
reported by these agencies generate funding for the state or urbanized
area(s) where they report their service. The term ``transit agency''
refers to an entity providing public transportation as defined in 49
U.S.C. 5302.
The term ``Voluntary Reporter'' refers to public or private transit
agencies that are not obligated by Federal statute to report to the
NTD, but voluntarily comply with all NTD reporting requirements under
the NTD regulation (49 CFR part 630) and the Uniform System of Accounts
(USOA). Voluntary Reporters might report data to the NTD with the
intention of future inclusion in FTA's Federal funding awards.
Currently, FTA does not collect data that specifically designates
an agency's ``required'' versus ``voluntary'' reporting status in the
NTD reporting system. While an agency's reported financial and revenue
vehicle inventory data can indicate their reporting obligations, FTA
does not require agencies to directly attest to their reporting status
each report year.
To improve data collection from transit agencies, FTA proposes an
update to the annual reporting system that would require agencies to
identify whether they are Voluntary Reporters. Adding this signifier to
the NTD platform would streamline and simplify the process of
identifying required versus Voluntary Reporters through a single
question, which agencies would answer each report year.
Under this proposal, each unique, active NTD ID would answer a
question on the ``Identification'' (B-10) form in their annual NTD
report packages that would ask them to attest to their Voluntary
Reporter status. Agencies would respond to the question by selecting
``Yes'' or ``No'' in the report form. Agencies that are Section 5307 or
5311 recipients or beneficiaries, or that have continuing grant
requirements under either of these programs, would select ``No'' to
indicate they are not Voluntary Reporters and are required to report to
the NTD. Agencies who have no Federal requirement to report to the NTD,
including not being held to the continuing grant requirements described
above, would select ``Yes'' to indicate that they are Voluntary
Reporters.
FTA is proposing that this requirement apply to all reporter types,
including Full and Reduced Urban Reporters, Tribes, State DOTs, Rural
General Public Transit Reporters, and Capital Asset Reporters. In cases
where it is evident and uncontestable that the reporter is a recipient
of FTA funding--for instance, a rural subrecipient of a State--this
field could be automatically populated for them.
Under this proposal, transit agencies must recertify their
voluntary reporting status each report year. This would allow agencies
to either verify that their previous reporting status is accurate in
the current reporting period or update their reporting status if it has
changed. The question would reset at the beginning of each report year
so that agencies could select their responses for that particular year.
For example, if an agency was a Voluntary Reporter in Report Year (RY)
2024, but received Section 5307 funds in RY 2025, the agency would no
longer be considered a Voluntary Reporter, and must answer ``No'' to
the Voluntary Reporter question in the B-10 form in RY 2025.
FTA would verify reporters' responses in the B-10 form through the
NTD data validation process. For example, if an agency answers that
they are voluntarily reporting in a given report year, FTA would not
expect that agency to report Section 5307 or 5311 funds expended on
operations or capital in their annual NTD report. FTA also would not
expect the agency to report revenue vehicles with the Urbanized Area
Formula Program or Rural Area Formula Program funding codes on the
Revenue Vehicle Inventory (A-30) forms; if an agency has existing
revenue vehicles with either of these funding types already in their
report, the agency's validation analyst would ask the agency to confirm
whether the vehicle(s) are still within their useful life periods. This
verification ensures that the Voluntary Reporter status is consistent
with the rest of the report and accurate in the NTD annual data
publications.
Please note that this change would not affect existing reporting
requirements for mandatory reporters, nor affect the timing of when
agencies become subject to mandatory reporting requirements. Agencies
are required to report to the National Transit Database if they receive
Federal funding, are applying for Federal funding in the coming year,
or maintain capital assets purchased with Federal funds. This is
unchanged from prior policy. For more information, please consult the
NTD Reporting Manuals at https://www.transit.dot.gov/ntd/manuals.
FTA proposes that this change would take effect beginning in NTD
Report Year (RY) 2025.
Veronica Vanterpool,
Deputy Administrator.
[FR Doc. 2024-25341 Filed 10-30-24; 8:45 am]
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