49 CFR Part 670 — Public Transportation Safety Program

PART 670—PUBLIC TRANSPORTATION SAFETY PROGRAM Authority: 49 U.S.C. 5329, 49 CFR 1.91. Source: 81 FR 53058, Aug. 11, 2016, unless otherwise noted. Subpart A—General Provisions § 670.1 Purpose and applicability. This part carries out the mandate of 49 U.S.C. 5329 to improve the safety of public transportation systems. This part establishes substantive and procedural rules for FTA's administration of the Public Transportation Safety Program. This part applies to recipients of Federal financial assistance under 49 U.S.C. chapter 53. § 670.3 Policy. The Federal Transit Administration (FTA) has adopted the principles and methods of Safety Management Systems (SMS) as the basis for enhancing the safety of public transportation in the United States. FTA will follow the principles and methods of SMS in its development of rules, regulations, policies, guidance, best practices and technical assistance administered under the authority of 49 U.S.C. 5329. § 670.5 Definitions. As used in this part: Accountable Executive Administrator Advisory Audit Corrective action plan Deputy Administrator Directive Examination FTA Hazard Inspection Investigation National Public Transportation Safety Plan Pattern or practice Recipient Record Risk Safety Management System (SMS) State State Safety Oversight Agency Testing Subpart B—Inspections, Investigations, Audits, Examinations and Testing § 670.11 General. (a) The Administrator may conduct investigations, inspections, audits and examinations, and test the equipment, facilities, rolling stock and operations of a recipient's public transportation system. (b) To the extent practicable, the Administrator will provide notice to a recipient prior to initiating any activities carried out under the authorities listed in paragraph (a) of this section. (c) The Administrator will conduct activities carried out under this section at reasonable times and in a reasonable manner, as determined by the Administrator. (d) In carrying out this section, the Administrator may require the production of relevant documents and records, take evidence, issue subpoenas and depositions, and prescribe recordkeeping and reporting requirements. § 670.13 Request for confidential treatment of records. (a) The Administrator may grant a recipient's request for confidential treatment of records produced under § 670.11, on the basis that the records are— (1) Exempt from the mandatory disclosure requirements of the Freedom of Information Act (5 U.S.C. 552); (2) Required to be held in confidence by 18 U.S.C. 1905; or (3) Otherwise exempt from public disclosure under Federal or State laws. (b) A recipient must submit the record that contains the alleged confidential information with the request for confidential treatment. (c) A recipient's request for confidential treatment must include a statement justifying nondisclosure and provide the specific legal basis upon which the request for nondisclosure should be granted. (d) A recipient's justification statement must indicate whether the recipient is requesting confidentiality for the entire record, or whether non-confidential information in the record can be reasonably segregated from the confidential information. If a recipient is requesting confidentiality for only a portion of the record, the request must include a copy of the entire record and a second copy of the record where the purportedly confidential information has been redacted. The Administrator may assume there is no objection to public disclosure of the record in its entirety if the requestor does not submit a second copy of the record with the confidential information redacted at the time that the request is submitted. (e) A recipient must mark any record containing any information for which confidential treatment is requested as follows—“CONFIDENTIAL” or “CONTAINS CONFIDENTIAL INFORMATION” in bold letters. (f) The Administrator will provide notice to a recipient of his or her decision to approve or deny a request, in whole or in part, no less than five (5) days prior to the public disclosure of a record by FTA. The Administrator will provide an opportunity for a recipient to respond to his or her decision prior to the public disclosure of a record. Subpart C—Authorities § 670.21 General. In addition to actions described in §§ 670.23 through 670.29, in exercising his or her authority under this part, the Administrator may— (a) Require more frequent oversight of a recipient by a State Safety Oversight Agency that has jurisdiction over the recipient; (b) Impose requirements for more frequent reporting by a recipient; (c) Order a recipient to develop and carry out a corrective action plan; and (d) Issue restrictions and prohibitions, if through testing, inspection, investigation, audit or research carried out under Chapter 53, the Administrator determines that an unsafe condition or practice, or a combination of unsafe conditions and practices, exist such that there is a substantial risk of death or personal injury. § 670.23 Use or withholding of funds. (a) Directing the use of funds. (b) Withholding of funds. (c) Notice. (1) A statement of the legal authority for its issuance; (2) A statement of the regulatory provisions or directives FTA believes the recipient has violated; (3) A statement of the remedial action sought to correct the violation; and (4) A statement of facts supporting the proposed remedial action. (d) Reply. (e) Decision. § 670.25 General directives. (a) General. (1) The Administrator determines that an unsafe condition or practice, or a combination of unsafe conditions and practices, exists such that there is a risk of death or personal injury, or damage to property or equipment; or (2) For any other purpose where the Administrator determines that the public interest requires the avoidance or mitigation of a hazard or risk. (b) Effective date. (c) Notice. Federal Register. (1) A reference to the authority under which the directive is being issued; (2) A statement of the purpose of the issuance of the directive, including a description of the subjects or issues involved and a statement of the remedial actions sought; and (3) A statement of the time within which written comments must be received by FTA. (d) Consideration of comments received. (e) Final notice. Federal Register § 670.27 Special directives. (a) General. (1) The Deputy Administrator has reason to believe that a recipient is engaging in conduct, or there is evidence of a pattern or practice of a recipient's conduct, in violation of the Public Transportation Safety Program or any regulation or directive issued under those laws for which the Administrator exercises enforcement authority for safety; (2) The Deputy Administrator determines that an unsafe condition or practice, or a combination of unsafe conditions and practices exists such that there is a substantial risk of death or personal injury, or damage to property or equipment; or (3) For any other purpose where the Deputy Administrator determines that the public interest requires the avoidance or mitigation of a hazard or risk through immediate compliance. (b) Effective date. (c) Notice. (1) The name of the recipient or recipients to which the directive applies; (2) A reference to the authority under which the directive is being issued; and (3) A statement of the purpose of the issuance of the directive, including a description of the subjects or issues involved, a statement of facts upon which the notice is being issued, a statement of the remedial actions being sought, and the date by which such remedial actions must be taken. (d) Petition for reconsideration. (1) Must be in writing and signed by a recipient's Accountable Executive or equivalent entity; (2) Must include a brief explanation of why the recipient believes the special directive should not apply to it or why compliance with the special directive is not possible, is not practicable, is unreasonable, or is not in the public interest; and (3) May include relevant information regarding the factual basis upon which the special directive was issued, information in response to any alleged violation or in mitigation thereof, recommend alternative means of compliance for consideration, and any other information deemed appropriate by the recipient. (e) Request for extension. (f) Filing a petition for reconsideration. (1) Email to FTA, sent to an email address provided in the notice of special directive; (2) Facsimile to FTA at 202-366-9854; or (3) Mail to FTA at: FTA, Office of the Administrator, 1200 New Jersey Ave. SE., Washington, DC 20590. (g) Processing of petitions for reconsideration General. (2) Grants. (3) Denials. (4) Notification. (h) Judicial review. § 670.29 Advisories. In any instance in which the Administrator determines there are hazards or risks to public transportation, the Administrator may issue an advisory which recommends corrective actions, inspections, conditions, limitations or other actions to avoid or mitigate any hazards or risks. The Administrator will issue notice to recipients of an advisory in the Federal Register Subpart D—National Public Transportation Safety Plan § 670.31 Purpose and contents of the National Public Transportation Safety Plan. Periodically, FTA will issue a National Public Transportation Safety Plan to improve the safety of all public transportation systems that receive funding under 49 U.S.C. Chapter 53. The National Public Transportation Safety Plan will include the following— (a) Safety performance criteria for all modes of public transportation, established through public notice and comment; (b) The definition of state of good repair; (c) Minimum safety performance standards for vehicles in revenue operations, established through public notice and comment; (d) Minimum performance standards for public transportation operations established through public notice and comment; (e) The Public Transportation Safety Certification Training Program; (f) Safety advisories, directives and reports; (g) Best practices, technical assistance, templates and other tools; (h) Research, reports, data and information on hazard identification and risk management in public transportation, and guidance regarding the prevention of accidents and incidents in public transportation; and (i) Any other content as determined by FTA.

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