Yes. A transit agency that is a recipient of Urbanized Area Formula Grants (Section 5307) funds or a rail transit agency (RTA) subject to the State Safety Oversight (SSO) Program is responsible for establishing an ASP that meets the requirements of 49 U.S.C. § 5329(d) and the Public Transportation Agency Safety Plans (PTASP) regulation at 49 CFR part 673. The transit agency is also responsible for ensuring that the ASP covers all the agency’s public transit services (directly operated and contracted). If a transit agency contracts with another entity to operate transit service, the transit agency is responsible for ensuring that each of the requirements of § 5329(d) and Part 673 are satisfied through the terms and conditions of its contract. The transit agency is also responsible for ensuring that its contractor carries out the processes as described in the ASP.

The following examples illustrate how transit agencies may work with their contractor on ASP development and Safety Management System (SMS) implementation (this list is not intended to be exhaustive):

• Develop your agency’s ASP and ensure that your contractor follows it.
• Require your contractor to develop elements of your agency’s ASP.
• Require your contractor to develop or update the ASP for the mode(s) of service the contractor operates.
• Collaborate with your contractor during ASP development or updates to help ensure the ASP is realistic, implementable, and meets your transit system's unique needs.
• Conduct planning and coordination activities with your contractor to ensure sufficient time to meet the annual ASP review and approval date set by the agency.
• Seek contractor input on SMS processes and procedures, as operations and maintenance service providers may implement and operate a transit agency's SMS.
• Authorize contractor employees to serve in the role of Accountable Executive and/or Chief Safety Officer (CSO) / Safety Management (SMS) Executive (There must be a direct line of reporting between the Accountable Executive and CSO / SMS Executive).
• Establish agreements with your contractor to provide and maintain SMS documentation.

The Public Transportation Agency Safety Plans (PTASP) regulation at § 673.11(a)(6)(i) requires rail transit agencies to include or incorporate by reference an emergency preparedness and response plan into their Agency Safety Plan (ASP). Each emergency preparedness and response plan must address, at a minimum, the assignment of transit worker responsibilities during an emergency and coordination with Federal, State, regional, and local officials with roles and responsibilities for emergency preparedness and response in the transit agency's service area. FTA also recommends that this plan address the integration of responses to all hazards, as appropriate.

Bus transit agencies are not required to incorporate or reference existing emergency preparedness and response plans or procedures in their ASPs, though they may choose to do so. State Departments of Transportation may have their own emergency preparedness and response plan requirements for bus transit agencies.

To date, FTA has not published an emergency preparedness and response plan template. However, FTA has worked with the American Public Transportation Association (APTA) to develop standards and recommended practices that focus on emergency procedures, such as:

• Rail Transit Agency Emergency Management Requirements
• Transit Incident Drills and Exercises
• Emergency Communication Strategies for Transit Agencies
  

The Public Transportation Agency Safety Plans (PTASP) regulation at § 673.11(a)(5) requires each transit agency to establish a process and timeline for conducting an annual review and update of its ASP.

Per § 673.17(b), each transit agency that is not a large urbanized area provider must develop its ASP updates in cooperation with frontline transit worker representatives.

Per § 673.11(a)(1) any updates to the ASP must be signed by the Accountable Executive and approved by –

• For a transit agency that is a large urbanized area provider, the Safety Committee established pursuant to § 673.19, followed by the transit agency’s Board of Directors or an equivalent entity
• For all other transit agencies, the transit agency’s Board of Directors or an equivalent entity
• For a rail transit agency (RTA), the ASP also must be approved by the State Safety Oversight Agency (SSOA) (Please note that an SSOA has the authority to establish more specific requirements for the rail transit agencies in its State by defining these in the SSOA’s Program Standard)

Urbanized Area Formula Grants (Section 5307) recipients, rail transit agencies (RTAs) in FTA’s State Safety Oversight (SSO) Program, and States with small public transportation providers that must meet Public Transportation Agency Safety Plans (PTASP) requirements are required to certify that they have fulfilled all applicable PTASP requirements as part of the annual Certifications and Assurances for FTA grants and cooperative agreements (Category 2). 

Note:

• A State with small public transportation providers that must meet PTASP requirements certifies that the State developed ASPs for all small public transportation providers in its jurisdiction that did not opt to develop their own plans and notify the State.
• Section 5307 recipients that pass through funds to an applicable transit provider will make this certification on behalf of the subrecipient provider. In some cases, the recipient may be the State.

Safety plan documentation requirements in the PTASP regulation require transit agencies to maintain documents that set forth their ASP, including those related to the implementation of their Safety Management System (SMS) and results from SMS processes and activities. These documents must be maintained for a minimum of three years after they are created.

FTA monitors these certifications in its Transit Award Management System (TrAMS) and reviews safety plan documentation as part of its Triennial Review and State Management Review processes to assess compliance with the requirements of the rule. In addition, State Safety Oversight Agencies (SSOAs) are responsible for ensuring compliance with each RTA for which it has responsibility. FTA integrated the Bipartisan Infrastructure Law changes to PTASP requirements into the Triennial and State Management Review processes beginning in 2023.

FTA notes that it does not need to wait until the Triennial Review process to review a transit agency’s compliance with PTASP. FTA may do so whenever it deems necessary, and FTA investigates specific allegations of noncompliance. Failure to comply with a requirement of the regulation could result in a range of FTA enforcement options depending upon the circumstances, including, but not limited to, actions authorized by the Public Transportation Safety Program at 49 U.S.C. § 5329 and the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (2 CFR § 200.339–2 CFR § 200.340). These enforcement actions may include a recipient being ineligible to receive certain FTA grant funds until the recipient satisfies the requirements of the regulation or FTA imposing more frequent reporting requirements until the recipient achieves compliance.

Urbanized Area Formula Grants (Section 5307) recipients, each rail transit agency (RTA) in FTA’s State Safety Oversight (SSO) Program, and States certify in the Transit Award Management System (TrAMS) that their organization and all of their applicable Section 5307 subrecipients have met all of the applicable Public Transportation Agency Safety Plans (PTASP) requirements.

Comparatively, the PTASP regulation at § 673.11(a)(5) requires each transit agency to establish a process and timeline for conducting an annual review and update of its ASP. 

Per § 673.17(b), each transit agency that is not a large urbanized area provider must develop its ASP updates in cooperation with frontline transit worker representatives.

Per § 673.11(a)(1), any updates to the ASP must be signed by the Accountable Executive. Updates are approved by different entities depending on agency type.

• For a transit agency that is a large urbanized area provider, the Safety Committee established pursuant to § 673.19 approves updates to the ASP, followed by the transit agency’s Board of Directors or an equivalent entity. 
• For all other transit agencies, the transit agency’s Board of Directors or an equivalent entity approves updates to the ASP.
• For an RTA, the ASP also must be approved by the State Safety Oversight Agency (SSOA). (Please note that an SSOA has the authority to establish more specific requirements for the rail transit agencies in its State by defining these in the SSOA’s Program Standard.)

The National Safety Plan is FTA’s strategic safety plan and primary guidance document to improve transit safety performance. It is not a regulation, but rather a policy and communications document to the public transportation industry and public providing a repository of standards, guidance, best practices, tools, technical assistance, and other resources.

The Bipartisan Infrastructure Law requires that the National Safety Plan include new elements, including:

• Safety performance measures for Public Transportation Agency Safety Plans (PTASP) safety risk reduction programs; and
• Precautionary and reactive actions required to ensure public and personnel safety and health during an emergency, in consultation with the U.S. Department of Health and Human Services.
  

The Public Transportation Agency Safety Plans (PTASP) regulation requires all agencies subject to it to set SPTs based on the safety performance measures in the National Public Transportation Safety Plan (National Safety Plan). The measures define the data points that an agency will “watch” to monitor safety performance. The target defines the desired level of safety performance over a specified timeframe (e.g., annually). Rates are calculated using vehicle revenue miles (VRM), as defined by and reported to the National Transit Database (NTD). The National Safety Plan establishes fourteen (14) individual performance measures for all agencies subject to the PTASP regulation:

• Major Events – This includes all safety and security major events as defined by the NTD.
• Major Event Rate – This includes all safety and security major events as defined by the NTD, divided by VRM.
• Collision Rate – This includes collisions reported to the NTD, divided by VRM.
• Pedestrian Collision Rate – This includes all collisions “with a person,” as defined by the NTD, divided by VRM.
• Vehicular Collision Rate – This includes all collisions “with a motor vehicle,” as defined by the NTD, divided by VRM.
• Fatalities – This includes all fatalities as defined by the NTD. 
• Fatality Rate – This includes all fatalities as defined by the NTD, divided by VRM.
• Transit Worker Fatality Rate – This includes all transit worker fatalities as defined by the NTD, including the categories “Transit Employee/Contractor,” “Transit Vehicle Operator,” and “Other Transit Staff,” divided by VRM.
• Injuries – This includes all injuries as defined by the NTD.
• Injury Rate – This includes all injuries as defined by the NTD, divided by VRM.
• Transit Worker Injury Rate – This includes all transit worker injuries as defined by the NTD, including the categories “Transit Employee/Contractor,” “Transit Vehicle Operator,” and “Other Transit Staff,” divided by VRM.
• Assaults on Transit Workers – This includes all assaults on transit workers as defined by the NTD.
• Rate of Assaults on Transit Workers – This includes all assaults on transit workers as defined by the NTD, divided by VRM.
• System Reliability – This includes Major Mechanical System failures as defined by the NTD.

The National Safety Plan also establishes eight safety performance measures for the safety risk reduction program for each large urbanized area provider:

• Major Events - This includes all safety and security major events as defined by the NTD.
• Major Event Rates - This includes all safety and security major events as defined by the NTD, divided by VRM.
• Collisions - This includes all collisions reported to the NTD.
• Collision Rate - This includes all collisions reported to the NTD, divided by VRM.
• Injuries - This includes all injuries as defined by the NTD.
• Injury Rate - This includes all injuries as defined by the NTD, divided by VRM.
• Assaults on Transit Workers - This includes all assaults on transit workers as defined by the NTD.
• Rate of Assaults on Transit Workers - This includes all assaults on transit workers as defined by the NTD, divided by VRM.

FTA published Accessing and Using National Transit Database Safety and Security Event Data to support a transit agency’s safety performance measurement activities.

Yes. The Public Transportation Agency Safety Plans (PTASP) regulation at § 673.19(d)(2) requires the Safety Committee of each large urbanized area provider to set annual SPTs for the safety risk reduction program based on the safety performance measures established by the National Public Transportation Safety Plan (National Safety Plan). The National Safety Plan establishes eight safety performance measures for the safety risk reduction program: 

• Major Events - This includes all safety and security major events as defined by the National Transit Database (NTD).
• Major Event Rates - This includes all safety and security major events as defined by the NTD, divided by vehicle revenue miles (VRM).
• Collisions - This includes all collisions reported to the NTD.
• Collision Rate - This includes all collisions reported to the NTD, divided by VRM.
• Injuries - This includes all injuries as defined by the NTD.
• Injury Rate - This includes all injuries as defined by the NTD, divided by VRM.
• Assaults on Transit Workers - This includes all assaults on transit workers as defined by the NTD.
• Rate of Assaults on Transit Workers - This includes all assaults on transit workers as defined by the NTD, divided by VRM.

Per § 673.11(a)(7)(iii), these targets must be based on a three-year rolling average of the data submitted by the provider to the NTD and must be set for all modes of public transportation. The targets must be based on the level of detail the provider is required to report to the NTD. The Safety Committee is not required to set a target for a performance measure until the provider has been required to report three years of data to the NTD corresponding to such performance measure.

The term “assault on a transit worker” in the National Public Transportation Safety Plan (National Safety Plan) has the same meaning as in the National Transit Database (NTD) and 49 U.S.C. § 5302:

“a circumstance in which an individual knowingly, without lawful authority or permission, and with intent to endanger the safety of any individual, or with a reckless disregard for the safety of human life, interferes with, disables, or incapacitates a transit worker while the transit worker is performing the duties of the transit worker.”

Accordingly, the “assaults on transit workers” and “rate of assaults on transit workers” safety performance measures use this definition.

National Transit Database (NTD) data can help agencies and Safety Committees develop safety objectives, set SPTs, and conduct Safety Risk Management (SRM) analyses. You may download data from the NTD Data website. In particular, the data portal provides the following reports:

• Safety & Security Major Event Time Series contains monthly updated safety and security information reported by urban Full Reporters for Major Safety and Security Events only.
• Safety & Security Time Series (Threshold Adjusted) combines Major (S&S-40 form) and Non-Major (S&S-50 form) event data reported to the NTD.
• Safety and Security (S&S) Event Details provides the underlying datasets for both Safety & Security Time Series files for events occurring in calendar year 2014 and later.

For information about current NTD reporting thresholds, see the most current S&S Quick Reference Guides:

• Safety and Security Rail Mode Quick Reference Guide
• Safety and Security Non-Rail Quick Reference Guide

FTA published Accessing and Using National Transit Database Safety and Security Event Data to support a transit agency’s safety performance measurement activities. 

Beginning in Report Year (RY) 2023, FTA retired the Safety Data section in the Reduced Reporting (RR-20) form and started collecting expanded annual safety data in a new, dedicated safety form contained in the annual report, the S&S-60. Urban Reduced Reporters complete the S&S-60 form that contains three reporting sections: Physical Assaults, Non-Physical Assaults, and All Other Reportable Safety & Security Data.

Prior to RY 2023, Reduced Reporters submitted a high-level annual summary of safety events on the RR-20 form in the annual report, which included three safety data points: Total Reportable Events, Total Injuries, and Total Fatalities.

From the NTD Data website, you may download the following Reduced Reporter safety data, as well as previous years data and other reports: 

• 2022 Annual Database Reduced Reporter Safety Information
• 2021 Annual Database Reduced Reporter Safety Information
• 2020 Annual Database Safety Information

FTA published Accessing and Using National Transit Database Safety and Security Event Data to support a transit agency’s safety performance measurement activities.

The Bipartisan Infrastructure Law and Public Transportation Agency Safety Plans (PTASP) regulation require the Safety Committee of each large urbanized area provider to review and approve an agency’s Agency Safety Plan (ASP) and any updates to the ASP. Approval by the Board of Directors or equivalent entity should be carried out after approval by the Safety Committee, using the timeframe established by the transit agency’s ASP.

The Safety Committee must set annual safety performance targets (SPTs) for the safety risk reduction program based on a three-year rolling average of data the agency submitted to the National Transit Database (NTD).

The Safety Committee also must support the transit agency’s SMS by:

1. Identifying and recommending safety risk mitigations necessary to reduce the likelihood and severity of the potential consequences identified through the transit agency's safety risk assessment, including safety risk mitigations associated with any instance where the transit agency did not meet an annual SPT in the safety risk reduction program; 
2. Identifying safety risk mitigations that may be ineffective, inappropriate, or were not implemented as intended, including safety risk mitigations associated with any instance where the transit agency did not meet an annual SPT in the safety risk reduction program; and 
3. Identifying safety deficiencies for purposes of continuous improvement, including any instance where the transit agency did not meet an annual SPT in the safety risk reduction program.
   

A Safety Management System (SMS) is a comprehensive, collaborative approach to managing safety. It brings management and labor together to better control risk, detect and correct safety problems earlier, share and analyze safety data more effectively, and measure safety performance more precisely.

SMS helps transit agencies apply resources to risk and ensure they have the organizational infrastructure to support decision-making at all levels regarding the assignment of resources.

Some key parts of SMS include:

• Defined safety roles and responsibilities;
• Strong executive safety leadership;
• Formal safety accountabilities and communication;
• Effective policies and procedures; and
• Active employee involvement.

SMS is built for scalability. This means that SMS principles and practices work in both the smallest and largest transit systems. For example, one person may operate the entire Safety Risk Management (SRM) process by themselves at a small agency, whereas operating the SRM process at a large agency may involve multiple people and departments.

SMS scalability also means that SMS principles and practices can be scaled in response to changing circumstances. For example, transit agencies may:

• Change the frequency of SMS activities, such as increasing how often an agency monitors compliance with operations and maintenance procedures to monitor mitigation effectiveness for a hazard with a high risk rating;
• Implement a digital reporting platform for a Transit Worker Safety Reporting Program (TWSRP) to enable streamlined reporting across multiple agency operations and maintenance facilities;
• Hold virtual or hybrid meetings rather than in-person-only meetings to involve geographically dispersed Safety Committee members; and
• Prioritize hazard identification on infectious disease-related hazards in response to a public health emergency.

The Chief Safety Officer (CSO) / Safety Management (SMS) Executive is responsible for the following two oversight roles:

1. Oversight of the transit agency’s safety function. Responsibilities may include:
   • Overseeing Safety Risk Management (SRM) and Safety Assurance practices;
   • Overseeing transit agency safety event investigations;
   • Coordinating with the State Safety Oversight Agency (SSOA), if applicable;
   • Communicating with the Safety Committee, executive leadership, and the Board of Directors;
   • Overseeing the transit agency’s safety certification processes; and
   • Managing internal safety audit programs. 
2. Management of the transit agency’s SMS function during SMS implementation. Responsibilities may include:
   • Serving as the agency’s SMS Subject Matter Expert;
   • Coordinating Key Staff to support SMS implementation;
   • Facilitating the development, implementation, and continuous improvement of SMS processes and activities;
   • Procuring technical resources for SMS implementation;
   • Socializing SMS activities with agency executives and staff as necessary; and
   • Communicating SMS implementation progress and challenges.

The Public Transportation Agency Safety Plans (PTASP) regulation at § 673.29(a)(1) requires transit agencies to include in their comprehensive safety training program the following training for all operations transit workers and transit workers directly responsible for safety:

• De-escalation training 
• Safety concern identification and reporting training
• Refresher training

The PTASP regulation at § 673.29(a)(2) also requires each large urbanized area provider to include maintenance transit workers in its comprehensive safety training program.

The following resources are available to support the transit industry in developing, implementing, and updating training programs:

• Safety Training Resources for Bus Transit Agencies
• Fiscal Year (FY) 2024 Transit Training Schedule of FTA-sponsored training courses
• Assault Awareness and Prevention for Transit Operators (National Transit Institute)
• Violence in the Transit Workplace – Prevention, Response, and Recovery (Train the Trainer) (National Transit Institute)
• De-Escalation Training Resource Directory

Bus transit agencies also could consider reviewing the voluntary training curriculum identified in FTA’s Public Transportation Safety Certification Training Program (PTSCTP) regulation at 49 CFR part 672.

The Public Transportation Agency Safety Plans (PTASP) regulation does not require a specific process for small public transportation providers to “opt out” and develop their own ASPs. However, it is important for a small public transportation provider and State to communicate with each other about ASP development. In addition, small transit providers that “opt out” must notify the State of their intent to draft and certify their own ASP (§ 673.11(d)) and maintain documentation of this notification (§ 673.31). FTA encourages States and small public transportation providers to coordinate on a notification process and describe roles and responsibilities to document “opt out” determinations for audits and compliance reviews. 

Following is sample text that a small public transportation provider can use to support development of a written notification to the State of the provider’s decision to “opt out” of a State drafted ASP:

The Federal Transit Administration (FTA) Public Transportation Agency Safety Plan regulation, at 49 CFR part 673, requires State Departments of Transportation (DOTs) to draft and certify Agency Safety Plans (ASPs) on behalf of small public transportation providers. However, a State DOT is not required to draft an ASP for a small public transportation provider if the small transit provider notifies the State that it will draft its own plan. 

This letter serves to notify the [State] Department of Transportation that [small public transportation provider name] will draft (and certify, if applicable) its own ASP to address Part 673 requirements. The ASP will be signed by the Accountable Executive, [name and/or title], and approved by the [Board of Directors or equivalent entity].

For more information, visit the Small Public Transportation Provider section of FTA’s PTASP Frequently Asked Questions (FAQ).

States must draft and certify ASPs on behalf of small public transportation providers, unless a small public transportation provider opts to draft and certify their own ASP and notifies the State that they will do so. Please see the Small Public Transportation Provider section of FTA’s PTASP Frequently Asked Questions (FAQ) for details about the “opt out” process. A small public transportation provider is an operator who meets all of the following requirements:

• Recipient or subrecipient of FTA’s Urbanized Area Formula Grants (Section 5307) funds
• Operates 100 or fewer vehicles in peak revenue service across all non-rail fixed route modes or in any one non-fixed route mode
• Does not operate a rail fixed-guideway public transportation system

Regardless of who drafts and certifies an ASP, each transit operator is required to carry out and implement its own ASP, including all Safety Management System (SMS)-related activities because each transit agency is in the best position to manage safety risk within their own system.

State Safety Oversight Agencies (SSOAs) must review and approve the ASP, and ASP updates, of each rail transit agency (RTA) for which it has responsibility, after the ASP has been approved by the Board of Directors or equivalent entity for the RTA.

In addition to these requirements, each transit operator must provide the State in which it operates and its Metropolitan Planning Organization (MPO) with its safety performance targets (SPTs) to assist the State and MPO with the capital program planning process.

Yes. The State DOT can use FTA funds from other grant programs to cover the costs of bus transit ASP development, including:

• Metropolitan Planning Grants (Section 5303),
• Statewide Planning Grants (Section 5304),
• Urbanized Area Formula Grants (Section 5307),
• Capital Investment Grants (Section 5309),
• State of Good Repair Grants (Section 5337), and
• Grants for Buses and Bus Facilities Formula Program (Section 5339).