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OMB Control No: 2132-0580	ICR Reference No: 201807-2132-002
Status: Historical Active	Previous ICR Reference No: 201602-2132-001
Agency/Subagency: DOT/FTA	Agency Tracking No: PT Agency Safety Plan Final Rule
Title: Public Transportation Agency Safety Plan
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/28/2019
Retrieve Notice of Action (NOA)	Date Received in OIRA: 07/19/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2022	36 Months From Approved
Responses	867	0	0
Time Burden (Hours)	376,543	0	0
Cost Burden (Dollars)	41,894,147	0	0

Abstract: This is a new information collection request (ICR) associated with the publication of a new Final Rule. In accordance with the Paperwork Reduction Act, an ICR was submitted to the Office of Management and Budget at the Notice of Proposed Rulemaking stage. OMB filed comment on the proposed rule on April 26, 2016 and assigned OMB control number 2132-0580 "Public Transportation Agency Safety Plan" (PTASP). The mandatory collection of information consists of recipients of Federal transit funding, specifically Urbanized Area Formula Grant funds, who operate public transportation reporting through the Annual Certifications and Assurances process as a requirement of receiving funds, and providing information during FTA’s Triennial Review Process, which reviews each transit agency every three years, and State Management Review Process, which reviews each State every three years. Transit agencies must also keep records of the documents that set forth its Public Transportation Agency Safety Plan, including those related to the implementation of its Safety Management System (SMS), for a minimum of three years. Transit agencies and States would need to provide proof during the Triennial and State Management Reviews that they, or the transit agencies within their state, have a Safety Plan in place that is signed by the agency’s Accountable Executive and approved by its Board of Directors, and documents the SMS and other requirements of the Final Rule. Through the existing Annual Certifications and Assurances process, FTA requires transit agencies and States to certify compliance with 49 CFR Part 673 and other FTA requirements through a form transmitted within FTA’s electronic Transit Award Management System (TrAMS). FTA will update the existing Triennial and State Management Review programs to include reviews of Safety Plans and compliance with 49 CFR Part 673 at the transit agency and State levels, including collecting Safety Plans only for the purpose of reviewing them against the Final Rule requirements. FTA made several revisions to the Notice of Proposed Rulemaking (NPRM) based on public comments received, which significantly reduced the financial burden on the transit industry. FTA also eliminated redundant recordkeeping requirements in the NPRM, reducing overall recordkeeping requirements and financial burden in the Final Rule.

Authorizing Statute(s): US Code: 49 USC 5329(d) Name of Law: Moving Ahead for Progress in the 21st Century Act (MAP-21)

Citations for New Statutory Requirements: None

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
2132-AB23	Final or interim final rulemaking	83 FR 34418	07/19/2018

Federal Register Notices & Comments
Did the Agency receive public comments on this ICR? Yes

ICR Summary of Burden

	Total Approved	Change Due to Agency Discretion
Annual Number of Responses	867	867
Annual Time Burden (Hours)	376,543	376,543
Annual Cost Burden (Dollars)	41,894,147	41,894,147

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: This new ICR associated is a reduction in respondents, responses and burden hours since submission at the NPRM stage in 2016. FTA inadvertently uploaded the wrong number of responses and respondents in the ROCIS system at the NPRM stage. However, the supporting statement and final rule had the correct data. Below is a brief summarization of the changes that FTA made in response to public comments from the NPRM to the Final Rule, that resulted in a decrease in burden and cost. 1). Applicability - In the NPRM, FTA proposed to apply the rule to every “State, local governmental authority, and any other operator of a public transportation system that receives Federal financial assistance under 49 U.S.C. Chapter 53.” In response to this proposal and a series of questions presented by FTA, several commenters suggested that FTA exempt Section 5310 recipients from the rule because they are smaller non-traditional transit providers, and commenters also suggested that FTA exempt sub-recipients of Section 5311 funds. Several commenters suggested that FTA adopt a more simplified approach tailored for smaller operators. In light of these public comments and the need for further evaluation, FTA is deferring regulatory action at this time on operators of public transportation systems that only receive Section 5310 and/or Section 5311 funds. This deferral will provide FTA time to further evaluate information and safety data related to these systems to determine the appropriate level of regulatory burden necessary to address the safety risk presented by these systems. This action will result in a $26 million cost savings to the final rule. 2.) SMS Requirements - In the NPRM, FTA proposed to require all transit agencies to develop and implement a comprehensive Safety Assurance process, which would include processes for (1) safety performance monitoring and measurement, (2) management of change, and (3) continuous improvement. FTA received numerous comments requesting a reduction in the regulatory requirements for smaller public transportation providers. Given the public comments and the limited administrative and financial resources available to smaller providers, FTA eliminated the management of change and continuous improvement requirements for all small public transportation providers. This action will result in an $8.4 million cost savings to the final rule. To add clarity to the final rule and in response to public comments, FTA made other smaller changes to various SMS requirements. 3.) Recordkeeping - In the NPRM, FTA proposed to require transit agencies to maintain records related to (1) safety risk mitigations, (2) results of safety performance assessments, and (3) employee safety training, in addition to their safety plans. FTA received numerous comments requesting reduced recordkeeping burdens and reduced burdens for smaller operators. As a result, FTA has eliminated in their entirety the recordkeeping requirements related to safety risk mitigations, safety performance assessments, and employee training. FTA believes that the safety plans themselves are sufficient to ensure that transit agencies are complying with the statute and this final rule. This action will result in a $6.4 million cost savings to the final rule. 4.) Other Changes - FTA updated the several definitions in the final rule to add clarity and to make them consistent with other FTA rules, specifically, FTA’s Transit Asset Management rule at 49 CFR Part 625 and FTA’s State Safety Oversight rule at 49 CFR Part 674. FTA made other revisions throughout the rule to add clarity based on public comments.

Annual Cost to Federal Government: $146,667

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination. No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination. No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

Agency Contact: Adrianne Malasky 202 366-5496

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