[Federal Register: December 6, 2007 (Volume 72, Number 234)]
[Rules and Regulations]
[Page 68756-68762]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr06de07-6]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
49 CFR Part 630
[Docket No: FTA-2007-27319]
RIN 2132-AA94
National Transit Database: Amendment to Reporting Requirements
and Non-Substantive Technical Changes
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This notice announces the final rule requiring recipients of
grants under 49 U.S.C. 5311, Formula Grants for Other Than Urbanized
Areas (Nonurbanized Area Formula Grants,) to report annual data to the
National Transit Database (NTD) as a condition for receiving these
grants. In addition, this final rule makes non-substantive changes,
technical corrections, and conforming amendments to the ``National
Transit Database'' regulation.
DATES: Effective Date: January 7, 2008.
FOR FURTHER INFORMATION CONTACT: For program issues: John D. Giorgis,
Office of Budget and Policy, (202) 366-5430 (telephone); (202) 366-7989
(fax); or john.giorgis@dot.gov (e-mail). For legal issues: Richard
Wong, Office of the Chief Counsel, (202) 366-4011 (telephone); (202)
366-0675 (fax); or richard.wong@dot.gov (e-mail).
SUPPLEMENTARY INFORMATION:
I. Background
The National Transit Database (NTD) is FTA's primary national
database for statistics on the transit industry. Section 3033 of the
Safe, Accountable, Flexible, Efficient Transportation Equity Act: A
Legacy for Users (SAFETEA-LU) [Pub. L. 109-59 (August 10, 2005)]
amended the NTD provisions under 49 U.S.C. 5335 to require that each
recipient receiving Formula Grants for Other Than Urbanized Areas
(Nonurbanized Area Formula Grants), or any person that will receive
benefits directly from these funds, must be subject to the reporting
and uniform systems of the NTD. Section 5335(b) continues to require
NTD reporting for recipients of and beneficiaries of assistance from
Urbanized Area Formula Grants.
In addition, section 3013(b) of SAFETEA-LU amended 49 U.S.C.
5311(b)(4) to require each recipient receiving Nonurbanized Area
Formula Grants to submit an annual report containing information on
capital investment, operations, and service provided with grant funds
from this program. The recipient must include the following information
in the report: Total annual revenue; sources of revenue; total annual
operating costs; total annual capital costs; fleet size and type, and
related facilities; revenue vehicle miles; and ridership. The mandatory
reporting criteria will assist FTA in understanding the effectiveness
of Nonurbanized Area Formula Grants in improving rural public
transportation. These data are similar to those already collected by
FTA for recipients of Urbanized Area Formula Grants, but are
streamlined for rural recipients.
This final rule revises 49 CFR Part 630, the Uniform System of
Accounts and Reporting System, to conform with 49 U.S.C. 5335 and 5311,
as amended by sections 3033 and 3013(b) of SAFETEA-LU.
II. Comments and FTA Response to Comments
On March 26, 2007, FTA issued a notice of proposed rulemaking
(NPRM) that provided interested parties with the opportunity to comment
on substantive amendments to FTA's NTD Regulation that would implement
the annual reporting requirements for recipients and beneficiaries of
Nonurbanized Area Formula Grants (72 FR 14061). In this NPRM, FTA
proposed changes that would: (1) Require recipients of Nonurbanized
Area Formula Grants to report data to the NTD; and, (2) require the
annual reporting of rural transit data as a condition for receiving
Nonurbanized Area Formula Grants. The proposed rule also contained
technical corrections and conforming amendments, such as changes to
statutory references. FTA invited comments on the proposed substantive
amendments that would implement the annual reporting requirements for
Nonurbanized Area Formula Grant recipients and beneficiaries. In
accordance with 5 U.S.C. 553(b)(3)(A), FTA did not invite comments on
the technical corrections and conforming amendments because those
changes are ``interpretative'' in nature, and FTA was not required to
accept or consider comments on them.
FTA received ten comments on the proposed substantive amendments
that would implement the annual reporting requirements for Nonurbanized
Area Formula Grant recipients and beneficiaries. FTA hereby responds to
these comments in the following order: (a) General Coordination and
Reporting Concerns; (b) Failure to Report Data; (c) Late and Incomplete
Reports; (d) Questionable Data Items; (e) Notice of FTA action; (f)
Waiver of Reporting Requirements; (g) Proposed Appendix A; (h) Comments
on the proposed 2007 Rural NTD Module Reporting Manual; and, (i)
Additional Technical Revisions.
(a) General Reporting Concerns
Four comments expressed concern about the burden of the proposed
reporting requirements. One commenter strongly encouraged FTA to follow
its stated purpose to provide streamlined reporting requirements for
the rural program. Another commenter expressed concern that rural
systems will experience significant difficulties in complying with
reporting, which will impact the reliability and usefulness of the
data. One commenter noted that FTA's historical position has been to
not be involved with subrecipients and that data collection on
individual subrecipients is a major departure from this practice.
FTA response: FTA is seeking the data to comply with 49 U.S.C. 5335
and 49 U.S.C. 5311(b)(4), and the proposed reporting requirements are
largely specified by statute. FTA notes that it is only requiring the
States to complete and submit a one-page form for each Section 5311
grant subrecipient, and is only requiring Tribes that are direct
recipients of Section 5311 grants to complete the same form. Comments
on the specific nature of the reporting requirements, however, are
outside the scope of this rulemaking. FTA considered these comments as
part of the process of finalizing the 2007 Rural NTD Reporting Manual.
In response to the commenter regarding data collection from
subrecipients, FTA notes that FTA has the statutory authority to
require recipients to gather and report subrecipients' NTD data to FTA
pursuant to 49 U.S.C. 5335. Section 5335(a) states that FTA may request
and receive appropriate information for the NTD from ``any source,''
which includes requesting information from a Nonurbanized Area Formula
Grant subrecipient. Moreover, Section 5335(b) states that FTA ``may
award a grant under section 5307 or 5311 only if the
[[Page 68757]]
applicant, and any person that will receive benefits directly from the
grant, are subject to the reporting and uniform systems.'' A
subrecipient of Section 5311 is a direct beneficiary of the grant and,
as such, is subject to providing information for the NTD to the extent
FTA requires. FTA reminds the commenter that subrecipients must meet a
number of grant requirements before the disbursement of grant money,
and that the NTD reporting is one of these requirements.
FTA recognizes that rural systems may not have sophisticated
technical resources. FTA has limited the information collection to data
that any transit provider should collect for its own internal
management purposes. FTA will train and work with reporters to ensure
data quality, while recognizing that, in some cases, good-faith
estimates may have to suffice.
FTA received three comments expressing concern about the ambiguity
of the reporting requirements for those transit agencies receiving
grants under both Section 5307 and Section 5311, and the burden that
this would have on small transit agencies. One commenter particularly
expressed concern about allocating operating data and safety data
across separate reports for urbanized areas and for rural areas, and
across funding sources. Another commenter asked FTA to specifically
detail how it would prevent double-counting across urbanized area and
rural area NTD submissions. One commenter suggested that FTA should
relieve States from the responsibility of reporting on behalf of
subrecipients that are already reporting directly to the NTD as an
urbanized area reporter.
FTA Response: FTA accepts the suggestion of the commenter to
relieve States from the responsibility of reporting on behalf of
subrecipients that are already reporting directly to the NTD as an
urbanized area reporter. Since the urbanized area reporting
requirements are more extensive than the rural reporting requirements,
all of the data required by the rural NTD reporting requirements can be
captured through the urbanized area NTD reporting requirements. As
such, FTA has amended Sec. 630.4 to specify that States need not
provide reports for those transit agencies that are already providing
reports to the NTD as urbanized area transit agencies. This amendment
to the rule will preclude the need for allocation of data in the rural
reporting, and will eliminate the possibility of double-counting.
FTA understands, however, that as proposed, the rule may have been
unclear as to which entity should submit data to the NTD. As such, FTA
replaced the term ``reporting agency,'' in the proposed rule, with the
term ``reporting entity,'' which FTA defined as a transit agency, a
State Department of Transportation that is a recipient of grants under
49 U.S.C. 5311, or a Federally-recognized Indian Tribe that is a direct
recipient of grants under 49 U.S.C. 5311. FTA also added the definition
of ``State Department of Transportation'' for clarification purposes.
One comment reminded FTA to be cognizant of the efforts of many
rural transportation agencies in following the Executive Order on Human
Service Agency Transportation Coordination, and to not provide
additional barriers in the final rule that undermine those agencies in
making the best use of limited transportation resources.
FTA response: FTA agrees with the second comment, and has taken
coordinated funding sources and human service trips into consideration
in the 2007 Rural NTD Module Reporting Manual. This rule does not
conflict with the Executive Order on Human Service Agency
Transportation Coordination.
One comment expressed the concern that removing the rural area
ridership and revenue data from the previously-combined urbanized and
rural services reporting will negatively affect Section 5307 funding
for grant recipients that currently receive both Section 5307 and
Section 5311 funding.
FTA response: FTA notes that it uses the data submitted to the
Annual NTD Module for the apportionment of Section 5307 funds
(Urbanized Area Formula Grants), and services provided in nonurbanized
areas have never been permitted to be included in the apportionment of
Section 5307 funds. In addition, FTA notes that under the current
Annual NTD Module Reporting Manual (for Urbanized Areas) transit
agencies providing service in urbanized areas subject to the
apportionment of funds based on service data must separate their data
for services provided in urbanized areas from services provided in non-
urbanized areas.
Three commenters asked FTA to use a reporting system similar to the
Management Information System (MIS) used for Drug and Alcohol testing
so that individual subrecipients and their contracted providers can
enter their own data, subject to a review by the State, rather than
requiring the State to collect and enter the data into the NTD. One
commenter asked FTA to implement an automated reporting system that did
not require manual entry.
FTA response: FTA understands some transit agencies and State DOTs
may prefer to have transit agencies enter their data directly. However,
FTA believes State DOT reporting is in the public interest, and reduces
the reporting burden on the smallest rural transit agencies. Therefore,
FTA will continue to require the States to submit subrecipient data, as
developed in consultation with State DOTs and Section 5311 grant
subrecipients. While FTA is neither able to consider using the Volpe
Center's MIS submissions system nor some similar automated reporting
system for direct reporting by subrecipients at this time, FTA may
explore implementing improvements in the reporting software as
financial resources permit.
Two commenters identified a discrepancy between the definitions of
``public transportation'' in the proposed rulemaking and the 2007 Rural
NTD Module Reporting Manual with regard to whether public
transportation includes or excludes intercity bus. In particular, these
commenters note that the proposed rule excludes intercity bus from
public transportation, while the proposed 2007 Rural NTD Module
Reporting Manual includes intercity bus as public transportation. These
commenters ask for clarity and consistency between the two definitions.
One commenter asked FTA to further clarify whether the State or the
intercity bus company is responsible for reporting intercity bus data.
FTA Response: FTA understands that, as proposed, the definition of
``public transportation'' agency presents an apparent conflict with the
definition of public transportation in the proposed 2007 Rural NTD
Module Reporting Manual. FTA revised the proposed definition of
``public transportation agency'' to clarify that a transit agency means
an entity providing public transportation as defined in 49 U.S.C. 5302,
and updated the references to public transportation agency accordingly.
Under 49 U.S.C. 5311, intercity bus projects are identified as a
beneficiary of a certain portion of Section 5311 grants, and 49 U.S.C.
5335 requires that all recipients or beneficiaries of Section 5311
grants be subject to NTD reporting requirements. FTA does not believe
that Congress intended the definition of ``public transportation'' in
49 U.S.C. 5302 to provide States with an exception to NTD reporting for
intercity bus transportation subrecipients. Thus, States should include
information on all beneficiaries of the State's Section 5311 grants,
including intercity bus
[[Page 68758]]
transportation, in the State's NTD report.
(b) Failure to report data.
Four commenters expressed concern that Sec. 630.5 was unduly harsh
in tying Section 5311 funding to compliance with a data collection
program. These commenters argued that providing transit services was
more important than providing data, and expressed concern that
withholding funds from applicants who do not comply with NTD reporting
requirements does not seem reasonable and may not be in the best
interest of the applicant or the State.
FTA Response: Pursuant to 49 U.S.C. 5335(b), FTA may award a grant
under section 5307 or 5311 only if the applicant, and any person that
will receive benefits directly from the grant, are subject to NTD
reporting. As a result, FTA does not have discretion to separate
Section 5311 funding from compliance with NTD reporting.
Four commenters expressed concern that Sec. 630.5 did not provide
FTA with enough discretion in evaluating the compliance of recipients
and direct beneficiaries of Section 5311 grants with NTD reporting, and
that this section mandated automatic ineligibility for Section 5311
funding, even for non-major violations. These commenters recommended
that FTA amend the first sentence of Sec. 630.5 to substitute the word
``may'' for the word ``will'' when discussing ineligibility for future
grants based on a failure to report data to NTD.
FTA Response: FTA understands the basis of the commenters' desire
to amend the first sentence of Sec. 630.5. However, the statute states
that FTA may award a grant under Section 5307 or 5311 ``only if the
applicant and any person that will receive benefits directly from the
grant are subject to the reporting and uniform systems.'' FTA does not
have the discretion to award a grant under section 5307 or 5311 to a
recipient that fails to report the required data to the NTD. Therefore,
FTA did not adopt the commenters' suggestion to use the discretionary
word ``may'' in this section.
One commenter suggested that Sec. 630.5 be amended to require that
the determination of ineligibility be possible only for data reporting
efforts that, ``when viewed as a whole,'' are not in ``substantial
conformance'' with this part. This commenter also argued that reporting
entities should receive ``a written notice from FTA explaining the
reasons why the data submitted, viewed as a whole, are not in
substantial conformance with this part'' and that a reporting entity
should have ``a reasonable opportunity to file amended or additional
data in response to such FTA notice.''
FTA Response: FTA declines to adopt the commenters' suggestion to
amend Sec. 630.5 to require that the determination of ineligibility be
made only for data reporting efforts that, when ``viewed as a whole''
are not in ``substantial conformance'' with 49 CFR part 630. FTA agrees
that reporters should be given an opportunity to remedy deficiencies in
their submissions and has provided this opportunity in a notice
provision set forth in Sec. 630.9 and the waiver provision set forth
in Sec. 630.10.
Five commenters asked if FTA intends to hold the entire State
liable if only one subrecipient does not submit NTD data to the State.
FTA Response: FTA does not intend to hold the entire State liable
if a subrecipient does not submit NTD data to the State. FTA reminds
commenters that pursuant to Circular 9040.1F, ``Nonurbanized Area
Formula Program Guidance and Application Instructions,'' States must
ensure that subrecipients of Section 5311 grants are in compliance with
a number of FTA requirements. Ensuring that a subrecipient supports the
State's ability to comply with NTD reporting would be one of these
requirements. Pursuant to Circular 9040.1F, a State would be required
to withhold the disbursement of funds to a subrecipient that did not
support the State's ability to comply with NTD reporting. By
withholding disbursement of funds to the subrecipient, that
subrecipient would no longer be a direct beneficiary of the State's
Section 5311 grant.
One commenter suggested that FTA amend the proposed part 630 to add
a section that makes it clear that an agency declared ineligible for
funding will be able to file for reinstatement when it: (1) Files data
that sufficiently corrects deficiencies in its prior data submission;
or (2) makes a filing consistent with the Alcohol Program Incentive
Grant Program established by 23 U.S.C. 163(e). Another commenter asked
FTA to clarify how long the subrecipient would be ineligible for
funding once FTA determined ineligibility.
FTA Response: FTA has amended the proposed rule in Sec. 630.5 to
clarify that failure to report data in accordance with this part will
result in the ``noncompliant reporting entity'' being ineligible to
receive any Section 5307 or 5311 Grants until such time as a report is
filed in accordance with this part. This change also clarifies that a
transit agency that fails to report data as a recipient of a Section
5307 grant would also be ineligible to be a beneficiary, as a
subrecipient, of a Section 5311 grant. Pursuant to 49 U.S.C. 5335(b),
FTA may make grants under Section 5311 only if the applicant and any
person that will receive benefits directly from the grant are subject
to the reporting and uniform systems. As a result, the approach
outlined in 23 U.S.C. 163(e), which describes penalties for States that
have not enacted or enforced safety incentives to prevent operation of
motor vehicles by intoxicated persons, cannot be applied to the NTD
program.
Two commenters were concerned that the proposed Sec. 630.5
empowers FTA staff to determine ineligibility for funding if they find
that the data submitted does not meet ``regulatory requirements.''
These commenters suggested that Sec. 630.5 be rewritten to require the
Administrator to declare a reporting entity ineligible for Federal
transit funds for noncompliance with NTD reporting.
FTA Response: FTA does not adopt the suggested revision to Sec.
630.5 to require the Administrator to make a determination of
ineligibility of funding. The FTA Administrator's concurrence, or that
of his or her designee, will be sought prior to an ineligibility
determination being issued.
(c) Late and Incomplete Reports
One commenter asked if FTA intends to require that NTD reports be
accurate and complete. Another commenter argued that ``if there is a
data gap, it should not create a risk of ineligibility if, viewed as a
whole, the agency data submission is in substantial conformance with
the requirements.'' This commenter requested an amendment to permit
agencies to provide good faith estimates.
FTA Response: FTA reminds the commenter requesting clarity
concerning the accurateness and completeness of NTD data that Congress
created the NTD to meet the needs of the Nation for information on
which to base public transportation service planning. As such, data
submitted must be accurate and complete. FTA does not accept the
suggestion to explicitly allow for accepting good-faith estimates.
Section 630.8 already provides for agencies to comply by ``exhausting
all possibilities for obtaining this information.'' Additionally, as
set forth in Sec. 630.10, FTA may grant waivers to reporting entities
on a case-by-case basis when the reporting entity cannot furnish the
data without unreasonable expense and inconvenience. Further, before
taking final action under Sec. Sec. 630.5 and 630.8, FTA will transmit
a written
[[Page 68759]]
request to the reporting entity for it to provide the necessary
information to FTA.
Two commenters suggested that FTA implement a process that provides
new Section 5311 reporters with additional time for compliance. One
commenter suggested the rules regarding timely submission proposed in
Sec. 630.6(a) should provide for (1) an extension of 30 days to be
granted automatically, not as a matter of FTA discretion, and (2)
longer extensions as a matter of FTA discretion for good cause shown.
FTA Response: FTA disagrees that it should provide Section 5311
reporters with additional time to comply with the reporting
requirements. As set forth in 49 U.S.C. 5335, Congress established the
NTD to meet the needs of all levels of government, and the needs of the
public, for public transportation service planning. Public
transportation service planners have consistently advised FTA that
public transportation service planning requires current and complete
data. Thus, late and incomplete reports have negative and severe
impacts on the NTD's ability to fulfill its statutory purpose. FTA will
grant reasonable waivers and extensions as provided in the rule, but
FTA does not agree to institute an automatic waiver, which would
constitute a de facto extension of all reporting deadlines by 30 days.
As proposed, the rule gives reporting entities the opportunity to
remedy deficiencies in their submissions by providing reporting
entities with the opportunity to request a 30-day extension for
submission, and the opportunity to request a waiver as set forth in
Sec. 630.10. However, FTA revised the proposed rule to clarify that a
reporting entity may submit its report on an extended deadline, as
opposed to on the due date prescribed in the reference documents.
(d) Questionable Data Items
FTA received two comments on the proposed Sec. 630.8
``Questionable Data Items.'' These commenters expressed concern that
the proposed Sec. 630.8 provided the possibility of an apportionment
adjustment for the Section 5311 program based on deficiencies in data.
These commenters highlighted that the relevant factors for the Section
5311 grant program apportionments are (1) the non-urbanized area
population, and (2) land area and suggested that FTA amend the proposed
Sec. 630.6 to delete reference to modification of 5311 apportionments.
One commenter asked FTA to clarify how it intends to use the NTD
information for rural programs to gauge how the increased
apportionments affect 5311 recipients when there is no previous data to
analyze.
FTA Response: FTA agrees that the proposed Sec. 630.8
inadvertently provided the possibility of an apportionment adjustment
for the Section 5311 program based on deficiencies in data. FTA notes
that the relevant factors for the Section 5311 grant program
apportionments are (1) the population in nonurbanized areas, and (2)
the land area in nonurbanized areas. Accordingly, FTA revised the
proposed rule to clarify that FTA does not use data from rural transit
agencies in the apportionment of Section 5311 funds. FTA notes that
there are some previous studies of rural transit service to rely upon
for retrospective comparisons. Additionally, FTA notes that this data
collection will provide a consistent time series for rural transit data
forwarding the future.
(e) Notice of FTA Action
FTA received two comments on the proposed Sec. 630.9 ``Notice of
FTA action.'' One commenter noted that FTA should not make adjustments
to any data submitted without speaking or writing directly to the
agency submitting the data. Another commenter expressed concern that
the proposed language, ``request the necessary information,'' is
insufficient notice to a reporting entity. This commenter recommended
that FTA amend the proposed Sec. 630.9 to specify that FTA's notice
must ``explain'' to the agency what information the agency should
provide to FTA.
FTA Response: FTA reminds the first commenter that, as proposed in
Sec. 630.9, FTA transmits a written request to the reporting entity to
provide the necessary information to FTA before it takes final agency
action. In addition, when FTA identifies questionable data items in NTD
submissions, FTA contacts the reporter in writing, and provides the
reporter with an opportunity to either explain or revise the
questionable data item. FTA revised the proposed Sec. 630.7 to clarify
this procedure. FTA believes that the revised language in Sec. 630.7
and FTA's current practice, adequately addresses this commenters
concern. FTA finds the suggested amendment unnecessary.
(f) Waiver of Reporting Requirements
FTA received two comments on the proposed Sec. 630.10 ``Waiver of
Reporting Requirements.'' These commenters suggested that FTA personnel
should have considerable flexibility to grant waivers, extensions or
leniency to transit agencies attempting to comply, particularly in the
initial years of implementation. One commenter suggested that FTA amend
Sec. 630.10 to add the following sentence: ``Waivers of one or more of
the requirements of this part may be granted for good cause shown. Each
waiver will be for a specified period of time.''
FTA response: FTA agrees that it should have flexibility to grant
waivers. However, FTA declines to adopt the amendment as proposed by
the commenter as FTA believes the proposed waiver provision already
provides FTA with considerable flexibility to grant waivers to transit
agencies attempting to comply.
(g) Proposed Appendix A to Part 630
FTA received two comments on the proposed Appendix A to Part 630.
One commenter was unsure whether the auditor statement requirement set
forth in Appendix A, Subsection F(2)(b) applied to all providers of
transit using 5311 funds or only some. This commenter suggested that if
FTA intends to impose such a requirement on only some Section 5311
providers, FTA should clarify this intent. This commenter suggested
that if FTA intended to impose this requirement on all Section 5311
providers, FTA should indicate that FTA will require an audited
statement on a case-by-case basis to avoid unnecessary costs and delays
in filing. In particular, this commenter suggests that FTA reduce the
burden of this requirement by requiring an audited statement for 5311
providers that have 20 or more vehicles in service. Another commenter
suggested that FTA incorporate the CEO certification into the annual
Certifications and Assurances.
FTA response: FTA agrees that the proposed Appendix A to Part 630
caused a great deal of confusion, as it mixed the urbanized area NTD
reporting requirements with the rural NTD reporting requirements, and
duplicated information that is provided in the NTD Reporting Manuals.
In order to ensure that the public has a single, consistent reference
for NTD information, FTA is no longer proposing to include Appendix A
as part of this rule. FTA believes that this change does not have a
substantive effect on the regulated public since the same information
is available in the NTD Reporting Manuals.
(h) Comments on the Proposed 2007 Rural NTD Module Reporting Manual
FTA received three comments on the proposed 2007 Rural NTD Module
Reporting Manual.
Three commenters provided detailed comments on the proposed 2007
Rural
[[Page 68760]]
NTD Module Reporting Manual. Although these comments are outside the
scope of this rulemaking, FTA considered the comments in the process of
finalizing the Rural NTD Reporting Manual.
(i) Additional Technical Revisions
In addition to the revisions discussed above, FTA revised the
proposed rule to update the proposed regulation and make certain
provisions clearer. Such revisions include: (1) Replacing the term
``section 5335 report'' with the term ``NTD submission'', (2)
consistently using the definition of ``reference documents,'' (3)
updating the titles of the NTD Manuals, (4) deleting reference to
``optional report fields,'' (5) specifying that the apportionment in
Sec. 630.11 is the Section 5307 apportionment, (6) combining Sec.
630.4(a) with Sec. 630.4(b), (7) updating the statutory authority, and
(8) changing the title to reflect the commonly-used term ``National
Transit Database.'' Additionally, FTA eliminated Sec. 630.12, as it
was redundant of existing requirements, and FTA removed language in
Sec. 630.4 that specified that FTA would annually mail CDs to
reporters, as updated copies of the reference documents are
electronically available on FTA's NTD Web site. Reporters without
Internet access may continue to request a CD, and reporters without
computer access may request a printed copy. These changes have no
substantive effect on the regulated public. Pursuant to 5 U.S.C.
553(b)(3)(A), such changes are ``interpretative'' in nature and, FTA is
not required to accept or consider comments on them.
Regulatory Process Matters
Executive Order 12866
Executive Order 12866 requires agencies to regulate in the ``most
cost-effective manner,'' to make a ``reasoned determination that the
benefits of the intended regulation justify its costs,'' and to develop
regulations that ``impose the least burden on society.'' This final
rule amends the NTD reporting and recordkeeping requirements to require
recipients of Nonurbanized Area Formula Grants to report annual transit
data to the NTD following previously established guidelines for a
voluntary State-based rural data module developed in consultation with
State Departments of Transportation.
FTA has determined that this action is not a significant regulatory
action under section 3(f) of Executive Order 12866, and that the direct
economic impact of this rulemaking would be minimal. Section 3033 of
SAFETEA-LU amended 49 U.S.C. 5335 to require that recipients and
beneficiaries of Nonurbanized Area Formula Grants report annual transit
data to the NTD. This final rule clarifies existing regulatory
requirements, and the changes adopted do not adversely affect, in any
material way, any sector of the economy. In addition, the final rule
does not interfere with any action taken or planned by another agency
and does not materially alter the budgetary impact of any entitlements,
grants, user fees, or loan programs.
Executive Order 13132
Executive Order 13132 requires agencies to assure meaningful and
timely input by State and local officials in the development of
regulatory policies that may have a substantial, direct effect on the
States, on the relationship between the national government and the
States, or on the distribution of power and responsibilities among the
various levels of government. FTA analyzed the final rule in accordance
with the principles and criteria contained in Executive Order 13132,
and FTA determined that this final rule does not have sufficient
implications to warrant the preparation of a federalism assessment. FTA
also determined that this final rule does not preempt any State law or
State regulation or affect States' abilities to discharge traditional
government functions.
Executive Order 13175
Executive Order 13175 requires agencies to assure meaningful and
timely input from Indian tribal government representatives in the
development of rules that significantly or uniquely affect Indian
communities and that impose ``substantial and direct compliance costs''
on such communities. This final rule requires Indian tribes that are
recipients of Nonurbanized Formula Program Grants to report to the NTD.
In addition, this rule requires Indian tribes that are subrecipients of
Nonurbanized Formula Program Grants to report NTD data to the State.
FTA analyzed this rule under Executive Order 13175, and determined that
the final rule does not have substantial direct effects on one or more
Indian tribes; does not impose substantial direct compliance costs on
Indian tribal governments; and does not preempt tribal laws. Therefore,
a tribal impact statement is not required.
Regulatory Flexibility Act
Under the Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et
seq.), FTA must consider whether a proposed rule would have a
significant economic impact on a substantial number of small entities.
``Small entities'' include small businesses, not-for-profit
organizations that are independently owned and operated and are not
dominant in their fields, and governmental jurisdictions with
populations under 50,000. FTA analyzed this rule under Regulatory
Flexibility Act of 1980 and certifies that this final rule does not
have a significant economic impact on a substantial number of small
entities.
Paperwork Reduction Act
Under the provisions of the Paperwork Reduction Act (44 U.S.C. 3501
et seq.) (Pub. L. 104-13, 109 Stat. 163), FTA may not conduct or
sponsor, and a person is not required to respond to or may not be
penalized for failing to comply with, a collection of information
unless it displays a currently valid Office of Management and Budget
(OMB) control number.
OMB approved an extension of FTA paperwork collection number 2132-
0008. The new expiration date of this collection number is August 31,
2008. On June 27, 2007, FTA sought to add the collection of rural data
under the NTD to this collection number. This rule only has effect to
the extent that the data collection provided for under this rule has
approval under the Paperwork Reduction Act.
Unfunded Mandates Assessment
This rule does not impose unfunded mandates as defined by the
Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4, 109 Stat. 48).
This rule does not result in the expenditure by State, local, and
tribal governments, in the aggregate, or by the private sector, of
$128.1 million or more in any one year (2 U.S.C. 1532). Further, in
compliance with the Unfunded Mandates Reform Act of 1995, FTA evaluated
any regulatory action that might be proposed in subsequent stages of
the proceeding to assess the effects on State, local, and tribal
governments and the private sector.
National Environmental Policy Act
The National Environmental Policy Act of 1969, (42 U.S.C. 4321-
4347), requires Federal agencies to consider the consequences of major
Federal actions and prepare a detailed statement on actions
significantly affecting the quality of the human environment. The rule
does not have any effect on the quality of the environment under the
National Environmental Policy Act of 1969.
[[Page 68761]]
Privacy Act
Anyone is able to search the electronic form for all comments
received into any of our dockets by the name of the individual
submitting the comments (or signing the comment, if submitted on behalf
of an association, business, or labor union). You may review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (65 FR 19477), or you may visit http://dms.dot.gov.
List of Subjects in 49 CFR Part 630
National Transit Database.
0
For the reasons discussed in the preamble, the Federal Transit
Administration revises 49 CFR part 630 as follows:
PART 630--NATIONAL TRANSIT DATABASE
Subpart A--General
Sec.
630.1 Purpose.
630.2 Scope.
630.3 Definitions.
630.4 Requirements.
630.5 Failure to report data.
630.6 Late and incomplete reports.
630.7 Failure to respond to questions.
630.8 Questionable data items.
630.9 Notice of FTA action.
630.10 Waiver of reporting requirements.
630.11 Data adjustments.
Authority: 49 U.S.C. 5307, 5311, 5335, and 49 CFR 1.51.
Sec. 630.1 Purpose.
The purpose of this part is to prescribe requirements and
procedures necessary for compliance with the National Transit Database
Reporting System and Uniform System of Accounts, as mandated by 49
U.S.C. 5335, and to set forth the procedures for addressing a reporting
entity's failure to comply with these requirements.
Sec. 630.2 Scope.
This part applies to all applicants for, and any person that
receives benefits directly from, a grant under 49 U.S.C. 5307 or 5311.
Sec. 630.3 Definitions.
(a) Except as otherwise provided, terms defined in 49 U.S.C. 5302
et seq. apply to this part.
(b) Except as otherwise provided, terms defined in the current
editions of the National Transit Database Reporting Manuals and the NTD
Uniform System of Accounts are used in this part as so defined.
(c) For purposes of this part:
Administrator means the Federal Transit Administrator or the
Administrator's designee.
Applicant means an applicant for assistance under 49 U.S.C. 5307 or
5311.
Assistance means Federal financial assistance for the planning,
acquisition, construction, or operation of public transportation
services.
Beneficiary means any entity that receives benefits from assistance
under 49 U.S.C. 5307 or 5311.
Current edition of the National Transit Database Reporting Manuals
and Uniform System of Accounts means the most recently issued editions
of the reference documents.
Days mean calendar days.
Reference Document(s) means the current editions of the National
Transit Database Reporting Manuals and Uniform System of Accounts.
These documents are subject to periodic revision. Beneficiaries and
applicants are responsible for using the current editions of the
reference documents.
Reporting entity means a transit agency, a State Department of
Transportation that is a recipient of grants under 49 U.S.C. 5311, or a
Federally-recognized Indian Tribe that is a direct recipient of grants
under 49 U.S.C. 5311.
State Department of Transportation means the Department of
Transportation of a State of the United States, the District of
Columbia, Puerto Rico, the Northern Mariana Islands, Guam, American
Samoa, or the U.S. Virgin Islands.
Transit agency means an entity providing public transportation as
defined in 49 U.S.C. 5302.
Sec. 630.4 Requirements.
(a) National Transit Database Reporting System. Each applicant for
and beneficiary of Federal financial assistance under 49 U.S.C. 5307 or
5311 must comply with the applicable requirements of 49 U.S.C. 5335, as
set forth in the reference documents. State Departments of
Transportation shall provide reports on behalf of their subrecipients
of grants under 49 U.S.C. 5311 as specified in the reference documents.
Transit agencies that are beneficiaries of grants under both 49 U.S.C.
5307 and 5311 must file an individual report as an urbanized area
transit agency. Federally-recognized Indian Tribes that are direct
beneficiaries of grants under 49 U.S.C. 5311 must file an individual
report. State Departments of Transportation should not report on behalf
of transit agencies that have filed individual reports as urbanized
area transit agencies nor on behalf of Indian Tribes that are required
to file an individual report.
(b) Copies. Copies of reference documents are available from the
National Transit Database Web site located at http://www.ntdprogram.gov.
These reference documents are subject to periodic
revision. Revisions of reference documents will be posted on the
National Transit Database Web site and a notice of any significant
changes to the reporting requirements specified in these reference
documents will be published in the Federal Register.
Sec. 630.5 Failure to report data.
Failure to report data in accordance with this part will result in
the noncompliant reporting entity being ineligible to receive any
Section 5307 or 5311 grants directly or indirectly until such time as a
report is filed in accordance with this part.
Sec. 630.6 Late and incomplete reports.
(a) Late reports. Each reporting entity shall ensure that FTA
receives its report by the due dates prescribed in the reference
documents. A reporting entity may request a 30 day extension to submit
its report. FTA will treat a failure to submit the required report by
the due date or the extension date as failure to report data under
Sec. 630.5.
(b) Incomplete reports. FTA will treat an NTD submission that does
not contain all of the required data; or does not contain the required
certifications, where applicable; or that is not in substantial
conformance with the definitions, procedures, and format requirements
set out in the reference documents as a failure to report data under
Sec. 630.5, unless the reporting entity has exhausted all
possibilities for obtaining this information.
Sec. 630.7 Failure to respond to questions.
FTA will review each NTD submission to verify the reasonableness of
the data submitted. If any of the data do not appear reasonable, FTA
will notify the reporting entity of this fact in writing, and request
written justification from the reporting entity to either document the
accuracy of the questioned data, or to revise the questioned data with
a more accurate submission. Failure of a reporting entity to make a
good-faith written response to this request will be treated as a
failure to report data under Sec. 630.5.
Sec. 630.8 Questionable data items.
FTA may enter a zero, or adjust any questionable data item(s), in
any reporting entity's NTD submission that is used in computing the
Section 5307 apportionment. These adjustments may be made if any data
appears to be inaccurate, have not been collected and
[[Page 68762]]
reported in accordance with FTA reference documents, or if there is not
adequate documentation and a reliable recordkeeping system.
Sec. 630.9 Notice of FTA action.
Before taking final action under Sec. Sec. 630.5 or 630.8, FTA
will transmit a written request to the reporting entity to provide the
necessary information within a specified reasonable period of time. FTA
will advise the reporting entity of its final decision.
Sec. 630.10 Waiver of reporting requirements.
Waivers of one or more sections of the reporting requirements may
be granted at the discretion of the Administrator on a written showing
that the party seeking the waiver cannot furnish the required data
without unreasonable expense and inconvenience. Each waiver will be for
a specified period of time.
Sec. 630.11 Data adjustments.
Errors in the data used in making the Section 5307 apportionment
may be discovered after any particular year's apportionment is
completed. If so, FTA shall make adjustments to correct these errors in
a subsequent year's apportionment to the extent feasible.
Issued on: November 29, 2007 at Washington, DC.
James S. Simpson,
Administrator.
[FR Doc. E7-23565 Filed 12-5-07; 8:45 am]
BILLING CODE 4910-57-P