This section provides an overview of the National Transit Database (NTD) Safety and Security reporting requirements, including the following:
This section provides the legislative basis for the NTD reporting system.
This section summarizes the changes in reporting requirements implemented in calendar year 2008.
This section provides answers to basic reporting questions.
This section presents key definitions as well as reference resources and publications for further detail on issues related to reporting.
The National Transit Database (NTD) is the Federal Transit Administration's (FTA's) primary national database for statistics on the transit industry. Recipients of FTA’s Urbanized Area Formula Program (Section 5307) and Other Than Urbanized Area (Rural) Formula Program (Section 5311) are required by statute to submit data to the NTD. Over 650 transit agencies and authorities file annual reports to FTA through the internet-based reporting system. Each year, NTD performance data are used to apportion over $4 billion of FTA funds to transit agencies in urbanized areas (UZAs). Annual NTD reports are submitted to Congress summarizing transit service and safety data.
The NTD is the system through which FTA collects uniform data needed by the Secretary of Transportation to administer department programs. The data consist of selected financial and operating data that describe public transportation characteristics. The legislative requirement for the NTD is found in Title 49 U.S.C. 5335(a):
SECTION 5335 National transit database
(a) NATIONAL TRANSIT DATABASE — To help meet the needs of individual public transportation systems, the United States Government, State and local governments, and the public for information on which to base public transportation service planning, the Secretary of Transportation shall maintain a reporting system, using uniform categories to accumulate public transportation financial and operating information and using a uniform system of accounts. The reporting and uniform systems shall contain appropriate information to help any level of government make a public sector investment decision. The Secretary may request and receive appropriate information from any source.
(b) REPORTING AND UNIFORM SYSTEMS — The Secretary 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.
The NTD reporting system evolved from the transit industry initiated Project FARE (Uniform Financial Accounting and Reporting Elements). Both the private and public sectors have recognized the importance of timely and accurate data in assessing the continued progress of the nation's public transportation systems.
The NTD data are also used in the formula allocations of Federal transit funds. Prior to the Safe, Accountable, Flexible, and Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), only NTD data for urbanized areas with populations of 200,000 or more were used. With the passage of SAFETEA-LU, NTD data for urbanized areas with fewer than 200,000 population are also used in the allocation of Federal transit funding.
SAFETEA–LU directs that there be a one percent takedown from the funds made available under Section 5307. This takedown amount will be for apportionment under the new Small Transit Intensive Cities (STIC) formula. Under the formula for STIC, funds are apportioned to UZAs with a population less than 200,000 that meet or exceed the average level of service for all UZAs with populations between 200,000 and 1,000,000. Three of the average level of service measurements in the formula allocation rely on passenger mile data. Because transit agencies in these smaller UZAs also depend on the data reported to the NTD for formula funding, following the 2008 mandatory sampling year for all transit agencies, those transit agencies not required to sample annually will be required to sample every three years. There will no longer be a five-year cycle.
SAFETEA–LU also establishes new Growing States and High Density States formula factors (Section 5340) to distribute funds to the section 5307 and section 5311 programs. One-half of the funds are made available under the Growing States factors and are apportioned by a formula based on state population forecasts for 15 years beyond the most recent Census. Amounts apportioned for each state are then distributed between UZAs and nonurbanzied areas based on the ratio of urbanized/nonurbanzied population within each State. The High Density States factors distribute the other half of the funds to states with population densities in excess of 370 persons per square mile. These funds are apportioned only to UZAs within those states.
For more information on SAFETEA-LU, contact your regional administrator or go to www.fta.dot.gov.
In its ongoing efforts to improve upon the NTD Internet Reporting system and to be responsive to the needs of the transit agencies reporting to NTD and the transit community, FTA continues to refine and clarify reporting requirements and Internet Reporting.
Reporting changes for the 2008 NTD are highlighted below. Specific changes are discussed in detail in the applicable sections of this manual.
The following exhibit describes changes by reporting module and form.
Exhibit 1 — Calendar Year 2008 Safety and Security Reporting Changes and Highlights |
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Reporting requirements – Two changes: 1. The reporting requirements for operators of purchased transportation (PT) service have been clarified (see Who Reports section for details). 2. The definition of a fatality has changed. Forms available from the Safety and Security tab – One change: 1. Safety and Security Chief Executive Officer Certification form (S&S-20). Safety and Security Setup form (S&S-10) — One change 1. When adding or deleting a mode / type of service (TOS), the “New Service Start Date” and “Out of Service Date” are now chosen by month from the drop down box provided. Security Configuration form (S&S-30) — One change: 1. Security Configuration form (S&S-30) must be submitted before any reporting can occur. Major Incident Report form (S&S-40) — Five changes: 1. Major Incident is now referred to as a Reportable Incident. 2. Reporting thresholds for a reportable incident now include injuries for one person and suicides. 3. Hazardous Material Spill and Acts of God have been added as reportable incidents. 4. New reporting format for the Reportable Incident Report form (S&S-40). Non-Major Summary Report form (S&S-50) — Four changes: 1. Non-Major Incident is now referred to as a Safety and Security Monthly Summary Incident. 2. New reporting thresholds for the Safety and Security Monthly Summary Report form (S&S-50). 3. Other Safety Occurrences not Otherwise Classified and Fires, which do not meet the reporting thresholds for Reportable Incidents are reported on Safety and Security Monthly Summary Report form (S&S-50). 4. New reporting format for the Safety and Security Monthly Summary Report form (S&S-50). |
Transit agencies that are required to submit a full NTD report are required to file Safety and Security reports.
Private carriers operating purchased transportation (PT) services that provide public transportation services under contract to recipients or beneficiaries of Urbanized Area Formula Program (UAF) funds must report data to the public transit agency for inclusion in the public transit agency's NTD Annual report. These private providers must supply the purchased transportation data to the buyer for inclusion in the buyer’s report and will no longer submit a separate NTD Annual report for that data. The data pertain only to the services under contract. This applies to almost all private providers.
Contractual agreements between public NTD reporting agencies for purchased transportation (PT) services can either be reported by the seller or buyer of service as directly operated (DO) service. Therefore, when a public agency is the buyer of service and is reporting purchased transportation (PT) service on behalf of the pubic agency which is selling service, the seller must supply the data to the buyer so that it is reported in the buyer’s report as directly operated (DO) service. Additionally, when the seller is reporting the service in their report, the purchased transportation (PT) services are reported as directly operated (DO) service.
Transit agencies with nine or fewer vehicles in annual maximum service (VOMS) that operate only non-fixed guideway (NFG) systems are not required to file Safety and Security reports.
Voluntary NTD reporters are those transit agencies, public or private, that are not recipients or beneficiaries of Urbanized Area Formula Program grants. See the Nine or Fewer Vehicles Waiver section above for more information regarding waivers that may impact safety and security reporting.
Public carriers that do not use or do not have continuing requirements of Urbanized Area Formula Program funds may voluntarily submit a complete NTD report.
Private carriers that are not under contract to an Urbanized Area Formula Program funds recipient or beneficiary may voluntarily submit a complete NTD report.
FTA encourages all public and private providers of mass transportation services to voluntary report their services to the NTD program. Through the submission of complete and accurate reports, the NTD will be more reflective of the entire transit industry. Voluntary reporters that choose to report a full NTD Report are required to complete safety and security (if applicable) reports.
The NTD safety and security report consists of a series of forms that provide a summary of transit-related safety and security incidents for the calendar year. For purchased transportation (PT) service, the report must contain data only for those services under contract. Transit agencies with an approved Nine or Fewer Vehicles Waiver are not required to complete Safety and Security forms. The following exhibit presents a summary of NTD safety and security reporting requirements.
Exhibit 2 — Summary of NTD Safety and Security Reporting Requirements |
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Requirement Who Reports NTD Safety and Security Report Safety and Security Setup form (S&S-10) All reporters Chief Executive Officer Certification form (S&S-20) All reporters Security Configuration form (S&S-30) All reporters Reportable Incident Report form(S&S-40) All reporters Safety and Security Monthly Summary Report form (S&S-50) (safety elements) All reporters except commuter rail (CR) Safety and Security Monthly Summary Report form (S&S-50) (security elements) All reporters |
For commuter rail (CR) service, only security information is reported, since safety incidents relating to commuter rail (CR) service are already reported to the Federal Railroad Administration.
Transit agencies that serve only urbanized areas (UZAs) with populations less than 200,000 are now required to complete the Security Configuration form (S&S-30), the security portion of the Reportable Incident Report form (S&S-40) and the Safety and Security Monthly Summary Report form (S&S-50).
A Safety and Security Chief Executive Officer Certification form (S&S-20) is required to be submitted by the chief executive officer by February 28, 2009. The CEO certification certifies and attests to the accuracy of the safety and security data submitted to the NTD.
Unlike the NTD Annual and Rural reports, which cover 12-month fiscal year periods, the data in the NTD Safety and Security report covers a 12-month period corresponding to the calendar year.
This section describes the following:
· Internet reporting
· Purchased transportation (PT).
Required forms, waivers and declarations are completed using Internet Reporting which is accessible from the NTD website at www.ntdprogram.gov. Completing the Safety and Security Setup form (S&S-10) and the Security Configuration form (S&S- 30) at the beginning of the calendar year automatically generates the required Safety and Security links and forms for your transit agency.
This manual contains all information necessary to complete the NTD safety and security report using Internet Reporting. See the Internet Reporting section of this manual for specifics. FTA will provide Internet Reporting user names and passwords to transit agencies.
Purchased transportation (PT) service is service provided to a public transit agency or governmental unit from a public or private transportation provider based on a written contract. A contractual relationship exists only if all the following criteria are met:
· The seller is obligated in advance of the time the service is furnished to provide the operations for which the operating statistics are being reported for a specific monetary consideration.
· A written agreement exists that specifies the contractual relationship for the time period and the specific service generating the operating statistics included in the NTD report.
· The written agreement is signed by authorized representatives of both the buyer and the seller, and should detail the services to be provided, and the nature and amount of the monetary consideration.
Granting a transportation provider permission to operate certain services through a franchise or license does not, in itself, constitute purchased transportation (PT). Also, management services contracts, in which all or some personnel or services are provided to manage or operate the transit agency, are not purchased transportation (PT).
Cooperative agreements between public transit agencies or governmental units should not be reported as purchased transportation (PT) services.
Reporting deadlines are implemented for the following:
· The NTD Safety and Security report
· The Safety and Security Chief Executive Officer Certification form (S&S-20).
Transit agencies must submit safety and security data within 30 days of a reportable incident using the Reportable Incident Report form (S&S-40), or monthly, when completing the Safety and Security Monthly Summary Report form (S&S-50) by clicking on the File New Report link.
The following exhibit presents the timeline for submitting Safety and Security data to the NTD.
Exhibit 3 — NTD Safety and Security Reporting Timeline |
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Reportable Incident Reporting Reportable incidents should be filed no later then 30 days after the date of the incident. Safety and Security Monthly Summary Incident Reporting Month Due Date Month Due Date January February 29 July August 31 February March 31 August September 30 March April 30 September October 31 April May 31 October November 30 May June 30 November December 31 June July 31 December January 31 of following year |
Each transit agency is required to submit a Safety and Security Chief Executive Officer Certification form (S&S-20) each calendar year for its Safety and Security report. The certification is a form, approved by the transit agency’s CEO, that certifies and attests to the accuracy of the Safety and Security data submitted for the current calendar year’s reports. Safety and security data are not subject to the independent auditor review; however, the Chief Executive Officer Certification form (S&S-20) is required by February 28, of each calendar year.
Transit agencies must submit their reports via the Internet Reporting system.
All transit agency Safety and Security Reportable Incident Report forms (S&S-40) must be submitted within thirty days of the incident. Safety and Security Monthly Summary Report form (S&S-50) must be submitted monthly. The deadline for submitting Safety and Security data for calendar year 2008 is January 31. The Safety and Security database closes on February 28, 2009. For revision after this date, contact your NTD Safety and Security analyst.
Exhibit 4 — Reporting Thresholds for Safety and Security Incidents |
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Reportable Incident Report (Safety or Security) form (S&S-40) Existence of one or more of the following conditions: · A fatality due to an incident – includes suicides, but does not include deaths by natural causes, or deaths not associated with an incident, and / or · Injuries requiring immediate medical attention away from the scene for one or more persons (excluding Other Safety Occurrences not Otherwise Classified), and / or · Property damage equal to or exceeding $25,000, and/or · An evacuation due to life safety reasons. Incidents include: · A collision · A mainline derailment (not involving a collision) · A fire · A hazardous material spill · Acts of God · Security events: · Terrorism related events: · Bomb threat · Bombing · Chemical / biological / radiological / nuclear release · Other system security events: · Arson · Sabotage · Hijacking · Cyber security event · Other personal events · Aggravated assault · Rape · Suicide · Attempted suicide · Vandalism Robbery · Burglary · Motor vehicle theft · Larceny / theft · Homicide |
Safety and Security Monthly Summary Report form (Security) (S&S-50) Occurrences and / or arrests / citations that do not meet the requirements of Reportable Incidents: Occurrences of: · Fires · Robbery (confrontational theft) · Larceny (non-confrontational theft) · Burglary · Motor vehicle theft · Other Safety Occurrences not Otherwise Classified (injuries) Arrest / Citation for: · Other (non-aggravated) assaults · Fare Evasion · Trespassing · Vandalism · Non-violent civil disturbance
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NTD requires transit agencies to submit complete reports according to the due date schedule. Failure to report results by not submitting a report, submitting a late report or submitting an incomplete report and may result in your transit agency's data not being included in the NTD. Furthermore, FTA may declare your transit agency ineligible to receive any Urbanized Area Formula Program funds during an entire Federal fiscal year. This ineligibility applies to all transit agencies, regardless of the size of the urbanized area (UZA) served.
A report is considered late if it is not submitted by the due date.
A report is incomplete if it does not contain all the required reporting forms and data or is not in conformance with the NTD requirements.
Transit agencies submit NTD reports and the Chief Executive Officer (CEO) certification via Internet Reporting at www.ntdprogram.gov.
FTA assigns an NTD analyst to each transit agency to assist reporters with their Safety and Security report throughout the year. Please feel free to contact your NTD analyst if there are any questions, or if FTA can do anything to assist you in reporting Safety and Security data.
Exhibit 5 — NTD Contact Information |
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Mailing Address You can write to the FTA NTD Project Office at the following address: Federal Transit Administration Please use the U.S. Postal Service for deliveries to this P.O. Box. |
Telephone Your NTD analyst and other NTD staff can be contacted by telephone on weekdays. For telephone information and assistance, call the FTA NTD Project Office at: (703) 462-5200 The FTA NTD Project Office is open from 7:00 am to 6:00 pm (Eastern Time). If your NTD analyst is unavailable, you may use the voice-mail system and your call will be returned, or you may forward your call to another NTD analyst. |
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Express Delivery Address Express deliveries can be made to the following address: Federal Transit Administration |
You can contact your Safety and Security analyst by using the e-mail address located on the Transit Agency Home tab at: www.ntdprogram.gov Or contact your analyst for individual e-mail addresses. |
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Fax The FTA NTD Project Office also maintains a 24-hour FAX service. You may FAX correspondence to the FTA NTD Project Office at: 703.462.5219 An original of all faxed documents must also be mailed to the FTA NTD Project Office. |
Internet Finally, the FTA NTD Project Office manages a website at the following address: www.ntdprogram.gov NTD publications and reference documents are available on the FTA NTD website. |
This section contains two items necessary to understanding NTD reporting:
1. Transit terminology and parameters
2. Reference documents.
Reporting data for the NTD requires an understanding of the following transit concepts and terms:
· Public transportation
· Mode
· Type of service (TOS).
Each of these terms is described in further detail in the sections that follow.
The definition of public transportation is important because the purpose of the NTD is to collect information on public transportation. As defined in the Federal Transit Act, public transportation means transportation by bus (MB) or rail, or other conveyance, either publicly or privately owned, providing to the public general or special service (but not including school buses or charter or sightseeing service) on a regular and continuing basis. Public transportation is also synonymous with the terms mass transportation and transit.
Public availability is a key part of the definition. Services defined as public transportation are available to any person who pays a prescribed fare and meets other availability requirements, such as the Americans with Disabilities Act of 1990 (ADA). Charter and school bus services are not considered public transportation because they serve specific groups of people and cannot be used by people not belonging to these groups. Service must be open to the general public, not only to specific categorical groups, such as school children.
NTD reporting is a requirement for recipients and beneficiaries of Section 5307 Urbanized Area Formula Program (UAF) and Section 5311 Other Than Urbanized Area Formula Program of the Federal Transit Act (see the NTD Rural Reporting Manual for Section 5311 requirements). Under the Urbanized Area Formula Program (UAF), the term public transportation usually applies to area-wide services primarily within an urbanized area (UZA). Since Congress uses NTD performance data in statutory formulae to apportion FTA funding to UZAs, the NTD can only contain public transportation or transit data. Transportation service that is not public transportation service should not be reported to the NTD. Public transportation is predominantly commuter service. For the purposes of the NTD, a commuter is a transit rider that travels back and forth during the same day primarily within a UZA. Intercity bus services are excluded under the Urbanized Area Formula Program (UAF). However, some commuter rail and ferryboat intercity services are permitted, if a person travels and returns on the same day. (Refer to the Basic Information module, Identification form (B-10) for NTD modal definitions and requirements).
For NTD reporting, FTA reserves the right to evaluate transit services as public transportation by requiring a written description of the transit services including availability and public notification of the availability of service, compliance with Americans with Disabilities Act of 1990 (ADA) requirements, service area maps, schedules and public timetables, and other materials as necessary. In the case of new modes or significant expansion of transit services, FTA reserves the right to request passenger surveys.
A variety of transit modes are operated in the United States. The NTD reporting system groups transit modes into two broad categories — rail modes and non-rail modes — as follows:
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Rail |
Non-Rail |
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Alaska railroad (AR) Automated guideway (AG) Cable car (CC) Commuter rail (CR) Heavy rail (HR) Inclined plane (IP) Light rail (LR) Monorail (MO) |
Aerial tramway (TR) Bus (MB) Demand response (DR) Ferryboat (FB) Jitney (JT) Publico (PB) Trolleybus (TB) Vanpool (VP) Other (OR) |
Public transportation can be provided in two ways:
1. Directly operated (DO) service, in which the NTD reporting agency, usually the public transit agency, uses its own employees to operate the transit vehicles and provide the transit service.
2. Purchased transportation (PT) in which the NTD reporting agency, usually the public transit agency, contracts with a public or private provider to operate the transit vehicles, employs the operators, and provide the transit service.
Type of service (TOS) is an important element of NTD reporting. On most reporting forms, transit agencies are required to report data by type of service (TOS).
You can obtain reference documents listed in the exhibit below, by visiting the NTD Project website at www.ntdprogram.gov or calling the NTD Project Office at (703) 462-5200.
The following exhibit provides a list of other documents necessary for NTD reporting.