Proposed Agency Information Collection Activities; Comment Request

DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket No. FRA-2013-0002-N-19]

Proposed Agency Information Collection Activities; Comment Request

AGENCY:

Federal Railroad Administration (FRA), United States Department of Transportation (USDOT).

ACTION:

Notice.

SUMMARY:

In accordance with the Paperwork Reduction Act of 1995 and its implementing regulations, the Federal Railroad Administration (FRA) hereby announces that it is seeking renewal of the following currently approved information collection activities. Before submitting these information collection requirements for clearance by the Office of Management and Budget (OMB), FRA is soliciting public comment on specific aspects of the activities identified below.

DATES:

Comments must be received no later than November 15, 2013.

ADDRESSES:

Submit written comments on any or all of the following proposed activities by mail to either: Mr. Robert Brogan, Office of Safety, Planning and Evaluation Division, RRS-21, Federal Railroad Administration, 1200 New Jersey Ave. SE., Mail Stop 17, Washington, DC 20590, or Ms. Kimberly Toone, Office of Information Technology, RAD-20, Federal Railroad Administration, 1200 New Jersey Ave. SE., Mail Stop 35, Washington, DC 20590. Commenters requesting FRA to acknowledge receipt of their respective comments must include a self-addressed stamped postcard stating, “Comments on OMB control number ____.” Alternatively, comments may be transmitted via facsimile to (202) 493-6216 or (202) 493-6497, or via email to Mr. Brogan at

Robert.Brogan@dot.gov

, or to Ms. Toone at

Kim.Toone@dot.gov

. Please refer to the assigned OMB control number in any correspondence submitted. FRA will summarize comments received in response to this notice in a subsequent notice and include them in its information collection submission to OMB for approval.

FOR FURTHER INFORMATION CONTACT:

Mr. Robert Brogan, Office of Planning and Evaluation Division, RRS-21, Federal Railroad Administration, 1200 New Jersey Ave. SE., Mail Stop 17, Washington, DC 20590 (telephone: (202) 493-6292) or Ms. Kimberly Toone, Office of Information Technology, RAD-20, Federal Railroad Administration, 1200 New Jersey Ave. SE., Mail Stop 35, Washington, DC 20590 (telephone: (202) 493-6132). (These telephone numbers are not toll-free.)

SUPPLEMENTARY INFORMATION:

The Paperwork Reduction Act of 1995 (PRA), Public Law 104-13, § 2, 109 Stat. 163 (1995) (codified as revised at 44 U.S.C. 3501-3520), and its implementing regulations, 5 CFR Part 1320, require Federal agencies to provide 60-days notice to the public for comment on information collection activities before seeking approval for reinstatement or renewal by OMB. 44 U.S.C. 3506(c)(2)(A); 5 CFR 1320.8(d)(1), 1320.10(e)(1), 1320.12(a). Specifically, FRA invites interested respondents to comment on the following summary of proposed information collection activities regarding (i) whether the information collection activities are necessary for FRA to properly execute its functions, including whether the activities will have practical utility; (ii) the accuracy of FRA's estimates of the burden of the information collection activities, including the validity of the methodology and assumptions used to determine the estimates; (iii) ways for FRA to enhance the quality, utility, and clarity of the information being collected; and (iv) ways for FRA to minimize the burden of information collection activities on the public by automated, electronic, mechanical, or other technological collection techniques or other forms of information technology (

e.g.,

permitting electronic submission of responses).

See

44 U.S.C. 3506(c)(2)(A)(i)-(iv); 5 CFR 1320.8(d)(1)(i)-(iv). FRA believes that soliciting public comment will promote its efforts to reduce the administrative and paperwork burdens associated with the collection of information mandated by Federal regulations. In summary, FRA reasons that comments received will advance three objectives: (i) Reduce reporting burdens; (ii) ensure that it

organizes information collection requirements in a “user friendly” format to improve the use of such information; and (iii) accurately assess the resources expended to retrieve and produce information requested.

See

44 U.S.C. 3501.

Below is a brief summary of currently approved information collection activities that FRA will submit for clearance by OMB as required under the PRA:

Title:

Accident/Incident Reporting and Recordkeeping.

OMB Control Number:

2130-0500.

Abstract:

The collection of information is due to the railroad accident reporting regulations set forth in 49 CFR Part 225 which require railroads to submit monthly reports summarizing collisions, derailments, and certain other accidents/incidents involving damages above a periodically revised dollar threshold, as well as certain injuries to passengers, employees, and other persons on railroad property. Because the reporting requirements and the information needed regarding each category of accident/incident are unique, a different form is used for each category.

Form Number(s):

FRA F 6180.39i; 54; 55; 55A; 56; 57; 78; 81; 97; 98; 99;107; 150.

Affected Public:

Businesses.

Respondent Universe:

763 railroads.

Frequency of Submission:

On occasion.

Reporting Burden

CFR Section

Respondent universe

Total annual responses

Average time per response

Total annual burden hours

225.6—Consolidated Reporting—Request to FRA by Parent Corporation to treat its Commonly Controlled Carriers as a Single Railroad Carrier for Purposes of this Part

763 railroads

4 requests

40 hours

160

—Written Agreement by Parent Corporation with FRA on Specific Subsidiaries Included in Its Railroad System

763 railroads

4 agreements

2 hours

8

—Notification by Parent Corporation Regarding Any Change in the Subsidiaries Making Up Its Railroad System and Amended Written Agreement with FRA

763 railroads

1 notification + 1 amended agreement

60 minutes

2

225.9—Telephone Reports of Certain Accidents/Incidents and Other Events

763 railroads

3,300 phone reports

15 minutes

825

225.11—Reporting of Rail Equipment Accidents/Incidents—Form FRA F 6180.54

763 railroads

3,600 forms

2 hours

7,200

225.12—Rail Equipment Accident/Incident Reports Alleging Human Factor as Cause—Form FRA F 6180.81

763 railroads

1,600 forms

15 minutes

400

—Part I Form FRA F 6180.78 (Notices)

763 railroads

1,000 notices + 4,000 copies

10 minutes + 3 minutes

367

—Joint Operations

763 railroads

100 requests

20 minutes

33

—Late Identification

763 railroads

20 attachments + 20 notices

15 MINUTES

10

—Employee Statement Supplementing Railroad Accident Report (Part II Form FRA 6180.78)

Railroad employees

75 statements

1.5 hours

113

—Employee Confidential Letter

Railroad employees

10 letters

2 hours

20

225.13—Late Reports—RR Discovery of Improperly Omitted Report of Accident/Incident

763 railroads

25 late reports

1 hour

25

—RR Late/Amended Report of Accident/Incident Based on Employee Statement Supplementing RR Accident Report

763 railroads

50 amended reports + 40 copies

1 hour + 3 minutes

52

225.18—RR Narrative Report of Possible Alcohol/Drug Involvement in Accident/Incident

763 railroads

80 reports

30 minutes

40

—Reports Required by Section 219.209(b) Appended to Rail Equipment Accident/Incident Report

763 railroads

5 reports

30 minutes

3

225.19—Rail-Highway Grade Crossing Accident/Incident Report—Form FRA F 6180.57

763 railroads

2,880 forms

2 hours

5,760

—Death, Injury, or Occupational Illness (Form FRA F 6180.55a)

763 railroads

12,638 forms

20 min./50 min

60 min.

4,912

225.21—Railroad Injury and Illness Summary: Form FRA F 6180.55

763 railroads

8,616 forms

10 minutes

1,436

225.21—Annual Railroad Report of Employee Hours and Casualties, By State—Form FRA F 6180.56

763 railroads

763 forms

15 minutes

191

225.21/25—Railroad Employee Injury and/or Illness Record—Form FRA F 6180.98

763 railroads

18,900 forms

60 minutes

18,900

—Copies of Forms to Employees

763 railroads

567 form copies

2 minutes

19

225.21—Initial Rail Equipment Accident/Incident Record—Form FRA F 6180.97

763 railroads

18,200 forms

30 minutes

9,100

—Completion of Form FRA F 6180.97 because of Rail Equipment Involvement

763 railroads

1 form

30 minutes

1

225.21—Alternative Record for Illnesses Claimed to Be Work Related—Form FRA F 6180.107

763 railroads

300 forms

75 minutes

375

225.21—Railroad Accident/Incident Notification and Initial Investigation Report—Form FRA F 6180.39i

763 railroads

1,000 forms

90 minutes

1,500

225.21—Highway User Statement—RR Cover Letter and Form FRA F 6180.150 sent out to Potentially Injured Travelers Involved in a Highway-Rail Grade Crossing Accident/Incident

763 railroads

950 Letters/forms

50 minutes

792

—Form FRA F 6180.150 Completed by Highway User and Sent Back to Railroad

950 Injured Individuals

665 forms

45 minutes

499

225.25(h)—Posting of Monthly Summary

763 railroads

8,616 lists

16 minutes

2,298

225.27—Retention of Records

763 railroads

18,900 records

2 minutes

630

—Record of Form FRA F 6180.107

763 railroads

300 records

2 minutes

10

—Record of Monthly Lists

763 railroads

8,616 records

2 minutes

288

—Record of Form FRA F 6180.97

763 railroads

18,200 records

2 minutes

607

—Record of Employee Human Factor Attachments

763 railroads

2,675 records

2 minutes

89

—RR Electronic Recordkeeping Systems—Changes to Conform to FRA Requirements

18 railroads

18 modified systems

120 hours

2,160

225.33—Internal Control Plans—Amendments

763 railroads

25 amendments

14 hours

350

225.35—Access to Records and Reports

15 railroads

400 lists

20 minutes

133

—Subsequent Years

4 railroads

16 lists

20 minutes

5

225.37—Optical Media Transfer of of Reports, Updates, and Amendments

8 railroads

200 transfers

3 minutes

10

—Electronic Submission of Reports, Updates, and Amendments

763 railroads

2,400 submissions

3 minutes

120

Total Responses:

139,791.

Estimated Total Annual Burden:

59,443 hours.

Status:

Extension of a Currently Approved Collection.

OMB Control Number:

2130-0524.

Abstract:

The Federal Railroad Administration (FRA) amended its radio standards and procedures to promote compliance by making the regulations more flexible; to require wireless communications devices, including radios, for specified classifications of railroad operations and roadway workers; and to re-title this part to reflect its coverage of other means of wireless communications such as cellular telephones, data radio terminals, and other forms of wireless communications to convey emergency and need-to-know information. The new rule establishes safe, uniform procedures covering the use of radio and other wireless communications within the railroad industry.

Form Number(s):

N/A.

Affected Public:

Businesses.

Respondent Universe:

763 railroads.

Frequency of Submission:

On occasion; annually.

Reporting Burden

CFR Section

Respondent

universe

Total annual

responses

Average time per response

Total annual

burden hours

220.8—Waivers Petitions

763 railroads

6 petition letters

60 minutes

6

220.25—Instruction of Employees

763 railroads

91,000 instructed employees

30 minutes

45,500

—Subsequent Years

763 railroads

12,5400 instructed employees

30 minutes

6,270

—Operational Testing of Employees

763 railroads

100,000 tests/record

5 minutes

8,333

220.37—Testing Radio/Wireless Communication Equipment

763 railroads

780,000 tests

30 seconds

6,500

220.61—Transmission of Mandatory Directive

763 railroads

7,200,000 directives

1.5 minutes

180,000

—Marking Man. Dir

763 railroads

624,000 marks

15 seconds

2,600

220.307—Use of RR Supplied Electronic Devices: Amended RR Code

763 railroads

763 amended codes

60 minutes

763

—RR Written Document Stating Authorized Business Purpose for Taking Video/Photo with RR Supplied Electronic Device

763 railroads

50 written documents

60 minutes

50

—Safety Briefing for Use of RR Supplied Electronic Device in Cab of Controlling Locomotive

763 railroads

5,460,000 briefings

1 minute

91,000

220.313—Railroad Written Program of Instruction and Examination on Part 220 Requirements

763 railroads

763 amended written Instruction Programs

60 minutes

763

—Training of RR Employees on Part 220 Requirements

91,000 Employees

91,000 Trained Employees

15 minutes

22,750

—Employee Training Records

91,000 Employees

91,000 records

5 minutes

7,583

—Approval Process: FRA Disapproval of RR Program of Instruction and Examination

763 railroads

6 revised/amended programs

60 minutes

6

Total Responses:

14,451,128.

Estimated Total Annual Burden:

372,124 hours.

Status:

Extension of a Currently Approved Collection.

OMB Control Number:

2130-0557.

Abstract:

The Federal Railroad Administration (FRA) and the Surface Transportation Board (STB), working in conjunction with each other, have issued joint final rules establishing procedures for the development and implementation of safety integration plans (“SIPs” or “plans”) by a Class I railroad proposing to engage in certain specified merger, consolidation, or acquisition of control transactions with another Class I railroad, or a Class II railroad with which it proposes to amalgamate operations. The scope of the transactions covered under the two rules is the same. FRA uses the information collected, notably the required SIPs, to maintain and promote a safe rail environment by ensuring that affected railroads (Class Is and some Class IIs) address critical safety issues unique to the amalgamation of large, complex railroad operations.

Form Number(s):

N/A.

Affected Public:

Railroads.

Respondent Universe:

Class I Railroads.

Frequency of Submission:

On occasion.

CFR Section

Respondent universe

Total annual responses

Average time per response

Total annual burden hours

Total annual burden cost

244.13—Safety Integration Plans:

Amalgamation of Operations—SIP Development & Quarterly Meetings

8 railroads

1 plan

340 hours

340

$24,016

244.17—Procedures

8 railroads

25 reports

40 hours/2 hours

88

5,632

—Responses to FRA Inquiries Re: SIP data

8 railroads

6 responses

8 hours

48

3,072

—Coordination in Implementing Approved SIP

8 railroads

25 phone calls

10 minutes

4

256

hh—Request for Confidential Treatment

8 railroads

1 request

16 hours

16

2,512

244.19—Disposition—Comments on Proposed SIP Amendments

8 railroads

2 reports

16 hours

32

2,048

Total Responses:

60.

Estimated Total Annual Burden:

528 hours.

Status:

Extension of a Currently Approved Collection.

Title:

Confidential Close Call Reporting System Evaluation-Related Interview Data Collection.

OMB Control Number:

2130-0574.

Abstract:

In the U.S. railroad industry, injury rates have been declining over the last 25 years. Indeed, the industry incident rate fell from a high of 12.1 incidents per 100 workers per year in 1978 to 3.66 in 1996. As the number of incidents has decreased, the mix of causes has also changed toward a higher proportion of incidents that can be attributed to human and organizational factors. This combination of trends—decrease in overall rates but increasing proportion of human factors-related incidents—has left safety managers with a need to shift tactics in reducing injuries to even lower rates than they are now.

In recognition of the need for new approaches to improving safety, FRA has instituted the Confidential Close Call Reporting System (C

3

RS). The operating assumption behind C

3

RS is that by assuring confidentiality, employees will report events which, if dealt with, will decrease the likelihood of accidents. C

3

RS, therefore, has both a confidential reporting component, and a problem analysis/solution component. C

3

RS is expected to affect safety in two ways. First, it will lead to problem solving concerning specific safety conditions. Second, it will engender an organizational culture and climate that supports greater awareness of safety and a greater cooperative willingness to improve safety.

If C

3

RS works as intended, it could have an important impact on improving safety and safety culture in the railroad industry. While C

3

RS has been developed and implemented with the participation of FRA, railroad labor, and railroad management, there are legitimate questions about whether it is being implemented in the most beneficial way, and whether it will have its intended effect. Further, even if C

3

RS is successful, it will be necessary to know if it is successful enough to implement on a wide scale. To address these important questions, FRA is implementing a formative evaluation to guide program development, a summative evaluation to assess impact, and a sustainability evaluation to determine how C

3

RS can continue after the test period is over. The evaluation is needed to provide FRA with guidance as to how it can improve the program, and how it might be scaled up throughout the railroad industry.

Program evaluation is an inherently data driven activity. Its basic tenet is that as change is implemented, data can be collected to track the course and consequences of the change. Because of the setting in which C

3

RS is being implemented, that data must come from the railroad employees (labor and management) who may be affected. Critical data include beliefs about safety and issues related to safety, and opinions/observations about the operation of C

3

RS.

The current study is a five-year demonstration project to improve rail safety, and is designed to identify safety issues and propose corrective action based on voluntary reports of close calls submitted to the Bureau of Transportation Statistics. Because of the innovative nature of this program, FRA is implementing an evaluation to determine whether the program is succeeding, how it can be improved and, if successful, what is needed to spread the program throughout the railroad industry. Interviews to evaluate the close call reporting system are being conducted with two groups: (1) Key stakeholders to the process (e.g., FRA officials, industry labor, and carrier management within participating railroads); and (2) Employees in participating railroads who are eligible to submit close call reports to the Confidential Close Call Reporting System. Different questions are addressed to each of these two groups. Interviews are semi-structured, with follow-up questions asked as appropriate depending on the respondent's initial answer.

The confidentiality of the interview data is protected by the Privacy Act of 1974. FRA fully complies with all laws pertaining to confidentiality, including the Privacy Act. Thus, information obtained by or acquired by FRA's contractor, the Volpe Center, from key stakeholders and railroad employees will be used strictly for evaluation purposes. None of the information that might be identifying will be disseminated or disclosed in any way. In addition, the participating railroad sites involved will require Volpe to establish a non-disclosure agreement that prohibits disclosure of company confidential information without the carrier's authorization. Also, the data are protected under the Department of

Transportation regulation Title 49 CFR Part 9, which is in part concerned with the Department involvement in proceedings between private litigants. According to this statute, if information is subpoenaed, Volpe and Volpe contractors cannot “provide testimony or produce any material contained in the files of the Department, or disclose any information or produce any material acquired as part of the performance of that employee's official duties or because of that employee's official duty status” unless authorized by agency counsel after determining that, in legal proceedings between private litigants, such testimony would be in the best interests of the Department or that of the United States Government if disclosed. Finally, the name of those interviewed will not be requested.

Form Number(s):

FRA F 6180.126A; FRA F 6180.126B.

Affected Public:

Railroad Employees and Key Non-railroad Stakeholders.

Respondent Universe:

300 Select Railroad Employees/Non-railroad Stakeholders.

Frequency of Submission:

On occasion.

Collection instrument

Respondent universe

Total annual responses

Average time per response

(minutes)

Total annual burden hours

Form FRA F 6180.126A

300 Individuals

220 forms

60

220

Form FRA F 6180.126B

300 Individuals

60 forms

60

60

Total Responses: 2

80.

Estimated Annual Burden:

280 hours.

Status:

Extension of a Currently Approved Collection.

Pursuant to 44 U.S.C. 3507(a) and 5 CFR 1320.5(b), 1320.8(b)(3)(vi), FRA informs all interested parties that it may not conduct or sponsor, and a respondent is not required to respond to, a collection of information unless it displays a currently valid OMB control number.

Authority:

44 U.S.C. 3501-3520.

Rebecca Pennington,

Chief Financial Officer.

[FR Doc. 2013-22394 Filed 9-13-13; 8:45 am]

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