Railroad Accident Reporting; Proposed Rule DEPARTMENT OF TRANSPORTATION

SUMMARY: FRA proposes to amend the railroad accident reporting rules in

several ways. First, FRA would require railroads to adopt internal

control procedures to ensure accurate reporting of accidents,

casualties, and highway-rail grade crossing accidents. Second, FRA

would allow railroads to submit and update accident, casualty, and

highway-rail accident reports through transfer of information on

computer diskettes or magnetic tapes. Third, FRA would revise the

accident and injury reporting forms, including definitions. Fourth, FRA

would revise injury and illness, as well as derailment and collision,

recordkeeping requirements. Finally, FRA would revise the method by

which it will determine and periodically adjust the accident reporting

threshold.

DATES: (1) Written Comments: Written comments must be received on or

before November 17, 1994. Comments received after that date will be

considered to the extent possible without incurring additional expense

or delay.

(2) Public Hearings: A series of public hearings on this proposal

will be held on the dates and at the locations listed below to provide

interested parties the opportunity to comment on specific issues

addressed in the NPRM. Anyone who desires to make an oral statement at

one of the hearings must notify the Docket Clerk by telephone or mail

at least five working days prior to the date of the hearing and must

submit three copies of the oral statement no later than the comment

closing date announced in the notice.

ADDRESSES: (1) Written Comments. Written comments should identify the

docket number and the notice number and must be submitted in triplicate

to the Docket Clerk, Office of Chief Counsel, Federal Railroad

Administration, 400 Seventh Street, S.W., room 8201, Washington, D.C.

20590. Persons desiring to be notified that their written comments have

been received by FRA should submit a stamped, self-addressed postcard

with their comments. The Docket Clerk will indicate on the postcard the

date on which the comments were received and will return the card to

the addressee. Written comments will be available for examination, both

before and after the closing date for comments, during regular business

hours in room 8201 of the Nassif Building at the above address.

(2) Public Hearings. Hearings to discuss issues raised in the NPRM

will be held at these locations on the following dates:

(a) Washington, D.C. on Wednesday, October 5 and Thursday, October

6, 1994.

Location: Department of Transportation, Nassif Building, room 2230,

400 Seventh Street, S.W., Washington, D.C.

Time: 9:30 a.m.-4:00 p.m.

(b) Kansas City, Missouri on Wednesday, October 19, 1994.

Location: U.S. District Court House, room 829, 811 Grand Avenue,

Kansas City, Missouri.

Time: 9:30 a.m.-4:00 p.m.

(c) Old Sacramento, California on Thursday, November 3, 1994.

Location: Delta King Hotel, Delta King Theater, 1000 Front Street,

Old Sacramento, California.

Time: 9:30 a.m.-4:00 p.m.

Persons desiring to make oral statements at the hearings should

notify the Docket Clerk by telephone (202-366-0635) or by writing to:

Docket Clerk, Office of Chief Counsel, Federal Railroad Administration,

400 Seventh Street SW., room 8201, Washington, D.C. 20590.

FOR FURTHER INFORMATION CONTACT: Robert Finkelstein, Chief, Systems

Support Division, Office of Safety Analysis, Office of Safety, FRA, 400

Seventh Street, S.W., Washington, D.C. 20590 (telephone 202-366-2760);

Marina C. Appleton, Trial Attorney, Office of Chief Counsel, FRA, 400

Seventh Street, S.W., Washington, D.C. 20590 (telephone 202-366-0628);

or Jesus Clemente, Trial Attorney, Office of Chief Counsel, FRA, 400

Seventh Street SW., Washington, D.C. 20590 (telephone 202-366-0628).

SUPPLEMENTARY INFORMATION:

Background

A. Purpose and Structure of the Accident Reporting Regulations

FRA's primary function is to promote safety within the railroad

industry. To carry out its safety mission, FRA needs information about

the conditions of the nation's railroads to enforce safety regulations

and to develop railroad injury and accident prevention programs. The

injury and accident reports submitted by the railroads form a principal

basis for FRA's railroad safety program. FRA uses injury and accident

data for, among other things, establishing its inspection strategy,

determining comparative trends of railroad safety, and calculating the

costs and benefits of proposed safety rules. Because FRA uses the data

in all aspects of its operations, it is important that the data it

receives be as accurate and consistent as possible.

The railroad accident reporting regulations set forth in 49 CFR

part 225 require railroads to submit monthly reports to FRA 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. The regulations presently define an ``accident/

incident'' in Sec. 225.5(b) as:

(1) Any impact between railroad on-track equipment and an

automobile, bus, truck, motorcycle, bicycle, farm vehicle or pedestrian

at a rail-highway grade crossing;

(2) Any collision, derailment, fire, explosion, act of God, or

other event involving operation of railroad on-track equipment

(standing or moving) that results in more than $6,300 in damages to

railroad on-track equipment, signals, track, track structures, and

roadbed;

(3) Any event arising from the operation of a railroad which

results in:

(i) Death of one or more persons;

(ii) Injury to one or more persons, other than railroad employees,

that requires medical treatment;

(iii) Injury to one or more employees that requires medical

treatment or results in restriction of work or motion for one or more

days, one or more lost work days, transfer to another job, termination

of employment, or loss of consciousness; or

(iv) Occupational illness of a railroad employee as diagnosed by a

physician.

Section 225.19 of the regulations presently divides railroad

accidents/incidents into three categories: (1) highway-rail grade

crossing accidents/incidents; (2) rail equipment accidents/incidents;

and (3) death, injury, or occupational illness accidents/incidents.

Every railroad accident/incident meeting the stated criteria for

each category must be reported to FRA. 49 CFR 225.11. Because the

reporting requirements and the information needed regarding each

category of accident/incident are unique, a different reporting form is

used for each category. If the circumstances of an accident/incident

are such that it falls within two or even all three categories, then a

separate reporting form for each category must be completed by the

railroad. For example, if a highway-rail grade crossing accident

involves damage to rail equipment over the current reporting threshold

of $6,300, then both a ``Rail-Highway Grade Crossing Accident/Incident

Report'' (Form FRA F 6180.57) and a ``Rail Equipment Accident/Incident

Report'' (Form FRA F 6180.54) must be completed by the reporting

railroad. (In order to conform to the grade crossing signal system

safety regulations in part 234, the term ``rail-highway'' will be

changed to read ``highway-rail'' throughout part 225. This NPRM will

hereinafter refer to ``highway-rail'' grade crossings.) Further, if

injuries are associated with the crossing accident, then the monthly

``Railroad Injury and Illness Summary (Continuation Sheet)'' (Form FRA

F 6180.55a) must also be completed.

B. General Accounting Office Study on Accident Reporting to FRA

Increasingly concerned with railroad safety, Congress asked the

General Accounting Office (GAO) to determine whether FRA's safety

programs were adequate to protect railroad employees and the general

public from injuries associated with train accidents. GAO studied FRA's

railroad injury and accident reporting data and issued a report (GAO/

RCED-89-109) that raised important questions about the quality of

railroad compliance with FRA's accident reporting regulations. GAO

found that there was underreporting and inaccurate reporting of injury

and accident data for 1987 by the railroads it audited.

GAO recommended that FRA (a) Require railroads to establish injury

and accident reporting internal control procedures, (b) include an

analysis of railroads' internal control procedures for reporting in

FRA's safety records inspections, (c) provide inspectors with the

authority to take enforcement actions against railroads with deficient

internal control procedures, (d) require railroads to update reports on

workdays lost due to injuries, and (e) clarify FRA's requirement for

railroads to update accident reports when significant changes occur.

FRA's subsequent analysis of the findings from the 1989 GAO

accident and injury reporting audit indicated that most of the missing

accident reports were ``fender benders'' and that the unreported

injuries were minor. Nonetheless, the accuracy of FRA's safety

databases are of paramount importance, and FRA took several actions to

improve railroads' accident and injury reporting.

C. Advance Notice of Proposed Rulemaking on Accident Reporting

On March 14, 1990, FRA published an advance notice of proposed

rulemaking (ANPRM) soliciting comments and suggestions from the public

regarding methods of improving FRA's injury and accident reporting

system and its governing regulations (55 FR 9469). Interested parties

were invited to participate in a public hearing held on May 17, 1990,

and to file written comments prior to May 25, 1990. The responses to

that public notice provided additional information and identified

further issues and subissues related to the matters in the ANPRM. In

order to further explore matters related to the accident/incident

reporting system, FRA held informal, open meetings on June 13, 1991,

August 22, 1991, and August 18, 1992, in Washington, D.C., with members

of the Association of American Railroads (AAR) Committee for Uniformity

in Reporting. At the request of rail labor representatives, FRA also

held an informal, open meeting on October 21, 1991, in Washington,

D.C., to discuss the same issues with representatives of various rail

unions.

Discussion of Comments and Section Analysis

In addition to testimony from five organizations at the May 17,

1990 hearing, FRA received comments in response to the ANPRM from over

15 parties including several railroads, railroad unions, railroad trade

associations, as well as two States. Discussions follow with respect to

the primary issues addressed by the commenters.

A. Internal Control Procedures (Proposed Sec. 225.33)

As discussed above, GAO concluded that erroneous injury and

accident reporting occurred primarily because the railroads it studied

lacked adequate internal procedures for properly classifying and

reporting the events. GAO believed that under a system of self-

reporting such as the one FRA uses to obtain railroad safety data,

internal control procedures would be necessary to ensure that reliable

and accurate data is obtained, maintained, and disclosed by the

railroads. GAO recommended that FRA mandate such internal control

procedures, periodically review them, and then use its enforcement

authority to cite railroads for procedural deficiencies when inaccurate

reporting is found and the cause can be attributed to internal control

weakness.

Of the five railroads GAO visited, the Chicago and North Western

Transportation Company (``CNW'') was found to have the most effective

internal control procedures for updating injury and accident

information prior to reporting to FRA. CNW's procedures involved

extensive communication between its safety office, which reports

accident information to FRA, and other departments within the railroad.

CNW also centralized its reporting responsibilities and updated injury

and accident information before reporting to FRA. Specifically, (a)

CNW's safety office and claim office met once a month to compare lists

of injuries; (b) CNW used a ``15-day'' report (this report accurately

disclosed the severity of each injury) to update the status of each

injury before reporting it to FRA; (c) for train accidents, initial

field estimates of property damage were compared with repair shop

estimates before submitting a report to FRA; and (d) CNW required a

final accident report to its safety office within 20 days following the

accident to allow for further updating of information on the accident/

incident report and the identification of additional reportable events

prior to filing a report with FRA.

In the ANPRM, comments were solicited as to whether FRA should

require railroads to implement specific internal control procedures to

assure proper reporting or simply establish strict performance

standards and hold railroads accountable for accuracy of the submitted

data.

Comments

Most commenters did not support mandated internal control

procedures, primarily because each railroad is different

organizationally. Since internal control procedures would be adapted to

the organizational structures of individual railroads, most commenters

felt it would be unreasonable to prescribe a rigid set of rules

governing the audit function for universal application. Instead, it was

proposed that each railroad submit their own internal control

procedures to FRA for review and subsequent approval. FRA would then

have the ability to audit the railroad based upon the railroad's own

operating plan.

One labor association suggested that internal control procedures

that ensure accurate information should be mandated by FRA. It was

proposed that this could be accomplished by requiring the railroads to

update all initial information within a certain time period; i.e.,

after filing the initial monthly report, the railroad would be required

to supplement any and all changes that existed at the time of filing

the initial report within a specified time frame. It was also

recommended that railroads should file an annual report that would

supplement each monthly report and that the railroads' reporting

information be crosschecked with accident data obtained from the

Railroad Retirement Board and the Travelers Insurance Company.

One railroad association recommended that, if adopted, internal

control procedures should apply initially to only the larger railroads

(Class I railroads). It was further suggested that regulations crafted

particularly for smaller railroads should be adopted in order to reduce

the inequities that such railroads seemingly confront when implementing

safety regulations in general.

One railroad opined that FRA should require railroads to implement

some specific internal control procedures, i.e., reporting data should

be validated by at least one other internal railroad department source.

As an alternative to specific, prescribed procedures, it was

recommended that railroads develop and file an ``action plan''

describing how the railroad would validate its data with another

impartial internal source.

Most commenters did not support GAO's recommendation for civil

penalties for inaccurate reporting due to internal control weakness. A

few stated that civil penalties should be assessed only for violations

that are recurring, willful, or grossly negligent.

Section Analysis and FRA Conclusions (Proposed Sec. 225.33)

FRA's Operating Practices inspectors have significantly increased

the amount of time spent reviewing railroad accident reporting records.

The internal control procedures of all the large railroads and a

sampling of the small railroads have been reviewed and analyzed by

these inspectors and the results compared with GAO's earlier findings.

FRA found that these railroads have generally improved their internal

control procedures and their accident/incident reporting.

FRA's recent review of the accident/incident reporting procedures

of all of the major railroads and a large number of smaller railroads

supports the GAO findings that errors in reporting resulted principally

from the railroads' lack of internal control procedures. Railroads with

specific internal control procedures in place had far more accurate

reporting records. FRA also found that most non-reporting or inaccurate

reporting was due to a communication breakdown between the claims

department, which maintained medical records, and the other railroad

departments, e.g., operating, mechanical, and maintenance-of-way.

FRA therefore proposes, in new Sec. 225.33(a), that each railroad

must prepare and maintain an Internal Control Plan, that requires

institution of proper internal control procedures for reporting. Such a

Plan would ensure the reconciliation and incorporation of accident/

incident and injury/illness data from the various departments within

the railroad for submission to the railroad reporting officer. The

reporting office must have access to all pertinent claims records,

including medical records and payroll records. Further, the reporting

office must be notified by claims and medical departments of each new

case/claim opened by a railroad worker. Identification of offices and

responsible railroad officers would also aid FRA in identification of

procedural weaknesses in reporting.

FRA believes that requiring railroads to establish an Internal

Control Plan for reporting would ensure more accurate injury and

accident reporting. Once in place, FRA inspections would focus on the

procedures the railroads use to report injuries and accidents. This

periodical review of the Plan by FRA would detect procedural

deficiencies and would enable the railroad to correct any identified

problems. Thus, new Sec. 225.33(b) proposes that each railroad not only

have an Internal Control Plan, but also that all reasonable effort is

made to adhere to that Plan. If FRA should find the railroad to be in

noncompliance, FRA may cite that railroad for violating procedural

requirements and require the railroad to correct the procedural

weakness.

Additionally, this NPRM proposes, in new Sec. 225.41, that the

Internal Control Plan shall, upon request, be made available to any FRA

or State safety inspector for examination and photocopying in a

reasonable manner during normal business hours. Proposed Sec. 225.41 is

discussed in greater detail in this NPRM under the heading

``Miscellaneous Amendments.''

B. Computer Magnetic Media Transfer (Proposed Sec. 225.37)

In order to resolve the discrepancies between the annual report for

lost workdays and the monthly submission of lost workdays, FRA began in

January 1990 to allow the railroads to update their portion of the

accident and casualty database using magnetic media. In this NPRM, the

term ``magnetic media'' means computer diskettes and magnetic tapes.

Currently, railroads are allowed to update certain fields on existing

records (``Days Lost,'' ``Restricted Days,'' ``Cause Code,'' ``Alcohol

and Drug Code,'' ``Damages,'' ``Total Injuries,'' and ``Total

Killed''). New submissions must be submitted on existing paper forms as

existing provisions of part 225 do not allow transfer of data by means

of magnetic media as an alternative means of compliance. Updating the

information via a magnetic medium remained voluntary on the part of the

railroad, and this procedure, along with paper form updates, has

improved the overall accuracy of information submitted monthly

particularly with respect to the number of lost workdays.

Comments

FRA solicited comments in the ANPRM regarding a proposal to allow

railroads the option to report accidents/incidents by way of magnetic

media transfer in lieu of the paper (``hard copy'') forms currently

submitted. Most commenters expressed an interest in implementing some

kind of electronic transmission and exchange of data from the railroads

to FRA. One railroad suggested that FRA implement the program to ensure

timely and accurate changes to the hard copy ``Rail Equipment Accident/

Incident Report'' (Form FRA F 6180.54), rather than submitting a

corrected hard copy report. Another railroad emphasized that

implementation of a magnetic media program was a concept long overdue

and predicted a reduction in the amount of annual key-punching labor

cost. One rail association encouraged implementation of a magnetic

media program as it would ensure timely reporting and a less expensive

medium than submission of hard copies. It was also suggested that FRA

should provide smaller railroads the appropriate software for their

personal computers. Another railroad recommended that FRA review the

feasibility of reporting accidents/incidents telephonically as well as

by magnetic media. In reference to the initial cost to implement the

program, the majority of the railroads anticipated a one-time start-up

cost which would be necessary to implement the data transfer process.

Section Analysis and FRA Conclusions (Proposed Sec. 225.37)

In light of the favorable responses to the ANPRM, FRA proposes, in

new Sec. 225.37, to amend the current reporting requirements and allow

railroads the option of using magnetic media to transmit both the

initial and updated versions of the following reports: (a) the ``Rail

Equipment Accident/Incident Report'' (Form FRA F 6180.54), (b) the

``Railroad Injury and Illness Summary (Continuation Sheet)'' (Form FRA

F 6180.55a), and (c) the ``Highway-Rail Grade Crossing Accident/

Incident Report'' (Form FRA F 6180.57). Reporting requirements for

magnetic media transfer would be similar to the current hard copy

reporting requirements currently stated in Sec. 225.11; i.e., reports

submitted via magnetic media would be due within 30 days after

expiration of the month in which the accident/incident occurred.

FRA has initially determined that use of a public standard (i.e.,

National Institute of Standards and Technology XII Standard) electronic

data interchange (EDI), whereby accident and incident data would be

available to FRA in a short time period, is not only too expensive for

the railroads to implement but also inefficient for the types of files

that would be transferred to FRA. In order for FRA to effectively

assess any modem-to-modem (computer-to-computer) private format EDI

submission of accident and incident reports, many more railroads will

need to submit their data on magnetic media. A decision on use of

modem-to-modem submissions of accident/incident reports would be made

once FRA gauges (a) the number of submissions by railroads willing to

take part in this voluntary program and (b) the size (number of

characters) of the submissions. In order to accomplish this, FRA will

carefully monitor and assess all initial magnetic media submissions

supplied by the railroads choosing the magnetic media option.

Computer Magnetic Media Transfer Option (Proposed Sec. 225.37(a))

In particular, FRA proposes, in new Sec. 225.37(a), to allow the

railroads, subject to various conditions, the option to submit magnetic

media that contain: (a) initial accident/incident reports, (b) updates

or amendments to all reports previously submitted in hard copy, and (c)

updates or amendments to reports initially transmitted on magnetic

media. Railroads would be allowed to provide FRA with magnetic media in

the form of either a magnetic tape (EBCDIC) fixed format, an ASCII

diskette-fixed format, a DBF diskette, or a delimited diskette.

The magnetic media option also would allow railroads to continue to

submit hard copy reports, as the current regulations require, but to

update the data contained on the hard copy by way of magnetic media.

Alternatively, railroads would have the option to utilize magnetic

media exclusively for all initial reports and all updates and

amendments to those reports. Further, all transmissions of updated or

amended reports by means of magnetic media would be added to a year-to-

date file created exclusively for each reporting railroad. This year-

to-date file would include all updates and amendments on reported

accidents and incidents and would be maintained by FRA.

Retention of Records (Proposed Sec. 225.27(c))

Railroads that choose to submit their data via magnetic media would

remain responsible for having on file hard copies of the reports

identified in Sec. 225.21. Therefore, FRA proposes, in new

Sec. 225.27(c), that each railroad must maintain on file, at a central

location(s) designated by the railroad, a signed copy of both the

``Rail Equipment Accident/Incident Report'' (Form FRA F 6180.54) and

the ``Highway-Rail Grade Crossing Accident/Incident Report'' (Form FRA

F 6180.57), as well as a copy of all other reports filed with FRA. This

requirement is also meant to include a hard copy of any record

submitted via magnetic media. Maintaining files at an identified

central location would enable both federal and State inspectors, as

well as authorized representatives, a means by which to verify whether

the railroad reported a specific accident/incident or injury to FRA.

Computer Magnetic Media Transfer Requirements (Proposed Sec. 225.37(b))

FRA proposes, in new Sec. 225.37(b), to require that when a

railroad utilizes the magnetic media option, whether to submit an

initial report, or an updated or amended report, it shall submit along

with the magnetic media: (a) a sworn report, as required by 49 U.S.C.

20901 (formerly contained at Sec. 1 of the Accident Reports Act, 45

U.S.C. 38), in the form of a notarized ``Railroad Injury and Illness

Summary'' (Form FRA F 6180.55), and (b) a signed ``Batch Control Form''

for magnetic media. The requirement to submit a notarized Form FRA F

6180.55 would ensure that railroad reporting officials attest to the

validity of the information reported to FRA in the magnetic media and

would provide FRA with evidence necessary to hold those officials

accountable for false reporting. The ``Batch Control Form'' for

magnetic media, also signed by the railroad's reporting officer, would

describe the type of report, number of reports, persons injured, rail

damage, lost workdays, etc., for each type of accident/incident

reported on the magnetic media. By signing the ``Batch Control Form,''

the railroad reporting official would attest that the data contained in

the magnetic media agrees with the data forwarded by the railroads in

Forms FRA F 6180.54, 6180.55a, and 6180.57. FRA proposes to print the

``Batch Control Form'' on the back of the ``Railroad Injury and Illness

Summary'' (FRA Form F 6180.55). The format of the proposed ``Batch

Control Form'' is set forth in Appendix 1 to this NPRM.

Computer Magnetic Media Assimilation Period (Proposed Sec. 225.37(c))

Since the magnetic media option is a fairly new concept, FRA

proposes, in new Sec. 225.37(c), to require the railroads that utilize

this medium to initially include the hard copy of the particular

accident/incident report with the magnetic media. During this

assimilation period, FRA will compare the data on hard copy reports to

the data contained in the magnetic media to determine if the

information reported via magnetic media is consistent and reliable.

This requirement would ensure quality control and would provide FRA a

measure by which to gauge accurate reporting. After a three-month

period of 100-percent accuracy verification, FRA will notify the

railroad that the hard copy is no longer necessary. Of course, this

process may take longer than three months if the hard copy reports do

not agree with the magnetic media submission. If the data in the hard

copy is inconsistent with the data in the magnetic media, FRA may

require that particular railroad to continue to submit hard copies

until both the hard copy and the magnetic media reflect the same

information. Once the data on both the hard copies and magnetic media

agree, FRA will notify the railroad reporting official to discontinue

submitting hard copies. However, there would always remain the

requirement that railroads submit a hard copy notarized Form FRA F

6180.55 as well as the signed hard copy ``Batch Control Form.''

FRA believes that providing the magnetic media transfer option for

reporting accidents/incidents would ensure faster, more accurate

reporting by railroads. The initial start-up cost to railroads is

expected to be minimal. FRA would provide initial computer diskettes

and technical advice to railroads that use the option. Moreover,

railroads would be provided with the opportunity to correct or amend

the hard copy reports or initial reports in magnetic media within the

30-day reporting period.

C. Reporting Definitions and Forms

FRA received a multitude of comments regarding the currently used

reporting forms. In general, it was recommended that all forms be

revised to reflect recent regulatory changes and new operating

practices.

As mentioned previously, FRA has had open informal meetings with

the AAR Committee for Uniformity in Reporting. The American Short Line

Railroad Association (ASLRA) representing the small railroad industry

as well as counsel for the Railway Labor Executives' Association (RLEA)

were in attendance at these open meetings. These meetings detailed

changes in cause codes for train accidents and expansion of the illness

codes. Suggestions were also made to restructure the ``FRA Guide for

Reporting Accidents/Incidents'' (``FRA Guide''). It was suggested that

FRA should develop easy-to-follow directions for any new reporting

requirements. Most of the changes were studied by FRA and implemented

in 1992.

Below is a discussion of each reporting form followed by

recommended changes to that form.

1. Form FRA F 6180.45--``Annual Summary Report of Railroad Injury and

Illness'': Elimination of This Form and Transfer of Certain Information

Blocks to Other Forms

Form FRA F 6180.45 has been used by the rail industry to report all

deaths, injuries, and occupational illnesses of on-duty railroad

employees that occurred during the calendar year. 49 CFR 225.21(f). FRA

proposes to eliminate the requirement for submission of the ``Annual

Summary Report of Railroad Injury and Illness'' (Form FRA F 6180.45)

for the reasons set forth below.

The original instructions for reporting required railroads to make

a ``good faith'' estimate of the number of days a worker was expected

to be absent from work or on restricted duty following an injury or

occupational illness. The annual report filed with the December

submission was used to provide a summary total of the actual number of

such days. FRA then used the reported information on individual

incidents for its analyses. Because the total count of days found on

the annual report cannot be assigned to individual cases, FRA found it

necessary to amend its instructions several years ago to require

railroads to provide an update for any case where the count of days on

the report filed with FRA varied by more than ten percent from the

actual count of such days.

FRA accepts updates made on magnetic media, i.e., diskettes and

tapes. Several railroads provide monthly updates in conjunction with

the report for the current month and must provide a final accounting by

April 15 of the following year. With the exception of the column used

to identify terminations and permanent transfers, a duplicate of the

breakdown of cases can be prepared by summarizing the individual cases.

Information regarding terminations or permanent transfers is

currently found in column ``8'' on the annual summary report. This

column lists the number of cases in column ``3'' (Total Lost Workday

Cases) and column ``7'' (Non-fatal Cases Without Lost Workdays) that

resulted in either the termination or the permanent transfer of the

employee for reasons related to the sustained injury or occupational

illness. Because FRA proposes to eliminate the requirement for

submission of Form FRA F 6180.45, and since FRA deems the information

under ``Terminations or Transfers'' important for accurate injury and

illness data analysis, FRA proposes to move the block designated

``Terminations or Permanent Transfers'' over to block ``5v'' on the

proposed ``Railroad Injury and Illness Summary (Continuation Sheet)''

(Form FRA F 6180.55a). Moving this data block to Form FRA F 6180.55a

would enable FRA to continue to collect this relevant information while

at the same time eliminating the requirement to complete the annual

summary report (Form FRA F 6180.45).

For the same reasons set forth above, FRA is proposing to move the

blocks that solicit information on ``establishments included in this

report'' and ``average employment in reporting year'' on the annual

summary report to the proposed ``Annual Railroad Report of Worker Hours

and Casualties, by State'' (Form FRA F 6180.56).

2. Form FRA F 6180.54--``Rail Equipment Accident/Incident Report'':

Limited Changes

Collisions, derailments, explosions, fires, acts of God, and other

events involving the operation of standing or moving on-track equipment

resulting in more than $6,300 of reportable damage must be reported

using Form FRA F 6180.54. 49 CFR 225.19(c) and 225.21(a).

Based on the comments received in response to the ANPRM, FRA

proposes to make limited changes to the ``Rail Equipment Accident/

Incident Report'' (Form FRA F 6180.54). The purpose of these proposed

changes is to improve FRA's accident analysis capability. The format of

the proposed Form FRA F 6180.54 is set forth in Appendix 2 to this

NPRM. The currently used Form is provided in Appendix 3 for comparison

and reference purposes.

a. Special Study Blocks (SSB). The first proposed change would be

the establishment of three new blocks on Form FRA F 6180.54, each

designated as a ``Special Study Block'' (SSB) (see item ``49'' on the

proposed Form). Over the years, FRA and other agencies and associations

have frequently wanted to collect information on specific accident

issues over a specified time period in response to particular risks of

immediate safety concern. Because of the difficult and time-consuming

task of revising and receiving approval for permanent changes to the

reporting form, FRA has not been able to respond quickly in these

situations and has had to rely on labor-intensive field surveys by

regional FRA personnel and the informal cooperation of the industry.

FRA proposes to establish three SSB's for the purpose of

temporarily collecting information on these issues of immediate safety

concern. When one or more critical safety issues arise, FRA would

notify the railroad reporting officers and request that they, for a

specified time-frame, collect and report on the critical issues using

the SSB. Upon expiration of the pre-defined time period, the SSB would

not be used again until the next issues of immediate concern.

b. Reporting definitions. The proposed changes to the reporting

definitions for Form FRA F 6180.54 address perceived deficiencies and

inconsistencies regarding the area labelled ``PROPERTY DAMAGE'' on the

current form in blocks ``33'' and ``34.'' The inconsistencies result

from a lack of clear direction to the industry on the issue of overhead

and fringe expenses. Some railroads include overhead and fringe

expenses in their estimates of damage, some include one and not the

other, some include neither, and some may not even report the same way

every time. These inconsistencies diminish the quality of the accident

data and taint any analysis of that data.

FRA would like to improve the consistency of the information

collected on damage costs. FRA proposes to make it clear that when

estimating damage costs, the labor costs to be reported are only the

direct labor costs to the railroad, e.g., hourly wages, transportation

costs, and hotel expenses. Thus, for example, the cost of fringe

benefits would be excluded when calculating direct labor costs. This

clarification should result in greater uniformity in reporting among

the railroads. For services performed by a contractor, the railroad

would estimate a direct hourly labor cost by multiplying the

contractor's total labor hours charged to the railroad by the

applicable direct hourly wage rate for a railroad worker in that

particular craft.

FRA also proposes to make it clear that overhead is to be excluded

from damage costs. FRA does not wish to dictate a specific rate for

overhead, but it also finds the non-uniform treatment of overhead under

the current process to be unacceptable. Rather than have damage

estimates that have an unknown level of overhead, FRA has decided to

propose excluding overhead from the direct damage estimates.

Lastly, material costs would be calculated based upon the costs of

acquiring new material, even if the railroad chooses to use refurbished

or used material in their actual repairs.

In summary, the proposed changes in the reporting definitions would

allow the industry maximum flexibility in cost accounting and

management, and would not dictate set practices to restrict that

flexibility, but would require enough disclosure of the practices used

so that FRA could convert the information to common terms before any

analysis is performed.

c. Filing of an Amended Form FRA F 6180.54. At the time the ANPRM

for accident reporting was published, the FRA Guide provided that Form

FRA F 6180.54 was to be amended if, after filing, it was determined

that the damage estimate ``was significantly in error * * *.'' Since

the term ``significantly'' was not defined in the FRA Guide at that

time, railroads used varying definitions of ``significant'' differences

and, as a result, submitted few updated accident reports. Because of

the doubt as to the definition of the term, the majority of commenters

proposed that ``significantly'' be defined as at least a ten-percent

change in the estimated or actual damages submitted to FRA.

In response to the comments, the FRA Guide was changed to

specifically provide that an amended report be filed only if

subsequently acquired information showed the damage to be at least a

ten-percent variance from the amount originally reported to FRA (see

page V-2 of the FRA Guide). This change became effective January 1,

1993.

3. Form FRA F 6180.55a--``Railroad Injury and Illness (Continuation

Sheet)'': Numerous Changes

The ``Railroad Injury and Illness (Continuation Sheet)'' (Form FRA

F 6180.55a) collects information about injuries, fatalities, and

illnesses of railroad workers, trespassers, contractors, and passengers

and about highway-rail grade crossing injuries and fatalities. 49 CFR

225.19(d) and 225.21(c). Only the barest of information is currently

available on Form FRA F 6180.55a: the railroad reporting the incident,

the State in which the incident occurred, type of person injured or

ill, age, type of injury or illness, what the person was doing at the

time of the incident, and, for railroad workers, the number of workdays

lost and restricted and the results of administered alcohol/drug tests.

FRA does not believe the information currently requested on Form FRA F

6180.55a is sufficient for analyzing the causal factors related to

injuries and illnesses. FRA thus proposes numerous changes to the Form

in order to collect data that would aid in development of railroad

injury and accident prevention programs.

The format of the proposed Form FRA F 6180.55a is set forth in

Appendix 4 to this NPRM. Appendix 5, the currently used ``Railroad

Injury and Illness (Continuation Sheet)'' is provided for comparison

purposes.

a. Exposure to hazardous materials. When a railroad accident causes

a release of hazardous materials, FRA cannot determine, using Form FRA

F 6180.55a as it now stands, if any injuries are associated with the

hazardous materials release. There is an increased need for information

on the number of persons injured or killed due to exposure to hazardous

materials. FRA thus proposes to add an additional block ``5u'' on Form

FRA F 6180.55a to collect data on the number of injuries, as well as

type of injury (e.g., burn, inhalation, rash), due to release and

exposure to hazardous materials.

b. County/day of month/time of day. When there is an injury that is

not caused by a train accident or highway-rail grade crossing accident,

FRA presently cannot determine the county of the incident or the exact

date of the incident since the current Form requires railroads to

report only the month, year, and State. Requiring the county in which

the incident occurred in block ``5d'' will assist FRA safety inspectors

in determining which sites or railroad shops have more injuries or

illnesses. Requiring the exact date, including the day of the month, in

block ``5b'' and time of day in block ``5c'' will assist FRA safety

inspectors in records inspection. It will also assist the railroad

industry in determining whether more accidents occur on certain days or

times of the week.

c. Gender/ethnicity. FRA proposes requiring the gender and

ethnicity of the person injured or ill in an effort to help identify

whether particular groups of individuals, particularly trespassers, are

more susceptible than others to certain injuries and illnesses.

Language barriers or unfamiliarity with road signs, especially railroad

crossing signs, may contribute to many of the accidents that occur at

highway-rail grade crossings. Submission of information on gender in

block ``5h'' and ethnicity in ``5i'' would furnish FRA with the data

relevant to demonstrate whether or not this is in fact the case. If the

data collected in these blocks showed that particular ethnic groups

were more prone to certain injuries and accidents, then FRA would

attempt to identify what the exact problem is and then develop remedial

programs or other appropriate policies and procedures to prevent

recurrence of such injuries and accidents in the future.

d. Circumstance codes. When there is an injury that is not

associated with a rail equipment accident, the only information about

the incident currently collected is (i) what the person was doing at

the time of the incident and (ii) the type of injury. This is not

sufficient data for safety analysis. For example, if an individual

received an electric shock while using portable power tools, there is

no way to determine, under the current reporting system, whether the

cause of the incident was defective equipment, improper use of

equipment, undesired contact with a power line or box, or some other

circumstance such as stepping on a power line. FRA needs to collect

``cause'' or ``circumstance'' codes for such injuries and illnesses.

FRA thus proposes to develop new codes, in addition to those currently

used, to describe the cause and/or circumstance of such incidents.

Appendix 6 to this NPRM provides a list of the proposed circumstance

codes that is to be used when completing the ``Railroad Injury and

Illness (Continuation Sheet).'' Specifically, these circumstance codes

would be used to complete the information in blocks ``5m--Physical

Act,'' ``5n--Location,'' ``5o--Event,'' ``5p--Result,'' and ``5q--

Cause.'' Appendix 6 is merely a preliminary sample of the list of

circumstance codes and should not be considered all-inclusive. The list

of circumstance codes, once finalized, would be printed in the FRA

Guide.

e. Terminations or permanent transfers. As discussed earlier in the

NPRM, FRA proposes to eliminate the requirement for submission of the

``Annual Summary Report of Railroad Injury and Illness'' (Form FRA F

6180.45). Data on terminations and permanent transfers is presently

collected on Form FRA F 6180.45. In order to continue to gather this

data, FRA proposes collection of this information by the addition of

block ``5v,'' entitled ``Terminations or Permanent Transfers,'' to Form

FRA F 6180.55a.

f. Narrative on unusual circumstances. FRA also proposes the

addition of a narrative block ``5w'' on Form FRA F 6180.55a that would

allow the reporting railroad the opportunity to provide details (up to

250 characters) on any unusual circumstance(s) surrounding the railroad

worker's injury or illness.

In summary, FRA proposes to amend Form FRA F 6180.55a to require

railroads to:

a. Note all injuries and illnesses that are due to the release of

hazardous materials and the associated injury problem (burn, rash,

inhalation, etc.);

b. Record the county in which the incident occurred;

c. Record the day of the month and time of day that an incident

occurred;

d. Record the gender and ethnic code for the ill or injured person;

e. Determine the cause and circumstance of all reportable accidents

and injuries, and then use the applicable new circumstance codes as set

forth in Appendix 6 to this NPRM;

f. Provide information on terminations or permanent transfers for

reasons directly related to the injury or illness; and

g. Provide additional information on unusual circumstances

surrounding the worker's injury and/or illness in narrative form.

4. Form FRA F 6180.55--``Railroad Injury and Illness Summary'': Limited

Changes

The ``Railroad Injury and Illness Summary'' (Form FRA F 6180.55) is

used by the industry to summarize a railroad's accidents/incidents for

a given month. This report must be filed with FRA even when no

accidents/incidents occurred during the reporting month. 49 CFR

225.21(b). FRA proposes to make limited changes to this form.

The format of the proposed Form FRA F 6180.55 is set forth in

Appendix 7 to this NPRM. Appendix 8, the currently used ``Railroad

Injury and Illness Summary,'' is provided for comparison purposes.

a. Classifications of persons. The FRA Guide currently classifies

persons as: (i) ``Employees on Duty'' (Class A), (ii) ``Employees Not

on Duty'' (Class B), (iii) ``Passengers on Trains'' (Class C), (iv)

``Non-Trespassers'' (Class D), (v) ``Trespassers'' (Class E), and (vi)

``Contractor Employee'' (Class F). These ``person'' classifications are

used by the reporting railroad for completing the ``Railroad Injury and

Illness Summary'' (Form FRA F 6180.55) and the ``Railroad Injury and

Illness (Continuation Sheet)'' (Form FRA F 6180.55(a)).

FRA proposes the addition of ``Non-Trespasser/Off Railroad

Property'' (Class G) and ``Volunteer'' (Class H) to the classes of

persons and to replace the terms ``Employee on Duty'' and ``Employee

Not on Duty'' with ``Worker on Duty'' and ``Worker Not on Duty,''

respectively. Additionally, the definition of a ``Worker on Duty''

would be expanded to include individuals (including certain contractor

employees and volunteers) who perform either (i) the operation of on-

track equipment or (ii) any other safety-sensitive activity for the

reporting railroad.

1. New classification: ``Non-Trespasser/Off Railroad Property'' (Class

G)

Persons, other than railroad employees, passengers, trespassers or

contractor employees, who are injured while on or adjacent to railroad

property are currently coded as ``Non-Trespassers'' (Class D) on Form

FRA F 6180.55a.

For reporting purposes, FRA would like to distinguish between Non-

Trespassers injured while on railroad property and Non-Trespassers

injured while off railroad property. FRA thus proposes to add a new

classification of person to cover those individuals (non-trespassers)

who are injured while off railroad property. It should be noted that an

injury ``off railroad property'' would include an injury resulting from

an event, such as a derailment or collision, that begins on railroad

property but ends on public or private non-railroad property, so long

as the injury is incurred while the person is physically located off

railroad property. Similarly, if a derailment results in a release of

hazardous materials onto public or private non-railroad property and

the hazardous material injures a ``Non-Trespasser'' located on public

or private non-railroad property, the injury should be reported as an

injury to a ``Non-Trespasser/Off Railroad Property'' (Class G). ``Non-

Trespasser/On Railroad Property'' (Class D) would be used to report

injuries and illnesses sustained by such non-trespassers while on

railroad property.

2. New Classifications: (i) ``Volunteer'' (Class H) and (ii) Volunteer

or Contractor Employee Who Is Classified as a ``Worker on Duty'' (Class

A)

``Volunteer'' (Class H) would be added to the classes of persons,

for purposes of completing Sections A and B on Form FRA F 6180.55.

``Volunteer'' (Class H) would be defined to include an individual who

willingly performs a service for the reporting railroad, who does not

receive direct monetary compensation from that railroad, and who is not

engaged in either (i) the operation of on-track equipment or (ii) any

other safety-sensitive function for the reporting railroad. Injuries or

illnesses sustained by such a volunteer would be reported on Form FRA F

6180.55a as injuries to a ``Volunteer'' (Class H).

In contrast, injuries or illnesses sustained by an individual,

including a ``volunteer'' or ``contractor employee,'' who is engaged in

either (i) the operation of on-track equipment or (ii) any other

safety-sensitive function for the railroad, would be reported as

injuries/illnesses to a ``Worker on Duty'' (Class A).

3. ``Worker on Duty'' (Class A) and ``Worker Not on Duty'' (Class B)

``Worker on Duty'' (Class A) would be defined as an individual who

receives direct monetary compensation from the railroad and who is

engaged in either (i) the operation of on-track equipment or (ii) any

other safety-sensitive function for the railroad. ``Worker on Duty''

(Class A) and ``Worker Not on Duty'' (Class B) would replace the

presently used classification of persons ``Employee on Duty'' (Class A)

and ``Employee Not on Duty'' (Class B).

A ``Worker on Duty'' (Class A) would be subject to all of the

applicable safety regulations in performance of his or her activities

(e.g., drug and alcohol regulations, qualification and certification of

locomotive engineers). When an individual is engaged in ``mixed

service,'' i.e., performs both safety-sensitive functions and other

functions, the railroad would report all the hours for that tour of

service as ``railroad worker hours'' in block ``15'' on the proposed

Form FRA F 6180.55; and all reportable injuries and illnesses would be

reported as those to a ``Worker on Duty'' (Class A) in block ``5f'' on

the proposed Form FRA F 6180.55a together with the applicable job code

series of the service performed.

Section 209.303 describes ``safety-sensitive functions'' as

applying to the following individuals:

(a) Railroad employees who are assigned to perform service subject

to the Hours of Service Act (45 U.S.C. 61-64b) during a duty tour,

whether or not the person has performed or is currently performing such

service, and any person who performs such service;

(b) Railroad employees or agents who:

(1) Inspect, install, repair, or maintain track and roadbed;

(2) Inspect, repair, or maintain, locomotives, passenger cars, and

freight cars;

(3) Conduct training and testing of employees when the training or

testing is required by the FRA's safety regulations; or

(c) Railroad managers, supervisors, or agents when they:

(1) Perform the safety-sensitive functions listed in paragraphs (a)

and (b) of this section;

(2) Supervise and otherwise direct the performance of the safety-

sensitive functions listed in paragraphs (a) and (b) of this section;

or

(3) Are in a position to direct the commission of violations of any

of the requirements of parts 213 through 236 of this title.

Example 1. A volunteer operates a locomotive for an excursion

railroad. Since operation of a locomotive clearly falls within the

realm of operation of on-track equipment, the hours contributed to the

railroad by the volunteer would be reported as ``railroad worker

hours'' on the ``Railroad Injury and Illness Summary'' (Form FRA F

6180.55). Likewise, if the volunteer sustains a reportable injury

during operation of the locomotive, then the incident would be reported

on the ``Railroad Injury and Illness Summary (Continuation Sheet)''

(Form FRA F 6180.55a) as an injury to a ``Worker on Duty'' (Class A),

with the applicable job code series.

Example 2. A volunteer sells memorabilia at a historic railroad.

Since selling memorabilia does not fall within the scope of either

``the operation of on-track equipment'' or ``any other safety-sensitive

function,'' the hours contributed by such a volunteer would not be

reported as ``railroad worker hours'' and thus would not be reported on

Form FRA F 6180.55. When such a volunteer sustains a reportable injury,

such injury, however, would be reported on Form FRA F 6180.55a as an

injury to a ``Volunteer'' (Class H).

Example 3. A volunteer sells tickets for train rides on a tourist

railroad and also clears vegetation adjacent to roadbed. Note that the

hours spent clearing the vegetation are reportable on Form FRA F

6180.55 as ``railroad worker hours'' because, under 49 CFR 213.37,

vegetation is to be cleared from the roadbed for safe rail operations

and is thus considered a safety-sensitive function. Any injury or

illness sustained by the volunteer during the vegetation clearing would

be classified as one to a ``Worker on Duty'' (Class A) with the

applicable reporting requirements for purposes of Form FRA F 6180.55a.

The hours donated selling tickets would not ordinarily be reportable

and, if any reportable injury was sustained by the volunteer during the

process of selling tickets, such injury would be classified as one to a

``Volunteer'' (Class H). If, however, the volunteer sells tickets and

then clears vegetation during the same tour, then all hours are

reportable as ``railroad worker hours,'' and all injuries are

considered as those attributable to a ``Worker on Duty'' (Class A).

Therefore, when an individual is engaged in ``mixed service,'' the

railroad must report all the hours for that tour of service as

``railroad worker hours'' on Form FRA F 6180.55; and all reportable

injuries and illnesses must be reported as those to a ``Worker on

Duty'' (Class A) on Form FRA F 6180.55a, with the applicable job code

series of the service performed.

Example 4. The employee of a contractor performs payroll as well as

time-and-attendance functions for the railroad on railroad property.

Such functions are not considered safety-sensitive because they are not

related to the continued safety of the railroad. Thus, injuries

sustained by this contractor performing those tasks would be reported

on Form FRA F 6180.55a as those attributable to a ``Contractor

Employee'' (Class F). Further, the hours contributed by this contractor

would not be reported as ``railroad worker hours'' and thus would not

be reported on Form FRA F 6180.55.

Example 5. A contractor employee inspects and replaces roller

bearings for the reporting railroad. The hours worked by this

contractor employee performing this function would be reported as

``railroad worker hours'' on Form FRA F 6180.55, and injuries sustained

by this contractor would be reported as those to a ``Worker on Duty''

(Class A) on Form FRA F 6180.55a. Under 49 CFR 215.113, cars with

defective roller bearings should not be in service, thus any activity

associated with replacement of roller bearings is a safety-sensitive

function qualifying as hours attributable to a ``Worker on Duty''

(Class A).

b. Batch control form. As discussed earlier in this NPRM, the

``Batch Control Form'' for magnetic media would appear on the back of

Form FRA F 6180.55.

5. FRA Form F 6180.56--``Annual Railroad Report of Worker Hours and

Casualties, by State'' (Revised Title): Limited Changes

A summary of all hours worked by railroad employees during the

report year is made on Form FRA F 6180.56 and is included with the

December submission. 49 CFR 225.21(d). FRA is proposing limited changes

to this Form.

Information on ``establishments included in this report'' and

``average employment in reporting year,'' which previously appeared on

Form FRA F 6180.45, would be moved to Form FRA F 6180.56 because, as

discussed previously in this NPRM, FRA is proposing that Form FRA F

6180.45 be eliminated. In addition, a column reflecting a count for

``casualties'' would be added to Form FRA F 6180.56. Therefore, the

title for Form FRA F 6180.56 would be revised to read ``Annual Railroad

Report of Worker Hours and Casualties, by State.''

The format of the proposed Form FRA F 6180.56 is set forth in

Appendix 9 to this NPRM. Appendix 10, the currently used ``Annual

Railroad Report of Manhours by State'' is provided for comparison

purposes.

6. FRA Form F 6180.57--``Highway-Rail Grade Crossing Accident/Incident

Report'' (Revised Title): Limited Changes

Form FRA F 6180.57 collects information on accidents and incidents

occurring at highway-rail grade crossings. Any impact, regardless of

severity, between a railroad on-track equipment consist and any user of

a public or private crossing site, including sidewalks and pathways,

must be reported on this Form. 49 CFR 225.19(a) and 225.21(e). The

information collected on this report is vital to identifying and

resolving problems at highway-rail grade crossings.

Comments

FRA received several comments concerning Form FRA F 6180.57.

Several commenters expressed concern over the question asked in block

``32,'' which states, ``[w]as the signaled crossing warning identified

in item 31 operating?'' Item ``31'' on the Form currently lists several

types of signal devices, including active and passive devices.

Confusion arises when the person completing the report identifies a

passive device and then reports that it was not operating. To avoid

this confusion, several commenters suggested that the question in item

``32'' be amended to request information on whether the device was

operating only if the device identified in item ``31'' was an active

device. The Form also makes a distinction between Amtrak and Autotrain

in item one. Most commenters recommended elimination of this obsolete

distinction. A few commenters stated that the grade-crossing report

required no change at all since the information requested was adequate

and not burdensome and that the Form itself was understandable.

Section Analysis and FRA Conclusions

The format of the proposed Form FRA F 6180.57 is set forth in

Appendix 11 to this NPRM. Note that Appendix 12, the currently used

Form FRA F 6180.57, is provided for comparison purposes. In order to

collect more information on motorists involved in highway-rail grade

crossing accidents, FRA proposes to amend Form FRA F 6180.57 to require

information under the heading ``Motorist,'' if known, on the motorist's

age and gender, and whether the motorist was impaired by alcohol or

drugs at the time of the accident/incident (see items ``39,'' ``40,''

and ``41'' on the proposed Form). Additionally, under the heading

``Highway Vehicle Property Damage/Casualties'' on the currently used

Form, FRA is proposing to delete blocks ``43'' through ``45,'' which

request information on the total number of occupants, and the total

number of occupants killed and injured, and replace those blocks with

several new ones (see items ``48'' through ``54'' on the proposed Form)

to gather information on:

(a) the number of highway-rail crossing users (i.e., pedestrians

and vehicle occupants) killed,

(b) the number of highway-rail grade crossing users injured,

(c) the total number of highway-rail grade crossing users involved

in the incident (including the driver),

(d) the number of railroad workers killed,

(e) the number of railroad workers injured,

(f) the total number of people on the train at the time of the

incident (including passengers and train crew),

(g) the number of train passengers killed, and

(h) the number of train passengers injured.

FRA also proposes to eliminate the distinction between Amtrak and

Autotrain in item ``1'' as such a distinction is obsolete.

Additionally, FRA proposes to clarify the question in item ``32,''

``[w]as the signaled crossing warning working?'' FRA agrees that the

ambiguity of this question has resulted in errors and problems because

railroads report obvious contradictions. The proposed instructions for

completing this question (item ``33'' on the proposed Form) are set

forth in Appendix 13 to this NPRM.

FRA also proposes to add two new questions to the ``Highway-Rail

Grade Crossing Accident/Incident Report'' to gather information on

whistle bans and signal system failure. New block ``34'' asks whether a

whistle ban was in effect and observed at the time of the accident/

incident. New block ``35'' asks whether there was signal system failure

within the last seven calendar days up to and including the day of the

accident. The codes for completing both items would be included in the

FRA Guide.

In addition, a new narrative block (item ``55'' on the proposed

Form) allowing for up to 250 characters would be added to the form in

order to gather information on unusual causes/circumstances surrounding

the highway-rail grade crossing accident/incident.

7. Form FRA F 6180.78--``Notice to Railroad Worker Involved in Rail

Equipment Accident/Incident Attributed to Worker Human Factor; Worker

Statement Supplementing Railroad Accident Report'' (Revised Title):

Limited Changes

If a railroad should cite an employee human factor as the primary

or contributing cause of a rail equipment accident/incident, then

current regulations require the reporting railroad to complete the

``Railroad Employee Human Factor Attachment'' (Form FRA F 6180.81), and

attach it to the ``Rail Equipment Accident/Incident Report'' (Form FRA

F 6180.54). 49 CFR 225.12(a) and 225.21(g). Additionally, for each

employee listed on Form FRA F 6180.81, the reporting railroad must

complete part I, ``Notice to Railroad Employee Involved In Rail

Equipment Accident/Incident Attributed to Employee Human Factor,'' on

Form FRA F 6180.78, and must provide a copy of this form to the worker

within 45 days after the end of the month in which the accident/

incident occurred. 49 CFR 225.12(b) and 225.21(h). Upon receipt of Form

FRA F 6180.78, the worker has the option of providing a statement in

part II (entitled ``Employee Statement Supplementing Railroad Accident

Report''). 49 CFR 225.12(g).

Recipients of the notice (Form FRA F 6180.78) are to include only

those railroad workers who were the primary cause or a contributing

cause of the rail equipment accident/incident. In order to minimize any

confusion or misunderstanding for recipients of the notice, FRA

proposes refinement of the language in the block entitled ``Notice to

Railroad Employee'' to read as follows:

Notice to Recipient. An accident occurred on the above date which

the railroad alleges was at least partially caused by an action, lack

of action, or the physical condition of a railroad worker. The railroad

is sending you this notice because it believes that you had a role, but

may not necessarily be the primary or only person responsible for the

accident's occurrence. The railroad has reported to FRA that the

primary and/or major contributing cause(s) of this accident are those

listed above. Other causal factors related to this event may be

described in the narrative portion of the railroad's report; a copy of

which is attached.

You may submit a statement to FRA with a copy to this railroad and

comment on any aspect of the railroad's report. The decision whether to

submit such a statement is entirely optional on your part. If you

choose to do so, please see the additional notices and instructions on

the reverse of this form.

Because FRA is proposing to replace ``employee'' with the term

``worker,'' the title of Form FRA F 6180.78 would be revised to read

``Notice to Railroad Worker Involved in Rail Equipment Accident/

Incident Attributed to Worker Human Factor; Worker Statement

Supplementing Railroad Accident Report.'' Similarly, the title of Form

FRA F 6180.81 would be revised to read ``Worker Human Factor

Attachment.''

The format of the proposed Form FRA F 6180.78 is set forth in

Appendix 14 to this NPRM. Note that Appendix 15, the currently used

Form FRA F 6180.78, is provided for reference and comparison purposes.

D. Recordkeeping

1. Injury and Illness Recordkeeping

a. Railroad Worker Injury and Illness Log (Proposed Form FRA F

6180.xx and Proposed Sec. 225.25(a)). Section 225.25(a) refers to the

log of injuries and occupational illnesses at and for each railroad

establishment. It is silent as to whether an injury or illness has to

be ``reportable'' to be included on the log. FRA has concluded that in

order to effectively enforce railroad injury reporting, the log must

contain all injuries and illnesses to railroad workers that arise from

the operation of the railroad. Unless FRA has the opportunity to

examine those injuries and illnesses deemed ``non-reportable'' as well

as those deemed ``reportable'' by the railroad, it is difficult for FRA

to determine whether a railroad is properly making the ``reportable''

decision.

Consequently, in order to accurately identify and review both

reportable and non-reportable railroad injuries and illnesses, FRA is

proposing to amend Sec. 225.25(a) to require that railroads maintain a

log of all reportable and non-reportable (i.e., recordable) injuries

and illnesses to railroad workers for each railroad establishment using

a new form entitled ``Railroad Worker Injury and Illness Log'' (Form

FRA F 6180.xx). The format of the proposed ``Railroad Worker Injury and

Illness Log'' (Form FRA F 6180.xx) is set forth in Appendix 16 to this

NPRM.

A ``recordable'' injury or illness is intended to encompass any

condition, not otherwise reportable, of a railroad worker that is

associated with an event, exposure, or activity in the work environment

that causes or requires the worker to be examined or treated by a

qualified health care professional. Such treatment would usually occur

at a location other than the work environment. The ``Railroad Worker

Injury and Illness Log'' would be maintained for each operational

railroad establishment, i.e., an establishment wherein workers report

to work. The proposed log contains all the information currently

required under Sec. 225.25(a). Requiring railroads to log injury and

illness data on the new Form would help alleviate the difficulty FRA

inspectors encounter when attempting to locate injury and illness

information at railroad establishments.

b. Updating the Log (Proposed Sec. 225.25(c)). Discrepancies in the

log are the most recurring problems FRA inspectors encounter during an

inspection. Many railroads fail to update the log in a timely manner,

particularly with respect to lost/restricted workdays. Therefore, in

order to assure that each railroad continuously updates the log (new

Form), FRA proposes, in new Sec. 225.25(c), that each reportable and

recordable (non-reportable) injury and illness be entered on the log as

early as practicable, but in any event no later than seven working days

after receiving information that an illness or injury has occurred.

Additionally, new Sec. 225.25(d) provides that if the log is maintained

at a centralized location, but not through electronic means, a paper

copy of the log that is current within 35 days of the month to which it

applies must be available at the appropriate establishment. When the

logs are maintained at a central location through electronic means, the

records for that establishment must be available for review in a hard

copy format (paper printout) within four business hours of the request.

The ``Railroad Worker Injury and Illness Log'' would also be used to

prepare Form FRA F 6180.55a and to update changes in the status of a

particular case.

c. Elimination of supplementary record required under

Sec. 225.25(b). FRA has found that much of the information requested in

the supplementary record of injuries and illnesses pursuant to the

present regulation set forth in Sec. 225.25(b) would be collected on

the new ``Railroad Worker Injury and Illness Log'' as proposed in

Sec. 225.25(a). Therefore, the requirement that each railroad maintain

a supplementary record, as currently required under Sec. 225.25(b),

would be eliminated.

d. Monthly list of injuries and illnesses (Proposed

Sec. 225.25(e)). New Sec. 225.25(e) proposes that each railroad

maintain a list of all reported injuries and illnesses for the previous

month and that such list be posted in a conspicuous location at each

railroad establishment within 30 days after expiration of the month

during which the injuries and illnesses occurred. For example, the

monthly list of injuries and illnesses for the month of May must be

completed and posted no later than June 30th. Moreover, the monthly

injury and illness list would be displayed for a minimum of 60

consecutive days so as to allow all workers at that establishment the

opportunity to view the list. Given the example above, the list, if

posted on June 30th, would remain posted for a minimum of 60 days, or

until August 30th.

Proposed Sec. 225.25(e)(1) outlines the data that would be included

in the list. New Sec. 225.25(e)(2) proposes that if no reportable

injuries or illnesses were associated with an establishment, the

posting shall make reference to that fact.

e. Employer notification (Proposed Sec. 225.39(a) and Copy of

``Railroad Worker Injury and Illness Log'' to worker (Proposed

Sec. 225.39(b)). Rail labor organizations have repeatedly expressed

concern that many injured workers fail to inform their employers of

such injuries. By placing part of the burden for reporting on the

individual railroad worker, FRA believes it could improve the general

quality of the injury/illness reporting data. Consequently, proposed

Sec. 225.39(a) would require that railroad workers notify their

employer, in writing, that they have an injury and/or illness within

seven calendar days of either incurring the injury or illness or

obtaining knowledge that they incurred the injury or illness. A

railroad worker must notify his or her employer of both reportable

injuries and illnesses and non-reportable, i.e., ``recordable''

injuries and illnesses. As discussed previously in this NPRM, a

``recordable'' injury or illness is intended to encompass any

condition, not otherwise reportable, of a railroad worker that is

associated with an event, exposure, or activity in the work environment

that causes or requires the worker to be examined or treated by a

qualified health care professional.

Another concern is that injured workers do not have the opportunity

to review and verify the information on the accident/illness report

prior to submission of that report to FRA. FRA thus proposes, in new

Sec. 225.39(b), the requirement that the reporting railroad must

provide the railroad worker with a copy of the completed ``Railroad

Worker Injury and Illness Log'' (Form FRA F 6180.xx). FRA believes that

the general quality of injury and illness data would improve by

allowing the worker to participate in the reporting process as set

forth above.

2. Derailment and Collision Recordkeeping

a. Rail Equipment Accident/Incident Log (Proposed Form FRA F

6180.xx(a) and Proposed Sec. 225.25(b)). At the present time railroads

are required to maintain a log of only reportable rail equipment

accidents. Information on non-reportable events can typically be found

in ``unusual occurrence'' reports and ``morning reports'' that are

maintained at various locations by the railroad. However, there is no

guarantee that all of those reports are either available or complete.

As a result, during routine accident/incident records inspections it is

often difficult, if not impossible, to identify the events that were

determined by the railroad to be non-reportable.

Consequently, in order to accurately identify and review both

reportable and certain non-reportable rail equipment accident/

incidents, FRA is proposing in new Sec. 225.25(b) that railroads

maintain a log similar to the injury/illness log that railroads are now

required to maintain pursuant to Sec. 225.25(a) using a new form

entitled ``Rail Equipment Accident/Incident Log'' (Form FRA F

6180.xx(a)) (attached as Appendix 17). A ``recordable'' rail equipment

accident/incident would encompass any event not otherwise reportable

involving the operation of on-track equipment that causes physical

damage to either the on-track equipment or the track upon which such

equipment was operated and that requires the removal or repair of rail

equipment before any rail operations over the track can continue. A

``recordable'' rail equipment accident/incident, if not tended to,

would thus disrupt railroad service. A scrape or indentation to rail

equipment, however, would not make a rail equipment/accident

``recordable'' if routine rail operations over the track can continue

without such equipment being repaired or removed from service.

b. Property Damage Estimate Worksheet and Record (Proposed Form FRA

F 6180.xx(b)). Appendix 18, entitled ``Property Damage Estimate

Worksheet and Record'' (Form FRA F 6180.xx(b)) is a proposed worksheet

that reporting railroads would use to determine costs associated with

damage to (i) on-track equipment, (ii) signal equipment, (iii) track,

and (iv) track structures and roadbed, as well as (v) costs of

equipment rental and operation. These five cost categories would be

totaled to derive the total accident cost. If the total accident cost

meets or exceeds the reporting threshold, then the total cost for

``damage to on-track equipment'' in ``Part A'' would be transferred to

``block 25 (Equipment Damage)'' on the proposed ``Rail Equipment

Accident/Incident Log'' (Form FRA F 6180.xx(a)). Likewise, the total

cost for ``damage to signal equipment,'' ``damage to track,'' and

``damage to track structures and roadbed'' in ``Parts B, C, and D''

respectively, would be totaled and this amount would be transferred to

``block 26 (Track, Signal, Way & Structure Damage)'' on the ``Rail

Equipment Accident/Incident Log.''

FRA proposes to print the ``Property Damage Estimate Worksheet and

Record'' (Form FRA F 6180.xx(b)) on back of the ``Rail Equipment

Accident/Incident Log'' (Form FRA F 6180.XX(a)).

E. Quarterly Accident Reports

FRA solicited comments in the ANPRM as to whether a quarterly

report would result in more accurate accident data being filed with

FRA. There remains a problem in accurately reporting both equipment

accidents and personal injuries. Railroads submit detailed information

on a monthly basis, and in some instances, only 30 to 60 days have

elapsed since the date of the accident/incident until the railroad's

certified report is filed with FRA. This does not always provide

sufficient time for the railroads to gather and verify statistics on

repair costs and lost workdays.

These detailed monthly reports provide the data for FRA's annual

Accident/Incident Bulletin. This annual Bulletin summarizes all

reportable railroad accidents/incidents that occurred during the

previous calendar year. Monthly reports are, to some extent, based on

estimates rather than actual figures; therefore, the Accident/Incident

Bulletin also reflects estimated data.

In order to remedy this problem and ensure more consistently

accurate statistics, FRA considered requiring quarterly accident

reports covering the previous quarter's occurrences. This would provide

at least 90 days (and up to 180 days depending on when the accident

occurred within the quarter) during which the railroad could obtain

actual repair data and lost workday information.

Comments

Some commenters suggested that the monthly reports could serve as

estimates, while a quarterly report could contain the actual costs

associated with accidents. Others recommended that the monthly report

be eliminated and argued that quarterly reports containing actual costs

would reduce inaccuracies. It was further suggested that quarterly

reports should be required to contain a detailed report for incidents

where damages exceeded $50,000.

Some commenters believed that a requirement for quarterly reporting

would not remedy any problems. They recommended that the monthly

reporting requirement should be retained and that railroads should

provide quarterly updating of lost workdays, restricted days, equipment

damage, track damage, and other changes, via magnetic media. Others

suggested that the information contained in monthly reports together

with the submission of the end-of-year report is sufficient and that

the addition of a quarterly report requirement would create additional

work without a concomitant increase in valuable information.

Finally, several railroads recommended that the deadline for

submission of the annual report (Form FRA F 6180.45) be moved from

January 31 to March 31. They believed this modification would enable

the railroads to reconcile their actual figures with the estimated

figures resulting in more accurate information.

Analysis and FRA Conclusions

FRA has concluded that substitution of quarterly reporting for

monthly submission would result in very little additional accuracy of

figures on repair costs and lost workdays. There would continue to be

estimates involved due to the lack of completion of repairs or

treatment, particularly the closer the incident to the submission date.

Therefore, the discrepancies between monthly figures and the annual

summary figures would continue to exist.

FRA agrees that the addition of a quarterly report would create

additional work without a concomitant increase in valuable information.

FRA believes that the revisions to the Forms, as proposed in this NPRM,

would provide reliable and consistent injury and accident data for

safety analysis.

F. Reporting Threshold

Since 1975, FRA has adjusted the reporting threshold every two

years based on the prices of a market basket of railroad labor and

materials. The purpose of these adjustments has been to maintain

comparability between different years of data by having the threshold

keep pace with accident costs so that each year the same groups of

accidents are included in the ``reportable'' accident counts.

The current system is flawed for several reasons. First, the

adjustment for the upcoming two years is made based on price levels for

the previous year. This may be a good method for identifying what that

previous year's threshold should have been, but is not necessarily a

good method for setting the next two years' threshold. Second, the

threshold adjustment has been performed only every two years instead of

every year, so the comparability of annual statistics within the two-

year set is less than perfect. Third, the market basket used is not

necessarily representative of the labor and materials consumed in the

aftermath of accidents ``at the margin''--those with damages just above

or just below the reporting threshold. Thus, changes in the prices of

the market basket may not be a good indicator of changes in the costs

associated with accidents at the margin. Fourth, the data used to

calculate the threshold adjustment (the market basket prices) is

collected directly from the railroad industry itself, rather than

public sources, which may raise the suspicion that the data may be

self-serving.

Congress has given FRA some direction for modifying the procedure

for calculating the threshold in 49 U.S.C. 20901(b) (formerly contained

at section 15(a) of the Rail Safety Enforcement and Review Act (Pub. L.

102-365)): ``[i]n establishing or changing a monetary threshold for the

reporting of a railroad accident or incident, * * * damage cost

calculations'' shall be based ``only on publicly available information

obtained from (A) the Bureau of Labor Statistics; or (B) another

department, agency or instrumentality of the United States Government

if the information has been collected through objective, statistically

sound survey methods or has been previously subject to a public notice

and comment process in a proceeding of a Government department, agency,

or instrumentality.'' Congress allows an exception to this general rule

only if the necessary data is not available from the sources described,

and only after public notice and comment.

FRA solicited comments in the ANPRM on the feasibility of a two-

tier reporting system in which virtually all rail equipment accidents/

incidents are reported to FRA, as now, but in which those involving a

substantially higher damage threshold (for example, $50,000 or

$100,000), would trigger requirements for quicker or more detailed

reports.

Comments

Many commenters favored the concept of two-tier reporting for rail

equipment accidents and incidents and recommended that the minimum

reportable threshold be raised to $10,000 or $20,000 to eliminate less

serious accidents from reporting requirements. A few railroads

recommended that the second tier begin at $50,000 and that the lower

threshold be raised in increments of $1,000 on a yearly basis. One

railroad recommended that a third tier be established for reporting in

greater detail those accidents that result in $100,000 or more in

damage. A few commenters did not recommend adoption of the two-tier

reporting system because they believed that such a system would require

more details on those accidents that fell within the second tier and

thus would create a more burdensome reporting system.

Analysis and FRA Conclusions

After examining and assessing the feasibility of all comments

received in response to the ANPRM, FRA has concluded that a two-tier

reporting system is not warranted at this time. Adjustment of the

reporting threshold, as described below, would provide FRA with the

data it needs to effectively evaluate the true status of railroad

safety.

Threshold Reporting

FRA proposes to obtain in October of 1994 the latest Producer Price

Index (``PPI'') and National Employment Hours and Earnings figures from

the Department of Labor's Bureau of Labor Statistics (``BLS''). At that

time, the latest final figures, as opposed to preliminary figures,

would be available to cover the period through June 1994. In October of

each subsequent year, FRA would obtain the latest 12 months of final

BLS figures and calculate the threshold for the upcoming year,

publishing the new figure in the Federal Register prior to its

implementation. FRA hopes to issue a final rulemaking on the new

threshold effective as early as January 1, 1995.

Equation

As mentioned previously, FRA proposes to use data from the U.S.

Department of Labor, Bureau of Labor Statistics (BLS), LABSTAT Series

Reports for calculating the threshold. The equation used to adjust the

reporting threshold would be based on the average hourly earnings

reported for Class 1 railroads and an overall railroad equipment cost

index determined by the BLS. The two factors would be weighted equally.

For the wage component, FRA would use LABSTAT Series Report,

Standard Industrial Classification (SIC) code 4011 for Class 1 Railroad

Average Hourly Earnings. For the equipment component, FRA would use

LABSTAT Series Report, Producer Price Index (PPI) Series 144 for

Railroad Equipment. In the month of October of each year, FRA would

obtain from the BLS, finalized cost data covering the twelve-month

period ending with the month of June. The monthly figures would then be

totaled and divided by twelve to produce annual averages. The wage data

would be reported in terms of dollars earned per hour, while the

equipment cost data would be indexed to a base year of 1982.

The procedure for adjusting the reporting threshold is shown in the

formula below. The wage component appears as a fractional change

relative to the prior year, while the equipment component is a

difference of two percentages which must be divided by 100 to present

it in a consistent fractional form. After performing the calculation,

the result would be rounded to the nearest $100.

TP19AU94.000

Where:

Wn = New average hourly wage rate ($)

Wp = Prior average hourly wage rate ($)

En = New equipment average PPI value

Ep = Prior equipment average PPI value

FRA does not have data on the specific breakdown of railroad

accident damage repairs, thus the proposed weightings are subject to

adjustment should commenters choose to offer information that could

provide the basis for refining the proposed formula. The current

weightings represent the general assumption that damage repair costs,

at levels at or near the threshold, are split approximately evenly

between labor and materials.

G. Miscellaneous Amendments

Many of the proposed changes in the rule text are self-explanatory

or have been elucidated in the previous portion of the preamble. This

segment of the NPRM outlines a number of proposed amendments to various

sections of the rule text.

1. Applicability (Sec. 225.3)

Section 225.3 defines the applicability of the accident reporting

regulations. FRA's delegated regulatory authority under 49 U.S.C. 20101

et seq. (formerly contained in the Federal Railroad Safety Act of 1970

(the ``Act'') (45 U.S.C. 431 et seq.) permits FRA to amend the current

applicability sections of its various regulations so as to contract the

populations of railroads covered by a particular set of regulations or

to expand them to the full extent of that authority.

FRA, as the Secretary's delegate, has had jurisdiction over all

``railroads'' since the Act was enacted. There is a very wide range of

operations that could be considered tourist railroads under the

broadest reading of the term ``railroad.'' Tourist railroads have

written several letters to members of Congress questioning the basis

for FRA's assertion of jurisdiction. Additionally, in 1992, FRA

received a petition from a scenic railway requesting the need for

legislative and regulatory action for new regulations tailored

specifically to the tourist rail industry.

In an effort to clarify the proper extent of the exercise of FRA's

jurisdiction, FRA settled on several principles that will be used as

current guidelines. FRA will exercise jurisdiction over all tourist

operations, whether or not they operate over the general railroad

system, except those that are (1) less than 24 inches in gage and/or

(2) insular.

To determine insularity, FRA looks at various criteria that measure

the likelihood that a railroad's operations might affect a member of

the public. FRA has concluded that a tourist operation is insular if

its operations are limited to a separate enclave in such a way that

there is no reasonable expectation that the safety of any member of the

public (except a business guest, a licensee of the tourist operation or

an affiliated entity, or a trespasser) would be affected by the

operation. An operation is not considered insular if one or more of the

following exists on its line: (a) a public highway-rail crossing that

is in use; (b) an at-grade rail crossing that is in use; (c) a bridge

over a public road or waters used for commercial navigation; or (d) a

common corridor with a railroad, i.e., its operations are within 30

feet of those of any railroad. Thus, the mere fact that a tourist

operation is not connected to the general system does not make it

insular under these criteria. While these criteria tend to sort out the

insular theme parks and museums, a need to do case-by-case analysis in

certain close situations still exists.

Therefore, FRA has concluded that part 225 will apply to non-

general system, non-insular tourist operations confined to an

installation that is not part of the general system (i.e., it is a

stand-alone with no freight traffic but has one or more features that

preclude its being considered insular).

2. Definitions (Sec. 225.5)

Section 225.5 lists definitions applicable to part 225. Section

225.5 would be reorganized so that definitions would appear in

alphabetical order and without paragraph designations. The definitions

of ``accident/incident,'' ``employee human factor,'' ``medical

treatment,'' ``occupational illness,'' and ``railroad'' would be

revised, and the definitions of ``day away from work,'' ``day of

restricted work activity,'' ``establishment,'' ``first aid treatment,''

``FRA representative,'' ``non-train incident,'' ``person,'' ``qualified

health care professional,'' ``volunteer,'' ``work environment,''

``worker on duty,'' and ``work related'' would be added. The

definitions of ``lost workdays'' and ``restriction of work or motion''

would be deleted.

a. Revised definitions. ``Accident/Incident'' as currently defined,

is the term used to describe the entire list of reportable events

including fatalities, injuries and illnesses, collisions, derailments,

and similar accidents involving the operation of on-track equipment

causing reportable damage above an established threshold as well as

impacts between railroad on-track equipment and highway users at grade

crossings.

A ``train accident'' is reported only when reportable damages

exceed the reporting threshold. In contrast, an ``incident'' is an

event that results in a reportable casualty, but does not cause

reportable damage above the threshold established for train accidents.

In order to minimize any confusion concerning the ``accident/incident''

distinction and to bring about consistency between the FRA Guide and

other rail safety regulations, FRA proposes to define ``train

accident,'' ``train incident,'' and ``non-train incident'' separately.

Thus, a ``train accident'' would be defined to include any

collision, derailment, fire, explosion, act of God, or other event

involving operation of railroad on-track equipment (standing or moving)

that results in reportable damages greater than the current reporting

threshold to railroad on-track equipment, signals, track, track

structures, and roadbed.

A ``train incident'' would be defined as an event involving the

movement of on-track equipment that results in a reportable casualty

but does not cause reportable damage above the threshold established

for train accidents.

In the definition of ``employee human factor,'' the reference to

``cause code 506'' would be removed as obsolete and replaced by the

term ``train accident cause codes pertaining to non-railroad workers.''

Additionally, the term ``employee human factor'' would be changed to

``worker human factor.''

The definition of ``medical treatment'' would be revised to include

any medical care or treatment beyond ``first aid'' regardless of who

provided such treatment. Medical treatment does not include diagnostic

procedures, such as X-rays or drawing blood samples.

In the definition of ``occupational illness,'' the reference to

``his or her railroad employment'' would be replaced with the phrase

``worker's railroad employment.''

``Railroad'' would be defined as it is in 49 U.S.C. 20102 (formerly

contained in the Federal Railroad Safety Act of 1970 (45 U.S.C.

431(e)).

b. Proposed new definitions. A ``day away from work'' would be

defined as any day subsequent to the day of the injury or diagnosis of

occupational illness that a railroad worker does not report to work for

reasons associated with his or her condition.

A ``day of restricted work activity'' would be defined as any day

that a worker is restricted (as defined below) in his or her job

following the day of the injury or diagnosis of occupational illness.

An ``establishment'' would be defined as a physical location where

business is conducted or where services or operations are performed.

``First aid treatment'' would be defined as being limited to simple

procedures used to treat minor conditions, such as abrasions, cuts,

bruises, or splinters. First aid treatment is typically confined to a

single treatment and does not require special skills or procedures.

``FRA representative'' would be defined to include the Associate

Administrator for Safety, FRA; the Associate Administrator's delegate

(including a qualified State inspector acting under part 212 of this

chapter); the Chief Counsel, FRA; or the Chief Counsel's delegate.

A ``non-train incident'' would be defined as an event that results

in a reportable casualty, but does not involve the movement of on-track

equipment nor cause reportable damage above the threshold established

for train accidents.

In the definition of ``person,'' independent contractors and their

employees and workers, as well as volunteers would be added to the

current list of entities.

A ``qualified health care professional'' would be defined to

include a professional operating within the scope of his or her

license, registration, or certification. For example, an

otolaryngologist is qualified to diagnose a case of noise-induced

hearing loss and identify potential causal factors, but may not be

qualified to diagnose a case of silicosis.

A ``volunteer'' would be defined to include individuals who

willingly perform a service for the reporting railroad, who do not

receive direct monetary compensation from that railroad and who are not

involved in either (i) the operation of on-track equipment or (ii) any

other safety-sensitive function for the reporting railroad as described

in Sec. 209.303.

``Work environment'' would be defined as the physical location,

equipment, materials processed or used, and activities of a worker

associated with his or her work, whether on or off the railroad's

property.

``Work related'' would be defined to include any incident,

activity, exposure, etc. occurring within the work environment.

A ``worker on duty'' would be defined as an individual who receives

direct monetary compensation from the railroad and who is engaged in

either (i) the operation of on-track equipment or (ii) with any other

safety-sensitive function as described in Sec. 209.303.

3. Public Examination and Use of Reports (Sec. 225.7)

In Sec. 225.7(a), reference to ``Executive Director'' would be

removed as obsolete, and would be replaced with ``Office of Safety.''

Thus, written requests for a copy of any report would be addressed to

the Office of Safety at FRA.

In Sec. 225.7(b), ``Accident Reports Act'' would replace the

erroneous reference to ``Accidents Reports Act.''

4. Reporting of Accidents/Incidents (Sec. 225.11)

Section 225.11 would be revised to reflect that reports identified

in Sec. 225.19 submitted via magnetic media would be due within 30 days

after the end of the month in which the accident/incident occurred.

5. Primary Groups of Accidents/Incidents (Sec. 225.19)

Proposed revisions to Sec. 225.19(a) and (b) would remove reference

to the current threshold of ``$6,300'' and would replace it with the

phrase ``current reporting threshold of (insert current reporting

threshold).''

In addition, Sec. 225.19(d), which identifies the third group of

accidents (``death, injury or occupational illness'') that are to be

reported on Form FRA F 6180.55a, would be simplified to read as

follows: ``Each event arising from the operation of a railroad, must be

reported on Form FRA F 6180.55a, if it results in (1) death; (2) injury

to any person that requires medical treatment; (3) injury to a railroad

worker that results in (i) a day away from work; (ii) restricted work

activity or job transfer; or (iii) loss of consciousness; or (4)

occupational illness of a railroad worker.

6. Forms (Sec. 225.21)

In addition to the revisions to the titles of the Forms listed in

Sec. 225.21, reference to ``Class I and II line-haul and terminal and

switching railroads'' in Sec. 225.21(b), would be removed as obsolete,

and replaced with ``All railroads subject to this part.''

Because FRA is proposing deletion of the annual summary report (as

discussed previously in this NPRM), reference to Form FRA F 6180.45

(entitled ``Annual Summary Report of Railroad Injury and Illness'') in

Sec. 225.25(f) would be removed.

The proposed logs/forms discussed in new Secs. 225.25(a) and (b)

would be added to the list of forms as Sec. 225.21(h), (Form FRA F

6180.XX--Railroad Worker Injury and Illness Log), and as

Sec. 225.21(i), (Form FRA F 6180.XX(a)--Rail Equipment Accident/

Incident Log). Additionally, the ``Property Damage Estimate Worksheet

and Record'' (Form FRA F 6180.xx(b)) would be added to the list of

forms as Sec. 225.21(j).

7. Penalties (Sec. 225.29)

Section 225.29 identifies the penalties FRA may impose upon any

person that violates any requirement of this part. Any person who

violates any requirement of this part or causes the violation of any

such requirement of this part will be subject to a civil penalty of at

least $500 and not more than $10,000 per violation. Civil penalties may

be assessed against individuals only for willful violations, and where

a grossly negligent violation or a pattern of repeated violations

creates an imminent hazard of death or injury, a penalty not to exceed

$20,000 per violation may be assessed. In addition, each day a

violation continues will constitute a separate offense. Finally, a

person may be subject to criminal penalties for knowingly and willfully

falsifying reports required by these regulations. Appendix A provides

the revisions to the schedule of penalties under part 225.

8. Access to Records (Proposed Sec. 225.41)

FRA inspectors frequently encounter reluctance from the railroads

when examining and photocopying claims department records, particularly

railroad worker medical records. New Sec. 225.41 would provide FRA

representatives, or any representative of a State participating in

investigative and surveillance activities under the Federal railroad

safety laws and regulations, access to all records, logs, and

supplementary records related to (a) rail-equipments accidents/

incidents, including collisions and derailments; (b) highway-rail grade

crossing accidents/incidents; and (c) death, injuries, and illnesses,

including claims and medical records, for examination and photocopying

(at no expense to the representative) in a reasonable manner during

normal business hours. Further, a penalty has been proposed for each

instance the railroad denies a representative access to any record,

log, and supplementary record identified above.

9. Schedule of Penalties (Proposed Revision to Sec. 225.33)

Appendix B would be redesignated as Appendix A and would be revised

to add penalties for proposed Sec. 225.33, ``Failure to adhere to

Internal Control Plan,'' proposed Sec. 225.39, ``Failure to Inform

Employer of Injury and/or Illness'' and ``Failure to Provide Worker

with a Copy of Form FRA F 6180.XX(a),'' and proposed Sec. 225.41,

``Access to Records.'' Additionally, the dual entries under each of

paragraphs (a), (b), and (d) of Sec. 225.12 would be coded ``(1)'' and

``(2),'' respectively, to allow the proper entry of data into FRA's

enforcement database. Further, the penalties for violations of

Sec. 225.12(a) code (2) would be increased, in light of the 1992

amendments to the Federal Railroad Safety Act which increased the

minimum penalty and settlement to $500.

10. Revision of Title 49, United States Code

On July 5, 1994, all Federal railroad safety laws were

simultaneously repealed, reenacted without substantive change, and

recodified as positive law in Title 49 of the U.S. Code by Public Law

103-272. Due to this change, part 225 would be amended throughout to

reference the newly codified provisions.

Regulatory Impact

Executive Order 12866 and DOT Regulatory Policies and Procedures

This proposed rulemaking has been evaluated in accordance with

existing regulatory policies and procedures and is considered to be a

nonsignificant regulatory action under DOT policies and procedures (44

FR 11034; February 26, 1979). This NPRM also had been reviewed under

Executive Order 12866 and is considered ``nonsignificant'' under that

Order.

Although the rulemaking is ``nonsignificant,'' FRA nonetheless has

prepared a regulatory evaluation addressing the economic impact of the

proposed rule. The regulatory evaluation estimates the economic costs

and consequences of this proposed rule as well as its anticipated

benefits and impacts. This regulatory evaluation has been placed in the

docket and is available for public inspection and copying during normal

business hours in Room 8201, Office of Chief Counsel, FRA, 400 Seventh

Street, SW., Washington, DC 20590. Copies may also be obtained by

submitting a written request to the FRA Docket Clerk at the above

address.

Regulatory Flexibility Act

The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.)

requires a review of proposed rules to assess their impact on small

entities, unless the Secretary certifies that the rule will not have a

significant economic impact on a substantial number of small entities.

There is no direct or indirect economic impact on small units of

government, businesses, or other organizations. Therefore, it is

certified that this proposed rule will not have a significant economic

impact on a substantial number of small entities under the provisions

of the Regulatory Flexibility Act.

Paperwork Reduction Act

This proposed rule contains proposed information collection

requirements. FRA will submit these information collection requirements

to the Office of Management and Budget (OMB) for approval under the

provisions of the Paperwork Reduction Act of 1980, 44 U.S.C. 3501 et

seq. FRA has endeavored to keep the burden associated with this

proposal as simple and minimal as possible. The sections that contain

the new and/or revised information collection requirements and the

estimated time to fulfill each requirement are set forth in the table

below. Note that for easy reference, when an information collection

requirement has been revised, the old burden estimate appears in

parentheses beside the new burden.

------------------------------------------------------------------------

Proposed section New burden Previous

Brief description (estimated) burden

------------------------------------------------------------------------

225.19(c), Form FRA F 6180.54-- 2 hrs........... (2 hrs.)

225.21(b). Rail Equipment

Accident/Incident

Report.

225.19(d), Form FRA F 6180.55a-- 10 min.......... (5 min.)

225.21(c). Railroad Injury and

Illness Summary

(Continuation Sheet).

225.21(b)....... Form FRA F 6180.55-- 45 min.......... (45 min.)

Railroad Injury and

Illness Summary.

225.21(d)....... Form FRA F 6180.56-- 3 hrs........... (3 hrs.)

Annual Railroad

Report of Manhours

and Casualties, by

State.

225.19(b), Form FRA F 6180.57-- 4 hrs........... (3 hrs.)

225.21(e). Highway-Rail Grade

Crossing Accident/

Incident Report.

225.21(g)....... Form FRA F 6180.78-- 15 min.......... (15 min.)

Notice to Railroad

Worker Involved in

Rail Equipment

Accident/Incident

Attributed to Worker

Human Factor; Worker

Statement

Supplementing

Railroad Accident

Report.

225.21(h), Form FRA F 6180.xx-- 30 min.......... (22 min.)

225.25(a). Railroad Worker

Injury and Illness

Log.

225.21(i), Form FRA F 30 min.......... (New)

225.25(b). 6180.xx(a)--Rail

Equipment Accident/

Incident Log.

225.21(j), Form FRA F 6180.xx-- 45 min.......... (New)

225.25(b). Property Damage

Estimate Worksheet

and Record.

225.25(e)....... Monthly List of 5 hrs........... (Class I RR)

Injuries and

Illnesses.

30 min. (RR with

400,000

manhours or

more excluding

Class I RR).

10 min. (RR with

less than

400,000

manhours).

NOTE: Old burden

estimate was 3

hours annually

per railroad.

225.33(a)....... Internal Control 85 hrs. (New--

Plans. Class I RR).

64 hrs. (New--RR

with 400,000

manhours or

more excluding

Class I RR).

18 hrs. (New--RR

with less than

400,000

manhours).

225.37(b)....... FRA F Form 6180.xx-- 10 min.......... (New)

Batch Control Form.

225.39(a)....... Employer Notification 15 min.......... (New)

225.39(b)....... Copy of Railroad 5 min........... (New)

Worker Injury and

Illness Log to

Worker.

------------------------------------------------------------------------

All estimates include the time for reviewing instructions;

searching existing data sources; gathering or maintaining the needed

data; and reviewing the information. FRA solicits comments on the

accuracy of the estimates, the practical utility of the information,

and alternative methods that might be less burdensome to obtain this

information. Persons desiring to comment on this topic should submit

their views in writing to Gloria D. Swanson, Federal Railroad

Administration, 400 Seventh Street, SW., Washington DC 20590; and to

the FRA Desk Officer, Regulatory Policy Branch (OMB No. 2130-0500),

Office of Management and Budget, New Executive Office Bldg., 726

Jackson Place, NW., Washington, DC 20530. Copies of any such comments

should also be submitted to the docket of this rulemaking at the

address provided above.

These revised and/or new information collection requirements

together with the unchanged information collection requirements

contained in 49 CFR part 225 will be submitted to the Office of

Management and Budget for approval in accordance with the Paperwork

Reduction Act of 1980 (44 U.S.C. 3501 et seq.).

Environmental Impact

FRA has evaluated these proposed regulations in accordance with its

procedures for ensuring full consideration of the environmental impact

of FRA actions, as required by the National Environmental Policy Act

(42 U.S.C. 4321 et seq.), other environmental statutes, Executive

Orders, and DOT Order 5610.1c. It has been determined that this

proposed rule will not have any effect on the quality of the

environment.

Federalism Implications

This proposed rule should not have a substantial 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. Thus, in accordance with Executive Order

12612, preparation of a Federalism Assessment is not warranted.

List of Subjects in 49 CFR Part 225

Railroad accident reporting rules, Railroad safety.

Request for Public Comment

FRA proposes to amend part 225 of title 49, Code of Federal

Regulations, as set forth below. FRA solicits comments on all aspects

of the proposed rule and the analysis advanced in the explanation of

the proposed rule, whether through written submissions or participation

at the public hearings, or both. FRA may make changes in the final rule

based on comments received in response to this notice.

The Proposed Rule

In consideration of the foregoing, FRA amends part 225, Title 49,

Code of Federal Regulations to read as follows:

PART 225--[AMENDED]

1. The authority citation for part 225 is amended to read as

follows:

Authority: 49 U.S.C. 20901, 20102, 322(a), 21302, 21304, 20901,

formerly codified at 45 U.S.C. 38, 42, 43, and 43a; 49 U.S.C. 20102-

20103, 20107, 20108, 20110, 20131-20143, 21301-21302, 21304, 21311,

24902, formerly codified at 45 U.S.C. 431, 437, and 438; 49 U.S.C.

103, 49 U.S.C. 20901-20902, 21302, formerly codified at 49 App.

U.S.C. 1655(e)(1)(K); Pub. L. 103-272 and 49 CFR 1.49 (c), (g), and

(m).

2. By revising Sec. 225.3 to read as follows:

Sec. 225.3 Applicability.

This part applies to all railroads except--

(a) A railroad that operates freight trains only on track inside an

installation which is not part of the general railroad system of

transportation or an owner of railroad track that owns no track except

for track that is inside an installation that is not part of the

general railroad system of transportation.

(b) Rail mass transit operations in an urban area that are not

connected with the general railroad system of transportation.

(c) A railroad that exclusively hauls passengers inside an

installation that is insular or that owns no track except for track

used exclusively for the hauling of passengers inside an installation

that is insular. An operation will not be considered insular if one or

more of the following exists on its line:

(1) A public highway-rail grade crossing that is in use;

(2) An at-grade rail crossing that is in use;

(3) A bridge over a public road or waters used for commercial

navigation; or

(4) A common corridor with a railroad, i.e., its operations are

within 30 feet of those of any railroad.

3. By revising Sec. 225.5 to read as follows:

Sec. 225.5 Definitions.

As used in this part--

Arising from the operation of a railroad includes all activities of

a railroad that are related to the performance of its rail

transportation business.

Day away from work is any day subsequent to the day of the injury

or diagnosis of occupational illness that a railroad worker does not

report to work for reasons associated with his or her condition.

Day of restricted work activity is any day that a worker is

restricted (as defined below) in his or her job following the day of

the injury or diagnosis of occupational illness.

Establishment means a single physical location where business is

conducted or where services or operations are performed, for example,

an operating division, general office, and major installation, such as

a locomotive or car repair or construction facility.

First aid treatment means treatment limited to simple procedures

used to treat minor conditions, such as abrasions, cuts, bruises, and

splinters. First aid treatment is typically confined to a single

treatment and does not require special skills or procedures.

FRA representative means the Associate Administrator for Safety,

FRA; the Associate Administrator's delegate (including a qualified

State inspector acting under part 212 of this chapter); the Chief

Counsel, FRA; or the Chief Counsel's delegate.

Highway-rail grade crossing means a location where a public

highway, road, street, or private roadway, including associated

sidewalks and pathways, crosses one or more railroad tracks at grade.

Joint operations means rail operations conducted on a track used

jointly or in common by two or more railroads subject to this part or

operation of a train, locomotive, car, or other on-track equipment by

one railroad over the track of another railroad.

Medical treatment includes any medical care or treatment beyond

``first aid'' regardless of who provides such treatment. Medical

treatment does not include diagnostic procedures, such as X-rays and

drawing blood samples.

Non-train incident means an event that results in a reportable

casualty, but does not involve the movement of on-track equipment nor

cause reportable damage above the threshold established for train

accidents.

Occupational illness means any abnormal condition or disorder of a

railroad worker, other than one resulting from injury, caused by

environmental factors associated with the worker's railroad employment,

including, but not limited to, acute or chronic illnesses or diseases

that may be caused by inhalation, absorption, ingestion, or direct

contact.

Person includes all categories of entities covered under 1 U.S.C.

1, including, but not limited to, a railroad; any manager, supervisor,

official, or other employee or agent of a railroad; any owner,

manufacturer, lessor, or lessee of railroad equipment, track, or

facilities; any independent contractor providing goods or services to a

railroad; any volunteer providing goods or services to a railroad; and

any employee of such owner, manufacturer, lessor, lessee, or

independent contractor.

Qualified health care professional is a health care professional

operating within the scope of his or her license, registration, or

certification. For example, an otolaryngologist is qualified to

diagnose a case of noise-induced hearing loss and identify potential

causal factors, but may not be qualified to diagnose a case of

silicosis.

Railroad means any form of non-highway ground transportation that

run on rails or electro-magnetic guideways, including (1) commuter or

other short-haul railroad passenger service in a metropolitan or

suburban area, as well as any commuter railroad service that was

operated by the Consolidated Rail Corporation as of January 1, 1979,

and (2) high speed ground transportation systems that connect

metropolitan areas, without regard to whether they use new technologies

not associated with traditional railroads. Such term does not include

rapid transit operations within an urban area that are not connected to

the general railroad system of transportation.

Railroad worker human factor includes any of the accident causes

signified by the train accident cause codes listed under ``Train

Operation--Human Factors'' in the current ``FRA Guide for Preparing

Accident/Incident Reports,'' except for those train accident cause

codes pertaining to non-railroad workers.

Train accident means any collision, derailment, fire, explosion,

act of God, or other event involving operation of railroad on-track

equipment (standing or moving) that results in damages greater than the

current reporting threshold to railroad on-track equipment, signals,

track, track structures, and roadbed.

Train incident means any event involving the movement of on-track

equipment that results in a reportable casualty but does not cause

reportable damage above the current threshold established for train

accidents.

Volunteer includes individuals who willingly perform some sort of

service for the reporting railroad without receiving direct monetary

compensation from that railroad and are not engaged in either (1) the

operation of on-track equipment or (2) any other rail safety-sensitive

function for the reporting railroad as described in Sec. 209.303 of

this chapter.

Work environment is the physical location, equipment, materials

processed or used, and activities of a railroad worker associated with

his or her work, whether on or off the railroad's property.

Work related means related to any incident, activity, exposure, or

the like occurring within the work environment.

Worker on duty includes individuals who receive monetary

compensation from the reporting railroad, and who are engaged in either

(1) the operation of on-track equipment or (2) any other rail safety-

sensitive function for the reporting railroad as described in

Sec. 209.303.

4. By removing ``Executive Director'' in the third sentence in

Sec. 225.7(a) and adding in lieu thereof ``Office of Safety'' and by

removing ``Accidents Reports Act'' in the first sentence in

Sec. 225.7(b) and adding in lieu thereof ``Accident Reports Act''.

5. By revising the second sentence in Sec. 225.11 to read as

follows:

Sec. 225.11 Reporting of accidents/incidents.

* * * The report must be made on the forms prescribed in

Sec. 225.21 in hard copy or, alternatively, by means of magnetic media,

as prescribed in Sec. 225.37, and must be submitted within 30 days

after expiration of the month during which the accidents/incidents

occurred. * * *

6. By revising the second sentence in Sec. 225.19(b), by revising

the first, third, and fifth sentences of Sec. 225.19(c), and by

revising Sec. 225.19(d) to read as follows:

* * * * *

(b) * * * In addition, whenever a highway-rail grade crossing

accident/incident results in damages greater than the current reporting

threshold to railroad on-track equipment, signals, track, track

structures, or roadbed, that accident/incident must be reported to the

FRA on Form FRA F 6180.54. * * *

(c) * * * Rail equipment accidents/incidents are collisions,

derailments, fires, explosions, acts of God, or other events involving

the operation of railroad on-track equipment, signals, track, track

equipment (standing or moving) that result in damages greater than the

current reporting threshold to railroad on-track equipment, signals,

tracks, track structures, or roadbed, including labor costs and the

costs for acquiring new equipment and material. * * * If the property

of more than one railroad is involved in an accident/incident, the

reporting threshold is calculated by including the damages suffered by

all of the railroads involved. * * * The reporting threshold will be

reviewed periodically and will be adjusted every year.

(d) Group III--Death, injury, or occupational illness. Each event

arising from the operation of a railroad, must be reported on Form FRA

F 6180.55a, if it results in:

(1) Death;

(2) Injury to any person that requires medical treatment;

(3) Injury to a railroad worker that results in:

(i) A day away from work;

(ii) Restricted work activity or job transfer; or

(iii) Loss of consciousness, or

(4) Occupational illness of a railroad worker.

* * * * *

7. By revising the fourth sentence in Sec. 225.21(b), by removing

Sec. 225.21(f) and redesignating Secs. 225.21(g) and 225.21(h) as

Secs. 225.21(f) and 225.21(g), respectively and by adding new

Secs. 225.21(h), (i), and (j) to read as follows:

* * * * *

(b) * * * All railroads subject to this part, must show on this

form the total number of locomotive train miles, motor train miles, and

yard switching miles run during the month, computed in accordance with

Train-Mile, Locomotive-Mile, Car-Mile, and Yard Switching accounts in

the Uniform System of Accounts for Railroad Companies prescribed by the

Interstate Commerce Commission in 49 CFR part 1200.

* * * * *

(h) Form FRA F 6180.xx--Railroad Worker Injury and Illness Log.

Form FRA F 6180.xx shall be used by the railroads to record all

reportable and recordable injuries and illnesses to railroad workers

for each establishment. This form shall be completed and maintained in

accordance with the requirements set forth in Sec. 225.25.

(i) Form FRA F 6180.xx(a)--Rail Equipment Accident/Incident Log.

Form FRA F 6180.xx(a) shall be used by the railroads to record all

reportable and recordable rail equipment accidents/incidents for each

establishment. This form shall be completed and maintained in

accordance with the requirements set forth in Sec. 225.25.

(j) Form FRA F 6180.xx(b)--Property Damage Estimate Worksheet and

Record. Form FRA F 6180.xx(b) shall be used by the railroads to

determine the total accident cost for any rail equipment accident/

incident. This form shall be completed in accordance with instructions

on the form and in the current ``FRA Guide for Preparing Accident/

Incident Reports'' and shall be maintained in accordance with the

requirements set forth in Sec. 225.25.

8. By revising Sec. 225.25 to read as follows:

Sec. 225.25 Recordkeeping.

(a) Each railroad shall maintain the Railroad Worker Injury and

Illness Log (Form FRA F 6180.xx) of all reportable and recordable

injuries and illnesses to railroad workers for each railroad

establishment, including, but not limited to, an operating division,

general office, and major installation such as a locomotive or car

repair or construction facility.

(b) Each railroad shall maintain the Rail Equipment Accident/

Incident Log (Form FRA F 6180.xx(a)) and Property Damage Estimate

Worksheet and Record (Form FRA F 6180.xx(b)) of reportable and

recordable collisions, derailments, fires, explosions, acts of God, or

other events involving the operation of railroad on-track equipment,

signals, track, or track equipment (standing or moving) that result in

damages to railroad on-track equipment, signals, tracks, track

structures, or roadbed, including labor costs and all other costs for

repairs or replacement in kind for each railroad establishment.

(c) Each railroad must enter each reportable and recordable injury

and illness and each reportable and recordable rail equipment accident/

incident on the appropriate log, as required by paragraphs (a) and (b)

of this section, as early as practicable but no later than seven

working days after receiving information that an injury or illness or

rail equipment accident/incident has occurred.

(d) The logs required under paragraphs (a) and (b) of this section

may be maintained at the local establishment or alternatively, at a

centralized location. If the logs are maintained at a centralized

location, but not through electronic means, a paper copy of the logs

that is current within 35 days of the month to which it applies must be

available for that establishment. If the logs are maintained at a

centralized location through electronic means, then the logs for that

establishment must be available for review in a hard copy format within

four business hours of FRA's request.

(e) A listing of all reported injuries and occupational illnesses

for the previous month shall be posted in a conspicuous location at

each railroad establishment within 30 days after expiration of the

month during which the injuries and illnesses occurred. This listing

shall be posted in a conspicuous location so that it may be observed by

workers at that establishment and shall remain continuously displayed

for at least 60 consecutive days. Incidents reported for workers at

that establishment shall be displayed in date sequence.

(1) The listing shall contain the following information:

(i) Name and address of the establishment;

(ii) Calendar year of the cases being displayed;

(iii) Incident number used to report case;

(iv) Date of injury or illness;

(v) Location of incident;

(vi) Regular job title of worker injured or ill;

(vii) Description of the injury/condition;

(viii) Number of days absent from work at time of posting;

(ix) Number of days of work restriction at time of posting;

(x) Date of death, if worker died;

(xi) Annual average number of railroad workers reporting to this

establishment;

(xii) Name, title, phone number, and signature of preparer; and

(xiii) Date of report.

(2) When there were no reportable injuries or occupational

illnesses associated with an establishment, the posting shall make

reference to this fact.

9. By revising the first sentence in Sec. 225.27(a) and by adding

new Sec. 225.27(c) as follows:

Sec. 225.27 Retention of records.

(a) Each railroad must retain all logs, and listings, required by

Sec. 225.25 for at least 5 years after the end of the calendar year to

which they relate. * * *

* * * * *

(c) Each railroad must identify one or more central locations where

all reports filed under Sec. 225.21 are maintained and available for

photocopying as addressed in Sec. 225.41.

10. By removing ``$250'' in the first sentence in Sec. 225.29 and

adding in lieu thereof ``$500''.

11. By adding new Sec. 225.33 as follows:

Sec. 225.33 Internal Control Plans.

(a) Each railroad must maintain a written Internal Control Plan

that shall include, at a minimum, each of the following components:

(1) A brief description of the railroad organization, including

identification of (i) all components that regularly come into

possession of information pertinent to the preparation of reports under

this part (e.g., medical, claims, and legal departments; operating,

mechanical, and track structures departments; payroll, accounting, and

personnel departments); (ii) the name and title of each railroad

reporting officer; (iii) the name and title of each manager of such

components, by component; and (iv) all officers to whom managers of

such components are responsible, by component.

(2) Identification (categorically or individually) of all positions

within the components identified in paragraph (a)(1) of this section

whose incumbents have access to such information and responsibility for

transferring the information to the railroad reporting officer.

(3) Procedures for timely, periodic transfer of information to the

railroad reporting officer from each component identified in paragraph

(a)(1) of this section, including transfer of updated or corrected

information, and notification that a new claim has been opened by a

railroad worker.

(4) Specification of the railroad officer responsible for auditing

the performance of the reporting function, a statement of the frequency

(not less than once per calendar year) with which audits are conducted,

and a description of the place where the most recent audit report may

be found for inspection and photocopying.

(5) Identification of any computerized databases necessary or

useful in gathering or verifying data required to be reported under

this part, the fields within such databases that are necessary or

useful for this purpose, and the officers and workers responsible for

maintaining or accessing this data for purposes of this part.

(6) A description of the method by which all pertinent officers and

workers of the railroad having responsibility for information required

to be reported are apprised of their responsibilities, including any

training necessary to make such officers and workers aware of the duty

of the railroad to report the information in question.

(7) A procedure for resolving, within the railroad, whether

conditions or events of claimed or marginal reportability are properly

reportable.

(8) Procedures and assignment of responsibility for development and

accurate reporting of normalizing statistics (train miles, work hours).

(b) Each railroad must make a reasonable and conscientious effort

to adhere to the Plan.

12. By adding new Sec. 225.37 as follows:

Sec. 225.37 Computer magnetic media transfer.

(a) A railroad has the option of submitting the following reports,

updates, and amendments by way of magnetic media (computer diskette or

magnetic tape): the Rail Equipment Accident/Incident Report (Form FRA F

6180.54), the Railroad Injury and Illness Summary (Continuation Sheet)

(Form FRA F 6180.55a), and the Highway-Rail Grade Crossing Accident/

Incident Report (Form FRA F 6180.57).

(b) Each railroad utilizing the magnetic media option shall submit

the following:

(1) the computer diskette or magnetic tape;

(2) a batch control form, signed by the railroad's reporting

officer, as prescribed in the ``FRA Guide for Preparing Accident/

Incident Reports''; and

(3) a notarized hard copy of the Railroad Injury and Illness

Summary (Form FRA F 6180.55), signed by the railroad's reporting

officer.

(c) In addition to fulfilling the requirements stated in paragraph

(b) of this section, the railroad must also submit the hard copy

report(s) for each accident/incident it reports by means of magnetic

media during an initial three-month assimilation period. The three-

month assimilation period will begin whenever the magnetic media and

hard copies of the report are in total agreement, as determined in

writing by FRA.

13. By adding new Sec. 225.39 to read as follows:

Sec. 225.39 Employer Notification and Copy of ``Railroad Worker Injury

and Illness Log'' to Worker.

(a) Each railroad worker must notify his or her employer, in

writing, of any reportable or recordable injury or illness within seven

calendar says of either incurring that reportable or recordable injury

or illness or obtaining knowledge of incurring such injury or illness.

(b) Each railroad shall provide the worker whose injury or illness

is reported on the Railroad Worker Injury and Illness Log, Form FRA F

6180.XX, with a copy of such log within seven calendar days of

completing the log.

14. By adding new Sec. 225.41 to read as follows:

Sec. 225.41 Access to records.

All reports, logs, plans, and records (including relevant claims

and medical records) provided for in this part shall, upon request, be

made available to any representative of the Federal Railroad

Administration or of a State agency participating in investigative and

surveillance activities under Part 212 of this chapter, for examination

and photocopying in a reasonable manner during normal business hours at

a central locations(s) identified pursuant to Sec. 225.27(c). Such

representatives shall display proper credentials when requested.

15. By removing Appendix A.

16. By redesignating Appendix B as Appendix A and by revising newly

redesignated Appendix A to read as follows:

Appendix A to Part 225.--Schedule of Civil Penalties

------------------------------------------------------------------------

Section (including computer code, if Willful

applicable) Violation violation

------------------------------------------------------------------------

225.9Telephonic reports of certain accidents/

incidents.................................... $1,000 $2,000

225.11Reports of accidents/incidents.......... 2,500 5,000

225.12(a):

Failure to file Railroad Worker Human Factor

Attachment properly:

(1) Worker identified..................... 2,500 5,000

(2) No worker identified.................. 1,000 2,000

225.12(b):

(1) Failure to notify worker properly..... 2,500 5,000

(2) Notification of worker not involved in

accident................................. 2,500 5,000

225.12(c):

Failure of employing railroad to provide

requested information properly........... 1,000 2,000

225.12(d):

(1) Failure to revise report when identity

becomes known............................ 2,500 5,000

(2) Failure to notify after late

identification........................... 2,500 5,000

225.12(f)(1):

Submission of notice if worker dies as

result of the reported accident.......... 2,500 5,000

225.12(g):

Willfully false accident statement by

worker................................... 5,000

225.13Late reports............................ 2,500 5,000

225.17(d)Alcohol or drug involvement.......... 2,500 5,000

225.23Joint operations........................ (\1\) (\1\)

225.25Recordkeeping........................... 2,500 5,000

225.27Retention of records.................... 1,000 2,000

225.33Failure to adhere to Internal Control

Plan......................................... 2,500 5,000

225.39:

(1) Failure to inform employer of injury/

illness.................................. 1,000

(2) Failure to provide worker with a copy

of Form FRA F 6180.XX(a)................. 2,500 5,000

225.41 Access to records...................... 2,500 5,000

------------------------------------------------------------------------

\1\A penalty may be assessed against an individual only for a willful

violation. The Administrator reserves the right to assess a penalty of

up to $20,000 for any violation where circumstances warrant. See 49

CFR part 209, appendix A. A failure to comply with Sec. 225.23

constitutes a violation of Sec. 225.11. For purposes of Secs. 225.25

and 225.27 of this part, each of the following constitutes a single

act of noncompliance: (1) A missing or incomplete log entry for a

particular worker's injury or illness; or (2) a missing or incomplete

log record for a particular rail equipment accident or incident. Each

day a violation continues is a separate offense.

17. In addition to the amendments set forth above, in 49 CFR part

225 remove the word ``rail-highway'' and add, in its place, the word

``highway-rail'' in the following places:

(a) Secs. 225.5(b) (1) and (h);

(b) Sec. 225.12(b)(2)(iii);

(c) Sec. 225.13;

(d) Sec. 225.15(a);

(e) Secs. 225.19 (a) and (b); and

(f) Sec. 225.21(e);

18. In part 225, all references to ``an employee'' are revised to

read ``a worker''.

19. In part 225, all references to ``employee'' and ``employees''

are revised to read ``worker'' and ``workers'' respectively.

Issued in Washington, DC, on August 5, 1994.

Jolene M. Molitoris,

Federal Railroad Administrator.

Note: Appendices 1 through 18 are published for informational

purposes only and will not be codified in the Code of Federal

Regulations.

BILLING CODE 4910-06-P

TP19AU94.001

TP19AU94.002

TP19AU94.003

TP19AU94.004

TP19AU94.005

BILLING CODE 4910-06-C

Proposed Circumstance Codes--Physical Act Engaged in at Time of

Incident

Examples:

Physical Act = Adjusting Coupler/Drawbar = 01

Physical Act = Standing = 60

Code List

01 Adjusting Coupler/Drawbar

02 Applying/Removing Anchors

03 Bending

04 Carrying

05 Chaining/Cabling Car/Locomotive

06 Cleaning Car

07 Cleaning Engine

08 Cleaning (Other)

09 Climbing

10 Coupling/Uncoupling Air Hoses

11 Coupling/Uncoupling Steam Hoses/Electric Cables

12 Crawling Under

13 Crossing

14 Cutting Brush

15 Cutting Rail

16 Cutting (Other)

17 Digging

18 Driving (Use for Motorized Vehicles Only)

19 Fueling

20 Getting Off

21 Getting On

22 Handling Material (General)

23 Handling Poles

24 Handling Rail

25 Handling Ties

26 Handling Tie Plates

27 Handling Wheels/Trucks

28 Handling (Other)

29 Horseplay

30 Inspecting Car

31 Inspecting Train

32 Inspecting (Other)

33 Jumping

34 Laying Material

35 Lifting Equipment

36 Lifting Material

37 Nipping Ties

38 Opening/Closing Door

39 Opening/Closing Window

40 Operating Derail

41 Operating Hand Brake

42 Operating Machinery (Except Power Tool)

43 Operating Power Tool

44 Operating Switch

45 Operating (Other)

46 Passing Signals

47 Performing Rerailing

48 Performing Maintenance (General)

49 Performing (Other)

50 Pulling

51 Pulling Pin Lifter/Operating Uncoupling Lever

52 Pulling (Other)

53 Pushing

54 Resting

55 Riding In/On

56 Running

57 Sitting

58 Sleeping

59 Spiking

60 Standing

61 Using Fusee

62 Using Hand Tool

63 Using Jack

64 Using Other Equipment

65 Walking

66 Welding

99 Act Not Otherwise Classified

Proposed Location of Person

Examples:

Location = Between Cars = 10

Location = Ladder = 13

Code List

01 On-Track Equipment in Service

01 Between Cars/Locomotive

02 Bunk/Outfit Car

03 Caboose

04 Engine-2 Locomotive

05 Freight Car

06 Maintenance-of-Way On-Track Equipment

07 Passenger Car (Train Only)

10 Office Buildings, Locomotive Facilities, Car Repair Facilities,

Yard Offices (Inside or Outside)

10 Between Cars/Locomotives

11 Chair

12 Elevator

13 Ladder (Not on a Car or Locomotive)

14 On Car

15 On Locomotive

16 Parking Lot

17 Platform/Ramp

18 Stairs

19 Under Car

19a Under Locomotive

20 Railroad Yards and Right of Way

20 Beside Track

21 Between Rails

22 Between Tracks

23 Bridge/Trestle

24 Excavation

25 Kubota

26 Track Structure

27 Tunnel

30 Railroad Elevated Structures

30 Pole

31 Scaffold

32 Tower

40 Specialized Operations

40 Container on Flat Car/Trailer on Flat Car

41 Ship/Boat/Barge

60 Highway Vehicles

60 Company Automobile

61 Company Truck

62 Company Van

63 Leased Automobile

64 Personal Automobile

65 Taxi

90 Location Not Otherwise Classified

90 Off Railroad Property

91 On Railroad Property

Proposed Unusual Event

(Initial or Outside Occurrence)

Examples:

Cause = slack action = 32

Cause = hard coupling = 17

Code List

01 Animal Bite

02 Assaulted by Worker

03 Assaulted by Non-worker

04 Cave-in

05 Close Clearance

06 Clothing Caught In

07 Collision

08 Defective Equipment

09 Derailment

10 Electrical Shock/Flash

11 Emergency Application Air Brakes

12 Explosion/Detonation (One-time sudden event)

13 Fire/Violent Rupture

14 Hair Caught In

15 Hand Caught In

16 Harassed

17 Hard Coupling

18 High Wind

19 Highway Grade Crossing Incident (When casualty resulted from HGX

accident)

20 Inadequate Ventilation

21 Insect Bite

22 Lightening

23 Noise (Sustained long-term)

24 Not Work-related

25 Object, Falling

26 Object, Thrown

27 Obstruction Incident

28 Oil/Grease on Surface

29 Other Slippery Substance on Surface

30 Other (Environmental conditions)

31 Overturned

32 Slack Action

33 Snow/Ice

34 Sudden Stop/Start

35 Tornado

36 Train/Track Motor Car Collision (Not auto and train at crossing)

37 Unexpected Movement

38 Vandalism

98 Event Not Otherwise Classified

99 None

Proposed Result of the Occurrence

Examples:

Result = struck and run over = 27

Result = slipped = 22

Code List

01 Aggravation of Old Injury

02 Caught Between Equipment

03 Caught Between Material

04 Caught Between Shifted Lading

05 Caught in Machinery

06 Caught in Switch

07 Contact (Electrical, with)

08 Emotional Stress

09 Exertion

10 Exposure (to heat, cold extremes, noise, etc.)

11 Fell Against

12 Fell From

13 Fell Into

14 Fell Onto

15 Fell and Run Over

16 Fell Through

17 Inhalation

18 Irritation

19 Lost Balance

20 Rolling Equipment

21 Shocked

22 Slipped

23 Slipped and Fell

24 Splinter

25 Stepped On/In

26 Struck Against Equipment

27 Struck and Run Over

28 Struck By Equipment

29 Struck By Falling Object

30 Struck By Flying Object

31 Struck By Material

32 Struck By On-Track Equipment

33 Struck By Stationary Object

34 Struck By Suspended Object

35 Struck By Thrown Object

36 Struck By Tool While Using

37 Struck By (Other)

38 Stumbled

39 Thrown Against

40 Thrown From

41 Tripped

42 Tripped and Fell

43 Twisted

Proposed Primary Cause of the Injury/Illness

Examples:

Primary Cause = Physical Condition of Person = 11

Primary Cause = Defective Equipment = 02

Code List

01 Actions of Another Person (other than railroad worker)

02 Defective Equipment

03 Employee/Worker's Attitude

04 Environmental Conditions Within Buildings

05 Environmental Conditions Outside of Buildings

06 Environmental Conditions on Rolling Stock

07 Impairment Due to Drugs or Alcohol

08 Inexperience With the Work Practice

09 Personal Protective Equipment Not Available

10 Personal Protective Equipment Not Worn

11 Physical Condition of Person (hearing, vision, etc.)

12 Rule Violation or Actions of Another Person (other than railroad

worker)

13 Rule Violation by This Person (other than railroad worker)

14 Rule Violation or Action by Another Worker

15 Rule Violation by This Worker

99 Undetermined

BILLING CODE 4910-06-P

TP19AU94.006

TP19AU94.007

TP19AU94.008

TP19AU94.009

TP19AU94.010

TP19AU94.011

BILLING CODE 4910-06-C

``Highway-Rail Grade Crossing Accident/Incident Report (Form FRA F

6180.57)''

Instructions for Proposed Item 33

Only if Types 1-6, Item 32, are indicated, mark here the status of

warning devices at the crossing at the time of the accident:

1. Provided minimum 20-second warning.

2. Alleged warning time greater than 60 seconds.

3. Alleged warning time less than 20 seconds.

4. Alleged no warning.

5. Confirmed warning time greater than 60 seconds.

6. Confirmed warning time less than 20 seconds.

7. Confirmed no warning.

If status code 5, 6, or 7 was entered, also enter a letter code

explanation from the list below:

A. Insulated rail vehicle.

B. Storm/lightning damage.

C. Vandalism.

D. No power/batteries dead.

E. Devices down for repair.

F. Devices out of service.

G. Warning time greater than 60 seconds attributed to accident-

involved train stopping short of the crossing, but within track circuit

limits, while warning devices remain continuously active with no other

in-motion train present.

H. Warning time greater than 60 seconds attributed to track circuit

failure (e.g., insulated rail joint or rail bonding failure, track or

ballast fouled, etc.).4

J. Warning time greater than 60 seconds attributed to other train/

equipment within track circuit limits.

K. Warning time less than 20 seconds attributed to signals timing

out before train's arrival at the crossing/island circuit.

L. Warning time less than 20 seconds attributed to train operating

counter to track circuit design direction.

M. Warning time less than 20 seconds attributed to train speed in

excess of track circuit's design speed.

N. Warning time less than 20 seconds attributed to signal system's

failure to detect train approach.

P. Warning time less than 20 seconds attributed to violation of

special train operating instructions.

R. No warning attributed to signal system's failure to detect the

train.

S. Other cause(s).

APPENDIX 13

BILLING CODE 4910-06-P

TP19AU94.012

TP19AU94.013

TP19AU94.014

TP19AU94.015

TP19AU94.016

TP19AU94.017

TP19AU94.018

[FR Doc. 94-20023 Filed 8-18-94; 8:45 am]

BILLING CODE 4910-06-C