Reports, Forms, and Recordkeeping Requirements; Agency Information Collection Activities Under OMB Review

DEPARTMENT OF TRANSPORTATION

Office of the Secretary

Reports, Forms, and Recordkeeping Requirements; Agency

Information Collection Activities Under OMB Review

AGENCY: Office of the Secretary, DOT.

ACTION: Notice.

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SUMMARY: In accordance with the Paperwork Reduction Act of 1995 (U.S.C.

3501 et seq.), this notice announces that the Information Collection

Requests (ICRs) abstracted below have been forwarded to the Office of

Management and Budget (OMB) for review and comment. The ICR describes

the nature of the information collection and its expected cost and

burden. The Federal Register Notice with a 60-day

[[Page 34103]]

comment period soliciting comments on the following collections of

information was published in 62 FR 15960, April 3, 1997.

DATES: Comments must be submitted no later than July 24, 1997.

FOR FURTHER INFORMATION CONTACT: Ms. Gloria Eutsler, Office of Planning

and Evaluation Division, RRS-21, Federal Railroad Administration, 400

Seventh Street, SW., Washington, DC 20590, (202) 632-3318.

SUPPLEMENTARY INFORMATION:

Federal Railroad Administration (FRA)

Title: Certification of Glazing Material

Type of Request: Extension of a currently approved information

collection.

OMB Control Number: 2130-0525.

Abstract: FRA's Safety Glazing Standards (49 CFR Part 223)

establish minimum requirements for glazing materials to protect

individuals from personal injury as a result of objects striking the

windows of locomotives, passenger cars and cabooses. Specifically,

Appendix A of Part 223 establishes requirements for the certification

and permanent marking of glazing materials by the manufacturer along

with the responsibility of the manufacturer to make available test

verification data to railroads and the FRA upon request. The

certification, marking and supporting testing data assures the

railroads and the FRA that the particular type of glazing material has

been tested and verified for use as either FRA Type I or Type II

glazing.

Estimated Annual Burden Hours: 321.

Form Number(s): N/A.

Affected Public: Railroad Businesses.

Number of Respondents: 5.

Title: Rear-end Marking Devices

Type of Request: Extension of a currently approved information

collection.

OMB Control Number: 2130-0523.

Abstract: On January 11, 1977, FRA issued Part 221 (Rear End

Marking Device--Passenger, Commuter and Freight Trains) of Title 49,

Transportation. Through the requirements of this CFR part, FRA ensures

that marking devices for the trailing end of rear cars meet minimum

requirements regarding visibility and display. The regulations

establish the performance standards for ``highly visible'' marking

devices in order to be approved by the Federal Railroad Administrator.

The required submissions and recordkeeping requirements enables FRA's

enforcement personnel to effectively control the use of illegal,

ineffective, or approved devices which do not provide sufficient

``visibility'' to maintain the desired degree of safety in train

operations.

Estimated Annual Burden Hours: 21.

Form Number(s): N/A.

Affected Public: Railroad Businesses.

Number of Respondents: 5.

Title: Transmission of Train Order by Radio

Type of Request: Extension of a currently approved information

collection.

OMB Control Number: 2130-0524.

Abstract: As a result of increasing human-factor related accident

rates, including those accidents attributed to misuse of radios in

railroad operations, the FRA determined that there was a need for

stricter rules governing the use of radios in railroad operations. Many

unsafe practices in the use of radios in railroad operations were

occurring routinely. On January 27, 1977, the FRA published in the

Federal Register a final rule establishing a new Part 220 (Radio

Standards and Procedures) which prescribes mandatory procedures

governing the use of radio communications in connection with railroad

operations. FRA's Office of Safety personnel reviewed this information

to determine that the minimum standards established by the regulation

are being met and will enable both the railroads and the FRA to focus

attention on these procedures which are unique to radio-train

operations. FRA's analysis of the submittal will enable it to identify

unsafe operating practices in the use of radio communications in

railroad operations. If the submissions were not required, accidents

would then be the primary method of identification and prevention

efforts would be hampered.

Estimated Annual Burden Hours: 240,000.

Form Number(s): N/A.

Affected Public: Railroad Businesses.

Number of Respondents: 400.

Title: Railroad Operating Rules and Radio Standards and Procedures

Type of Request: Extension of a currently approved information

collection.

OMB Control Number: 2130-0035.

Abstract: As a result of an increasing number of accidents caused

by human factors, the FRA determined that railroad operating rules,

implemented by all of the nation's railroads, needed regulatory review.

On November 23, 1974, FRA issued Part 217 (Railroad Operating Rules),

39 FR 41175 (1974). These rules were substantially revised on August

22, 1994. The requirements of this rule enables FRA to monitor each

railroad's compliance with its operating rules regarding the movement

of trains and other rolling equipment in the railroad industry and the

operating rules instructions that each railroad provides to its

employees. FRA's Office of Safety analyzes the information in

considering waiver petitions, accident investigations, and inquiries

into operating practices on selected railroads. Information will also

enable the FRA to review amendments to railroad operating rules,

timetables, and timetable special instructions and evaluate those

changes in reference to operational safety. Furthermore, this

information enables FRA to monitor a railroad's compliance with its

operating rules and evaluate a railroad's program to achieve employee

compliance with its operating rules. If this information was not made

available to FRA, such nondisclosure would impede prevention efforts,

leaving accidents as the primary method to identify unsafe railroad

operating practices.

Estimated Annual Burden Hours: 131,147.

Form Number(s): N/A.

Affected Public: Railroad Businesses.

Number of Respondents: 600.

Title: State Safety Participation Regulations

Type of Request: Extension of a currently approved information

collection.

OMB Control Number: 2130-0509.

Abstract: On October 16, 1970, Congress enacted the Federal

Railroad Safety Act of 1970 (45 U.S.C. 435). This Act gave the

Secretary of Transportation the authority to prescribe, as necessary,

appropriate rules, regulations, orders, and standards for all areas of

railroad safety. In order to establish nationally uniform railroad

regulations, the statute envisioned that the Federal Government would

be responsible for the establishment and primary enforcement of

railroad safety regulations. To assist in achieving this goal,

conflicting state rules were preempted. In lieu of their prior role,

states were given the opportunity to participate with the Federal

Government in carrying out a portion of the investigative and

surveillance activities relating to any safety rules issued under this

statute.

FRA implemented this statutory concept with the adoption of the

State Participation Regulation in 1975 (49 CFR Part 212) which provided

the necessary administrative and legal framework for enforcement and

funding purposes. Federal funding for the state participation program

was eliminated in Fiscal Year 1986. State inspectors are

[[Page 34104]]

now authorized to work in all FRA inspection disciplines. States can

currently inspect track, freight cars, locomotives, brake systems,

operating practices, safety glazing, safety appliances, hazardous

materials, and signal systems. FRA continues to assist the states in

(1) certifying their inspectors and provides on-the-job and classroom

training and (2) coordinating and consolidating state inspection plans

into FRA's National Inspection Plan. This plan is revised annually to

reflect current safety issues and to establish the priority of national

inspection efforts and ensure coordination with state safety programs.

The information is collected in order to comply with Federal

railroad safety laws and regulations concerning the State Participation

Program. Inspection information received from state agencies on their

railroad safety investigative and surveillance activities will be used

by FRA to implement the statutory laws. A portion of the information is

needed to establish the legal authority for certain aspects in

processing administrative or litigation responses in noncompliance

situations. The final portion of the information is needed for the

overall administration and management of the program. These data are

used in monitoring the effectiveness of the program and in preparing

various annual safety reports including mandated reports to the

Congress. From this information, FRA can determine if the State

Participation Program is being productive and properly managed.

Estimated Annual Burden Hours: 12,041.

Form Number(s): 6180.10, 29, 29A, 67, 68, 68A, 69, 79, 96, 96A,

96B.

Affected Public: States, Local or Tribal Government.

Number of Respondents: 32.

Title: Qualification of Locomotive Engineers

Type of Request: Extension of a currently approved information

collection.

OMB Control Number: 2130-0533.

Abstract: Section 4 of the Rail Safety Improvement Act of 1988

required FRA to adopt rules prescribing the licensing or certification

of locomotive operators. Under the statute those rules were to be

structured so that (1) FRA approves the qualification standards set by

railroads; (2) FRA prescribes minimum training requirements; (3) FRA

requires comprehensive knowledge of relevant operating procedures; and

(4) consideration of motor vehicle driving records (including data on

file with the National Driver Register maintained by National Highway

Traffic Safety Administration) (NHTSA) is provided for. On June 19,

1991, FRA issued a final rule on Qualifications for Locomotive

Engineers implementing the requirements of Section 4 of the Rail Safety

Improvement Act of 1988.

Information collection requirements concerning individuals

primarily will be used by railroads to evaluate each person's

qualification to be a locomotive operator. Secondary usage will be made

by FRA in monitoring those qualification determinations and in certain

circumstances (appeals of improper denial or revocation of

certification) direct review of the person's fitness to be a locomotive

operator. Information concerning an individual encompasses four areas:

(1) Eligibility to be a locomotive operator based on prior conduct; (2)

physical fitness to perform the task in terms of visual and hearing

acuity; (3) possession of adequate knowledge to perform the task as

demonstrated by successful passage of examinations; and (4) possession

of adequate operational skills as demonstrated by successful passage of

performance skill tests. In the absence of the data or any subset of

this data, it will not be possible for a railroad to determine whether

a person is qualified to operate a locomotive. Stated conversely,

railroads will be free to certify unqualified persons to operate

locomotives. Furthermore, absent such data it would not be possible for

FRA to determine whether a railroad had acted appropriately in granting

or denying a person certification.

Information collection requirements concerning particular railroads

will be used by FRA to evaluate the quality of each railroad's

localized aspect of the overall program. Information concerning each

railroad's program encompasses eight areas: (1) the selection of

designated supervisors of locomotive engineers, (2) the selection of

the classes of service for engineers, (3) the evaluation of the safety

conduct of engineers, (4) the evaluation of engineer's hearing and

visual acuity, (5) the education of engineers, (6) the testing of

engineers, (7) the operational monitoring of engineers and (8) the

procedural aspects of the operation of the certification program. In

the absence of the data or any subset of this data, it will not be

possible for FRA to determine whether a railroad has an appropriate

method for determining that a person is qualified to operate a

locomotive.

Estimated Annual Burden Hours: 182,362.

Form Number(s): N/A.

Affected Public: Railroad Businesses

Number of Respondents: 620.

Title: Hours of Service Regulations

Type of Request: Reinstatement, with change, of a previously

approved collection for approval has expired.

OMB Control Number: 2130-0005.

Abstract: These requirements resulted from enactment of the Hours

of Service Act of 1907, later revised in 1969 by Public Law 91-169.

Further amendments were enacted as part of the Federal Railroad Safety

Authorization Act of 1976, Public Law 94-348. The stated purpose of the

Act is ``* * * to promote the safety of employees and travelers upon

railroads by limiting the hours of service of employees * * *.''

Congress enacted the Act because of the many serious accidents that

were occurring before the limitations were imposed. The Act specified

the maximum working hours of employees engaged in one or more critical

categories of work. Through the requirements of 49 CFR Part 228, the

Federal Railroad Administration administers the requirements of the

Hours of Service Act.

The recordkeeping requirements contained in 49 CFR Part 228 were

designed to collect the hours of duty for covered employees, and

records of train movements. Railroads whose employees have exceeded

maximum duty limitations must report the circumstances. These

requirements serve as a deterrent to violations and to document

violations for prosecution. Loss of life caused by excess service today

is practically non-existent.

The regulations pertaining to construction of employee sleeping

quarters are contained in Subpart C of 49 CFR Part 228 (Hours of

Service of Railroad Employees). A railroad that has developed plans for

construction or reconstruction of sleeping quarters must obtain

approval of the Federal Railroad Administration by filing a petition

conforming to the requirements of Sections 228.101, 228.103, and

228.105.

FRA's Office of Safety utilizes the information while performing

compliance, violation and accident investigations. Without this

information, FRA would be handicapped during enforcement and a railroad

would permit excess service to occur.

The information contained in the petitions for approval for

construction of employee sleeping quarters is used by FRA headquarters

staff to prepare and issue the public notice, by regional staff in

investigation of the petitions, and by the Associate Administrator for

Safety to render an informed and logical approval or denial of such

petitions.

Estimated Annual Burden Hours: 748,791.

[[Page 34105]]

Form Number(s): 6180.3.

Affected Public: Railroad Businesses.

Number of Respondents: 400.

Title: Designation of Qualified Persons (Track) and Records of

Results of Track Inspections

Type of Request: Extension of a currently approved information

collection.

OMB Control Number: 2130-0010.

Abstract: The Track Standards (49 CFR 213) establish requirements

for the inspection of all track to determine its suitability for train

operation and Section 213.7 prescribes that inspections for

determination of safety compliance must be conducted by persons

possessing the necessary qualifications and authority to institute

immediate remedial action. Since the first indications of impending

safety defects must be recognized and acted upon by the railroad

employee assigned to inspect track, it is imperative that the

individual assigned possess the experience and knowledge required to

effectively perform that function. The railroads are required to assure

themselves that any person assigned to inspect track or repair track is

indeed qualified and to maintain a list of those employees. The form of

that record is left to the discretion of the railroad and may be

computerized. However, the record must show each designation in effect

and the basis for each designation. These records must be kept current

and available to Federal and State track inspectors engaged in the

enforcement of the Track Standards.

Subpart F of the Track Standards (49 CFR 213) establishes

requirements for the inspection of all track by qualified persons to

determine its suitability for train operation and Section 213.241

prescribes that appropriate records of those inspections be maintained

at the railroad's division headquarters. The form of that record is

left to the discretion of the railroad and may be either preprinted or

computerized. However, the record must show when the inspection was

made, the specific track inspected, any conditions which requires

repair and must be signed by the inspector. Track inspection records

must be retained at the railroad's division headquarters for one year.

Rail inspection records must be retained for two years after the

inspection.

These reports are used initially by the railroad companies to see

that tracks are inspected periodically, that the inspectors are

properly qualified, that the tracks are in safe condition for train

operations, and the reports may be used for maintenance planning where

repetitive defective conditions occur.

These same inspection reports are examined periodically by Federal

and State investigators to determine the railroad's compliance with the

inspection frequency requirement of the Track Safety Standards and

persons assigned to inspect tracks have been properly designated. By

comparison of remedial action notations on the reports with actual

track conditions, it is possible to judge the quality of railroad

performed inspections. The railroads employ some 5,000 persons who are

routinely engaged in track inspection and the review of these reports

may reveal weaknesses, if any, in the railroad's inspection and

maintenance program or discrepancies in employee designation. The

absence of these inspection reports would substantially harm the

Government's railroad safety program.

Estimated Annual Burden Hours: 1,764,774.

Form Number(s): N/A.

Affected Public: Railroad Businesses.

Number of Respondents: 500.

ADDRESSES: Send comments to the Office of Information and Regulatory

Affairs, Office of Management and Budget, 725 17th Street, NW.,

Washington, DC 20503, Attention: DOT Desk Officer. Comments are invited

on whether the proposed collection of information is necessary for the

proper performance of the functions of the Department, including

whether the information will have practical utility; the accuracy of

the Department's estimate of the burden of the proposed information

collection; ways to enhance the quality, utility and clarity of the

information to be collected; and ways to minimize the burden of the

collection of information on respondents, including the use of

automated collection techniques or other forms of information

technology.

Issued in Washington, DC on June 17, 1997.

Vanester M. Williams,

Clearance Officer, United States Department of Transportation.

[FR Doc. 97-16400 Filed 6-23-97; 8:45 am]

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