[Federal Register Volume 59, Number 160 (Friday, August 19, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-20023]


[[Page Unknown]]

[Federal Register: August 19, 1994]


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Part II





Department of Transportation





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Federal Railroad Administration



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49 CFR Part 225




Railroad Accident Reporting; Proposed Rule
DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Part 225

[FRA Docket No. RAR-4, Notice No. 6]
RIN 2130-AA58

 
Railroad Accident Reporting

AGENCY: Federal Railroad Administration (FRA).

ACTION: Notice of proposed rulemaking.

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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.

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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

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``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

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[FR Doc. 94-20023 Filed 8-18-94; 8:45 am]
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