[Federal Register Volume 76, Number 103 (Friday, May 27, 2011)]
[Rules and Regulations]
[Pages 30855-30863]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-13295]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
49 CFR Part 225
[Docket No. FRA-2006-26173; Notice No. 4]
RIN 2130-AB82
Accident/Incident Reporting Requirements
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
ACTION: Final rule; response to petitions for reconsideration.
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SUMMARY: This document responds to petitions for reconsideration
related to FRA's November 9, 2010, final rule revising FRA's
regulations addressing accident/incident reporting and recording, the
FRA Guide for Preparing Accident/Incident Reports (FRA Guide), its
accident/incident recording and reporting forms in addition to its
Companion Guide: Guidelines for Submitting Accident/Incident Reports by
Alternative Methods (Companion Guide). The final rule, which becomes
effective June 1, 2011, was intended to clarify ambiguous regulations
and to enhance the quality of information available for railroad
casualty analysis. This document amends and clarifies the final rule
based on FRA's review of the petitions for reconsideration and in order
to make necessary technical and clarifying changes.
DATES: This rule is effective July 1, 2011.
FOR FURTHER INFORMATION CONTACT: Mary Beth Butts, IT Specialist, U.S.
Department of Transportation, Federal Railroad Administration, Office
of Safety Analysis, RRS-22, Mail Stop 25, West Building 3rd Floor, Room
W33-306, 1200 New Jersey Avenue, SE., Washington, DC 20590 (telephone:
202-493-6296); or Gahan Christenson, Trial Attorney, U.S. Department of
Transportation, Federal Railroad Administration, Office of Chief
Counsel, RCC-10, Mail Stop 10, West Building 3rd Floor, Room W31-204,
1200 New Jersey Avenue, SE., Washington, DC 20590 (telephone: 202-493-
1381).
SUPPLEMENTARY INFORMATION:
I. The FRA Guide and the Companion Guide
FRA has revised the FRA Guide based upon its review of the
petitions for reconsideration submitted in response to the final rule
and to make necessary technical amendments that are addressed in the
``Section-by-Section'' analysis. The FRA Guide is posted on FRA's
website at http://safetydata.fra.dot.gov/officeofsafety. Hard copies of
the FRA Guide will be available upon request. Information on requesting
hard copies of the FRA Guide can be found in Sec. 225.21, ``Forms,''
of this final rule. FRA has also revised its Companion Guide containing
instructions for electronically submitting monthly reports to FRA based
upon its review of the petitions for reconsideration and to make
necessary technical amendments that are addressed in the ``Section-by-
Section'' analysis. The Companion Guide is posted on FRA's website at
http://safetydata.fra.dot.gov/officeofsafety.
II. Background
On September 9, 2008, FRA published a Notice of Proposed Rulemaking
(NPRM), which proposed miscellaneous amendments to FRA's accident/
incident reporting regulations in order to clarify ambiguous
regulations and to enhance the quality of information available for
railroad casualty analysis. See 73 FR 52496. The NPRM also proposed
revisions to the 2003 FRA Guide for Preparing Accident/Incident Reports
(2003 FRA Guide) and FRA's accident/incident recording and reporting
forms.
On September 10, 2008, during the 36th Railroad Safety Advisory
Committee (RSAC) meeting, RSAC Task No. 2008-02 was presented for
acceptance. The task offered to the RSAC for consideration was to
review comments received on FRA's NPRM and would have allowed the RSAC
to make recommendations for the content of the final rule. The task was
withdrawn at the meeting without RSAC acceptance.
Following publication of the NPRM in the Federal Register, FRA held
a public hearing in Washington, DC on December 18, 2008, and extended
the comment period for an additional thirty (30) days following the
hearing. The hearing was attended by a number of railroads,
organizations representing railroads, and labor organizations. FRA
received oral and written testimony at the hearing as well as written
comments during the extended comment period. A copy of the hearing
transcript was placed in Docket No. FRA-2006-26173 on http://www.regulations.gov. During the initial and extended comment period,
FRA received comments and heard testimony from the following
organizations, in addition to comments from individuals, listed in
alphabetical order:
American Association for Justice;
Association for American Railroads (AAR);
American Train Dispatchers Association;
BNSF Railway Company;
Brotherhood of Locomotive Engineers and Trainmen;
Brotherhood of Maintenance of Way Employes Division;
Brotherhood of Railroad Signalman;
California Public Utilities Commission;
U.S. Department of Labor;
Illinois Commerce Commission/Transportation Bureau/Rail
Safety Section;
Kansas City Southern Railway Company;
Metro-North Commuter Railroad Company;
National Railroad Passenger Corporation (Amtrak);
New York State Metropolitan Transportation Authority;
NJ Transit Rail Operations;
Norfolk Southern Corporation;
Southeastern Pennsylvania Transportation Authority
(SEPTA);
Union Pacific Railroad Company (UP); and
United Transportation Union.
On November 9, 2010, FRA issued a final rule, entitled
Miscellaneous Amendments to the Federal Railroad Administration's
Accident/Incident Reporting Requirements; Final Rule, clarifying and
amending FRA's accident/incident reporting and recording standards and
guidance. See 75 FR 68862. Following the publication of the final rule,
FRA received one formal petition for reconsideration from SEPTA, which
was entered into the docket on January 28, 2011. FRA also received an
informal request from UP to revise the FRA Guide by adding additional
circumstance codes. FRA opted to treat UP's comments as an informal
petition for reconsideration
[[Page 30856]]
entering the request into the docket on January 28, 2011, and is
responding to UP's request in this document. The petitions for
reconsideration raised various issues relating to the telephonic
reporting requirements, the telephonic reporting chart and circumstance
codes. The purpose of this document is to address the issues raised in
the petitions for reconsideration relating to the final rule
requirements.
The specific issues and recommendations raised by these
petitioners, and FRA's responses to those petitions are discussed in
detail in the ``Section-by-Section Analysis'' portion of the preamble.
The following section-by-section analysis also contains a detailed
discussion of each provision of the final rule text, the final rule
preamble, the FRA Guide and forms contained in the FRA Guide, or the
FRA Companion Guide that accompanies the final rule that is being
clarified or amended. This discussion will enable the regulated
community to more readily compare this document with the preamble
discussion contained in the final rule and will aid the regulated
community in understanding the requirements of the rule. Due to the
complexity of the final rule and the number of documents affected and
addressed in the rulemaking document and in an effort to provide
readers as clear of an understanding as possible of the technical and
clarifying amendments being made by this document, the section-by-
section analysis is being divided into the following discussion
sections:
A. Amendments to the Regulatory Text of Part 225.
B. Portions of Petitions for Reconsideration Being Denied.
C. Clarifying or Technical Amendments to the Preamble Discussion of the
Final Rule.
1. Section 225.15 Accidents/incidents Not To Be Reported
2. Chapter 2 of the FRA Guide, ``Definitions.''
3. Appendix C to the FRA Guide, ``Train Accident Cause Codes.''
D. Revisions to the FRA Companion Guide.
E. Clarifying or Technical Amendments to the FRA Guide.
1. Chapter 1 of the FRA Guide, ``Overview of Accident/Incident
Reporting and Recordkeeping Requirements.''
2. Appendix F of the FRA Guide, ``Circumstance Codes.''
3. Appendix H to the FRA Guide, ``Forms.''
4. Appendix J to the FRA Guide, ``Type of Territory Codes.''
5. Appendix L to the FRA Guide, ``49 CFR part 225.''
6. Appendix M to the FRA Guide, ``Telephonic Reporting Chart.''
IV. Section-by-Section Analysis
A. Amendments to the Regulatory Text of Part 225
FRA is making amendments to only one section of the final rule
text. This amendment concerns the definition of ``event or exposure
arising from the operation of a railroad contained in Sec. 225.5.
Section 225.5 Definitions
This document makes a technical amendment to the first tier subpart
(ii)(A) of the definition of ``Event or exposure arising from the
operation of a railroad''. The amendment removes ``non-train incident''
from the list of qualifying events arising from the operation of the
railroad with regards to non-employees who are injured while off
railroad property. This technical amendment is necessary because the
addition of this type of accident/incident to tier one subpart (ii)(A)
in the final rule inappropriately expanded the meaning of the term
``event or exposure arising from the operation of the railroad'' and
the type of injuries captured for non-employees who are off railroad
property beyond the scope intended. Removing ``non-train incident''
from the definition brings the meaning of the term into conformance
with the intent and scope of the NPRM and final rule. The inclusion of
this type of accident/incident in the definition is an obvious error
and a technical amendment is an appropriate action to correct this
oversight.
The final rule's clarification and restructuring of the definition
of ``event or exposure arising from the operation of the railroad'',
was not intended to change the term's meaning. Rather, the amendments
were intended to clarify the term and bring it into conformance with
existing industry practices. As such, the intent of the final rule was
to remain consistent with the FRA's intent in the 2003 Final Rule:
FRA developed a compromise position, proposing that railroads
not be required to report deaths or injuries to persons who are not
railroad employees that occur while off railroad property unless
they result from a train accident, a train incident, a highway-rail
grade crossing accident/incident, or a release of a hazardous
material or other dangerous commodity related to the railroad's rail
transportation business.
68 FR 10108-09, March 3, 2003 (FRA's 2003 Final Rule). The term ``event
or exposure arising from the operation of a railroad'' and its
definition were added in FRA's 2003 Final Rule to more narrowly tailor
what types of accidents/incidents were considered to ``arise from the
operation of a railroad'' and were, therefore, potentially reportable.
68 FR 10115-16.
However, the final rule in this proceeding amended the language
proposed in the NPRM for the first tier subpart (ii)(A) by adding the
term ``non-train incident'' to the list of qualifying events. Non-train
incident is 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.'' See Sec. 225.5, ``Definitions--Non train incident.'' FRA
stated in the final rule that this term was included to make the
definition consistent with the list of accidents/incidents contained in
the 2003 FRA Guide in addition to FRA's 2003 Final Rule amending its
accident/incident regulations. 68 FR 10107, March 3, 2003. In the 2003
FRA Guide, non-train incidents are included in the list of categories
of accidents/incidents; however, non-train incident was not included in
FRA's 2003 Final Rule definition as a qualifying event arising from the
operation of the railroad for non-employees who are injured while off
railroad property.
Upon further review, it appears that the final rule's clarifying
amendment is not consistent with the intent of FRA's 2003 Final Rule
and expands the meaning of the term beyond the intent and scope of the
final rule and NPRM. While non-train incident is included in the list
of accidents/incidents in the 2003 FRA Guide, it was excluded as a
triggering event for non-employees off railroad property in the related
2003 Final Rule. Moreover, the purpose of defining ``event or exposure
arising from the operation of the railroad'' in the 2003 Final Rule was
to limit the qualifying events with regards to non-employees. Based
upon the definition of non-train incident, a railroad would be
potentially responsible for reporting an injury to a non-employee
occurring off railroad property that does not involve the movement of
rail equipment. For example, under the definition contained in the
final rule, if an individual suffers a reportable injury as the result
of a car accident off railroad property involving a railroad
automobile, any subsequent injury to the non-employee would be
potentially reportable. This type of injury was not intended to be
captured by FRA's accident/incident reporting regulations. As such,
this document removes non-train incident from the list of qualifying
events under the first tier
[[Page 30857]]
subpart (ii)(A) of the definition of ``event or exposure arising from
the operation of the railroad''.
B. Portions of Petitions for Reconsideration Being Denied
This document denies that portion of SEPTA's petition for
reconsideration requesting the amendment of this section with regard to
limiting and consolidating the notification requirements to which a
railroad is subject.
Section 225.9 Telephonic reports of certain accidents/incidents and
other events
SEPTA's petition for reconsideration noted that a railroad may
potentially be required to comply with several agencies' immediate
notification requirements following an accident/incident, and;
therefore, a railroad would be required to comply with each agency's
separate notification requirements. SEPTA further suggested that the
agencies should share the information rather than requiring a railroad
to make several different notifications to streamline the process and
to ease the burden on the railroad.
As an initial matter, in the NPRM, FRA requested comments and
suggestions on four issues of concern. One of these issues was Sec.
225.9 telephonic reporting. Specifically, the NPRM noted that FRA was
considering changing the method by which telephonic reports of
accidents/incidents, as required by Sec. 225.9, are made. Under FRA's
current regulations, railroads are required to telephonically report
certain accidents/incidents to the National Response Center (NRC), who
in turn provides notification of the accidents/incidents to FRA. The
NPRM indicated that FRA was reviewing whether it would be preferable
for railroads to report these accidents/incidents directly to FRA via
electronic transmission, and specifically sought comments and
suggestions on the issue. FRA opted not to adopt any of the suggested
changes or to require direct reporting to FRA, as FRA's infrastructure
is inadequate to handle direct reporting. See 75 FR 68876, November 9,
2010.
With regards to SEPTA's specific suggestion to consolidate various
agency notification requirements, again, FRA is declining to adopt the
recommendation. Each government agency's notification requirements are
aimed to alert the agency to specific accidents/incidents. These
requirements may vary from agency to agency based upon their regulatory
authority and mission. Moreover, each regulation may vary in terms of
how and when notifications must occur. As such, the accidents/incidents
for which FRA requires notification may not capture the accidents/
incidents or the specific information that other agencies are
interested in or need to fulfill their mission. Moreover, FRA does not
have regulatory authority to control, change or alter other agencies'
notification requirements; as such, FRA is not currently in a position
to adopt or enforce SEPTA's recommendation. Finally, FRA does not
currently have the infrastructure in place to handle notifications on
behalf of other agencies or the ability to share that information
outside the FRA to the extent required by SEPTA's recommendation.
C. Clarifying or Technical Amendments to the Preamble Discussion of the
Final Rule
This document is making several clarifying or technical amendments
to the preamble discussions contained in the final rule. The preamble
discussions being clarified in this document involve discussions of the
regulatory text as well as discussions of the FRA Guide.
1. Section 225.15 Accidents/incidents Not To Be Reported
This document is making a clarifying amendment to the preamble
language in the Section-by-Section Analysis of the final rule relating
to a railroad's duty to investigate trespasser fatalities. See also, 75
FR 68889. The final rule requires railroads to investigate all
trespasser fatalities in order to determine the cause of death. As
explained in the final rule, FRA included this requirement to ensure
that railroads are taking the proper steps to confirm whether or not a
death is a suicide. The railroad must continue its investigation for a
period of six months or until it is able to confirm the cause of death
(or whichever occurs first). FRA anticipates that, if the cause of
death is obvious (e.g., there are no indications that the individual(s)
died as the result of a suicide), a railroad's investigation will not
take the full six months and the cause of death will be easily
confirmed with proper authority.
In discussing this new requirement, the preamble language stated
that ``if a railroad cannot obtain the required information after
making a documented good faith effort for six months, then the railroad
may discontinue its investigation and report the casualty as a
trespasser fatality.'' 75 FR 68870, 68879. After reviewing this
language and receiving questions from the industry, FRA has determined
that this sentence is confusing and misleading. Consequently, this
document clarifies the discussion contained in Section-by-Section
Analysis for the final rule.
FRA did not intend to negate a railroad's duty to create and submit
a Form FRA F 6180.55a for a reportable trespasser fatality within 30
days after the month within which the death occurred. Rather, this
preamble discussion was intended to explain a railroad's obligation at
the end of the six month investigative period if the railroad cannot
confirm the cause of the death. As such, once a railroad learns about a
reportable trespasser fatality, the railroad must create and submit a
Form FRA F 6180.55a to the FRA within 30 days after the month within
which the death occurred. However, after submitting the Form FRA F
6180.55a, the railroad must continue to try to confirm the cause of
death for a period of up to six months for trespasser fatalities. If
the railroad is able to confirm the cause of death, the railroad must
amend, or correct, the Form FRA 6180.55a as appropriate. If the
railroad is unable to confirm the cause of death, the fatality may be
reported as a trespasser fatality so that the death remains as a
trespasser fatality on the Form FRA F 6180.55a and the railroad is not
required to amend or correct the report.
FRA is clarifying the above language to avoid any potential
confusion and to ensure that railroads are consistently submitting
their reports to the FRA in a timely fashion. As stated above, the new
investigative requirements are not meant to eliminate a railroad's duty
to make a report per Sec. 225.11 or to delay the reporting of
trespasser fatalities for a period of six months (or until the railroad
can determine cause of death). Rather, FRA was attempting to instruct
railroads on how to proceed at the end of the six month investigative
period in situations in which the railroad is unsuccessful in
determining the cause of death.
2. Chapter 2 of the FRA Guide, ``Definitions''
This document identifies and corrects preamble language regarding
Chapter 2 of the FRA Guide relating to the Definition of ``Worker on
Duty-Employee (Class A).'' This correction does not result in any
amendments or changes to the actual definition.
The final rule removed an example to the definition of Worker on
Duty-Employee (Class A) characterizing an employee on his lunch break
as on duty. This example was inserted into the definition in the NPRM.
FRA received a comment from the AAR with regards to this example
requesting its removal as an employee who is injured on an
[[Page 30858]]
unpaid lunch break may not be considered on-duty. FRA agreed with the
AAR and recognized that an employee who is not under pay is generally
considered off duty. Consequently, FRA removed the example in the final
rule to avoid confusion. However, in removing the example, the preamble
language stated that ``[i]n general, an employee on a break, whether
paid or unpaid, is considered an Employee Not On Duty (Class B).'' See
75 FR 68886.
This statement is incorrect and clearly inconsistent with the
definition of Worker on Duty-Employee (Class A) contained in the final
rule and the examples contained in the FRA Guide. Rather, as stated in
the definition of Worker on Duty-Employee (Class A), ``[w]hether or not
the worker is under pay will normally be the deciding factor for
determining `on-duty' status.'' FRA Guide, Chapter 2. While there are
certain exceptions, an employee who is under pay at the time of his
injury is generally considered on-duty. FRA intended to state that an
employee on a break, if unpaid, is generally considered an Employee Not
On Duty (Class B). Consequently, the preamble language was an obvious
error and a technical amendment is an appropriate action to correct
this oversight.
3. Appendix C to the FRA Guide, ``Train Accident Cause Codes''
This document identifies and corrects erroneous information
contained in the preamble language to the final rule. However, this
correction does not result in any amendments or changes to the actual
Train Accident Cause Codes. The final rule added an additional Train
Accident Cause Code in response to a recommendation from the National
Transportation Safety Board (NTSB). Both the final rule and NPRM
discussed the background and history of this recommendation in the
preamble. Specifically, the final rule stated that:
FRA added Train Accident Cause Code T224 in response to the
National Transportation Safety Board's (NTSB) 2005 recommendation
that FRA provide a train accident cause code for derailments caused
by bond wire attachments. This recommendation arose from the NTSB's
investigation of the derailment of northbound National Railroad
Passenger Corporation (Amtrak) train No. 58 while operating on
Canadian National (CN) track near Flora, Mississippi, on April 6,
2004. The derailment resulted in one fatality, 35 injuries (that
were reportable to FRA), and damage costs of approximately $7
million. The NTSB recommended that FRA include in the FRA Guide a
train accident cause code for derailments caused by rail cracks
originating from bond wire attachments, and that information on the
methods and locations of those attachments be provided in the
narrative section of the accident/incident report (NTSB
Recommendation Number RAR-05/02).
See 75 FR 68891. However, upon further review, FRA has discovered that
the final rule and NPRM erroneously referenced NTSB Recommendation
Number RAR-05/02. Rather, the relevant recommendation is actually
contained in NTSB Railroad Accident Report Number 05/01 (RAR 05/01).
Moreover, the final rule and NPRM mistakenly discussed the facts
involved in NTSB Railroad Accident Report Number 05/02 (RAR 05/02). See
75 FR 68891.
To clarify, FRA added Train Accident Cause Code T224 in response to
NTSB Safety Recommendation No. Recommendation-05-02 (R-05-02), which
was contained in NTSB's RAR 05/01. Moreover, this recommendation arose
from the NTSB investigation into the derailment of a northbound CN
train on February 9, 2003, in Tamaroa, Illinois, and the subsequent
release of hazardous materials. A copy of the NTSB's RAR 05/01,
containing NTSB's R-05-02, has been placed in Docket No. FRA-2006-26173
on http://www.regulations.gov for ease of reference.
D. Revisions to the FRA Companion Guide
The Companion Guide, a technical manual that did not go through
formal notice and comment, contains instructions for electronically
submitting monthly reports. As such, the Companion Guide also includes
directions for handling reports and records after June 1, 2011, with
regards to the creation and submission of the reports, including late
reports, and the amending/correcting of reports for accidents/incidents
occurring prior to the effective date. The Companion Guide currently
instructs that ``railroads amending reports or records created or
submitted prior to the effective date of the new rule, or submitting
late reports for accidents that occurred prior to the effective date of
the new rule, must amend those records and reports consistent with the
new regulations and newest FRA Guide.'' See Companion Guide,
Introduction.
However, upon further consideration, FRA is revising the
instructions contained in the Companion Guide to eliminate any
confusion, to avoid requiring railroads to retroactively apply the new
rules and regulations, and to prevent any potential issues with the
collection of accident/incident data. FRA will also include these
revised instructions in the FRA Guide. As an initial matter, the
instructions contained in the Companion Guide are being revised as they
could potentially create confusion and problems with FRA's accident/
incident data and require the railroad to retroactively apply the new
rule and regulations. If a railroad is required to apply the reporting
and recording regulations contained in the final rule to determine
whether an accident/incident occurring prior to the effective date is
reportable, a railroad may potentially have to report an accident/
incident that was not reportable at the time it occurred. For example,
under the current guidance, a railroad may have to report a suicide or
attempted suicide even though it occurred prior to the effective date
of the final rule. The revised instructions, set forth below, will
ensure that accidents/incidents are reported/recorded in a manner
consistent with the rules and regulations that were in place at the
time the accident/incident occurred.
FRA received numerous questions from the railroads requesting
additional clarification and instructions with regards to this issue
indicating that the directions contained in the Companion Guide are
either too difficult to find and/or to understand. By revising these
instructions and including them in the FRA Guide, FRA anticipates
eliminating further confusion, improving compliance, and ensuring
accurate accident/incident data.
E. Clarifying or Technical Amendments to the FRA Guide
This document makes the following general clarifying or technical
amendments throughout the FRA Guide: correct typos and formatting
issues; highlight key provisions for additional emphasis; and update
the Index and Table of Content to reflect changes in pagination.
Moreover, this document updates the publication and effective dates
throughout the FRA Guide.
1. Chapter 1 of the FRA Guide, ``Overview of Accident/Incident
Reporting and Recordkeeping Requirements''
This document makes a clarifying amendment to Chapter 1 of the FRA
Guide by adding instructions for creating and submitting records and
reports, including late reports, in addition to amending/correcting
reports after the final rule's June 1, 2011, effective date for
accidents/incidents occurring prior to that date. This issue is
addressed in the preceding discussion related to revisions being made
to the FRA Companion Guide. This document
[[Page 30859]]
provides notice that the revised directions discussed above are being
added to the FRA Guide for ease of reference and convenience.
Consequently, this document adds the revised instructions, which are
consistent with the revised instructions contained in the Companion
Guide, to Chapter 1 of the FRA Guide. These instructions explain to
railroads that:
[w]hen determining whether (and which form(s) to use) to report/
record an accident/incident a railroad must use the forms and
standards that were in effect on the date that the accident/incident
occurred. Therefore any reports, including late reports, or records
created for an accident/incident that occurred prior to June 1,
2011, are subject to the standards (and required to use the forms)
that were in effect prior to the Miscellaneous Amendment to the
Federal Railroad Administration's Accident/Incident Reporting
Requirements; Final Rule, which became effective June 1, 2011. 75 FR
68862, November 9, 2010. When amending/correcting a report/record
after June 1, 2011, for an accident/incident that occurred prior to
June 1, 2011, a railroad should simply amend/correct the report/
record that was originally created for the accident/incident.
See FRA Guide, Chapter 1. Again, these amendments are appropriate as
they will clarify the reporting/recording requirements for certain
accidents/incidents and eliminate any potential data collection issues.
2. Appendix F of the FRA Guide, ``Circumstance Codes''
This document amends Appendix F of the FRA Guide by adding
additional Circumstance Codes in response to the petitions for
reconsideration. The final rule added new Circumstance Codes to
Appendix F of the FRA Guide for use on Form FRA F 6180.55a, ``Railroad
Injury and Illness Summary (Continuation Sheet)''.
This document is adding Location Circumstance Code CE--``On Station
Platform'' to Part III of the ``Location Circumstance Codes'' in
response to SEPTA's petition for reconsideration. The preamble to the
final rule stated that the final rule would change Location
Circumstance Code C2--``On Platform'' to ``On Platform Station.'' See
75 FR 68892. However, as SEPTA noted in its petition, the final rule
did not in fact make this change. While this document adds this new
code, this document does not remove or replace Location Circumstance
Code C2--``On Platform''. Upon further review, FRA has determined that
``On Station Platform'' is too specific to replace ``On Platform'' as
there are other types of platforms beyond station platforms. As FRA
wants to continue collecting information about accidents/incidents
occurring at those locations, this document does not eliminate C2--``On
Platform''. Moreover, this document uses the code ``On Station
Platform'' instead of ``On Platform Station'' as the former is a more
accurate description.
This document is also amending Appendix F of the FRA Guide by
adding several additional Circumstance Codes in response to UP's
petition for reconsideration. FRA has reviewed the additional codes
recommended by UP and believes that they will improve FRA accident/
incident data. Thus, FRA is adding the following new codes to Appendix
F--Circumstance Codes as follows:
(a) To Part I of the ``Location Circumstance Codes'' FRA adds
codes:
F--Restroom;
U--Airport/Airplane;
V--Freight terminal; and,
W--Private property.
(b) To Part III of the ``Location Circumstance Codes'' FRA adds
codes:
AA--At freight terminal;
AB--On tower;
AC--In cafeteria/lunch room;
D1--At lodging facility;
D2--On highway/street;
D3--On private property;
D4--On sidewalk/walkway
D5--In airport;
D6- In airplane;
D7--In hotel room;
E1--On parking lot;
E2--In building; and,
E3--In restroom.
(c) To the ``Tools, Machinery, Appliances, Structures, Surfaces,
(etc.) Circumstance Codes'' FRA adds code:
8K--Knuckle.
3. Appendix H to the FRA Guide, ``Forms''
This document makes a general clarifying or technical amendment to
each of the accompanying FRA forms, updating the expiration date of
each form. The Office of Management and Budget (OMB) approved the
information collections submissions associated with the accident/
incident final rule. As such, the new expiration date for the forms is
February 28, 2014. FRA received notification of OMB's decision
following the publication of the final rule and, as such, this document
makes the technical amendment so that the forms to reflect the change
in the expiration date.
The forms are revised as follows:
Form FRA F 6180.107. This document corrects certain preamble
language addressing a railroad's obligation to create a Form FRA F
6180.107 within a proscribed time period. However, this correction will
not result in any changes to the regulatory text or FRA Guide. In
discussing revisions to the Form FRA F 6180.107 with regards to block
23, the final rule stated that:
FRA is making this revision to ensure that it can discern if the
railroad entered each claimed occupational illness on the
appropriate record no later than seven calendar days after receiving
information or acquiring knowledge that an injury or illness or rail
equipment accident/incident has occurred, as required in Sec.
225.25(i)(2).
See 75 FR 68897. These instructions are an obvious mistake and this
documents clarifies that, consistent with the instructions in Sec.
225.21(i)(2) and throughout the preamble to the final rule, a railroad
must actually enter each claimed occupational illness ``no later than
seven working days after receiving knowledge that an employee is
claiming they have incurred an occupational illness.'' See 75 FR 68907.
This technical amendment is appropriate as the mistake was obvious and
this document highlights this issue to avoid any potential confusion.
Form FRA F 6180.150. A technical amendment is being made to Form
FRA F 6180.150, by removing the word ``draft'' from the form. As stated
in the final rule, Form FRA F 6180.150 was submitted to OMB and pending
approval. See 75 FR 68888. FRA submitted the Form FRA F 6180.150 to OMB
with the final rule. OMB notified FRA that it approved the form, and;
as such, it may now be used to collection information about potential
injuries to highway-users involved in highway-rail grade crossing
accidents/incidents.
4. Appendix J to the FRA Guide, ``Type of Territory Codes''
This document makes several clarifying and technical amendments to
Appendix J of the FRA Guide, which provides Type of Territory Codes and
instructions for the use of those codes when completing block 30,
``Type of Territory,'' on Form FRA F 6180.54, ``Rail Equipment
Accident/Incident Report.'' See 75 FR 68897. The codes represent the
type of territory (i.e., signaled territory versus non-signaled
territory); the authority for movement (i.e., signal indication;
mandatory directive; other than main track--Rule 105); and additional
miscellaneous supplemental codes. See FRA Guide, Appendix H, ``Forms''.
This document amends the list identifying the various methods of
control (i.e., systems) contained on page J-2 of the FRA Guide,
Appendix J, by eliminating the outdated term ``Direct Train Control''.
Previously, FRA included this term because one particular railroad used
it as a formal method of operation; however, that
[[Page 30860]]
particular railroad no longer uses that method of operation and has
since started using Track Warrant Control. Therefore, this term is no
longer applicable and no longer used in the industry. Thus, FRA is
removing it for clarity and to avoid any potential confusion. Moreover,
there will be no conflict with FRA's use of the term Direct Train
Control as a generic, or ``umbrella,'' term, which FRA uses, generally,
to refer to this common method of operation in the industry as a whole.
This document adds supplemental code ``Z-Other-Narrative Required''
to the list for position 4 and 5 for non signals on page J-4 of the FRA
Guide, Appendix J. FRA created the code ``Other-Narrative Required'' to
ensure that if other existing codes are inadequate the railroads are
able to accurately complete the field and to ensure that FRA is able to
obtain a response. FRA discovered that it failed to list this
supplemental code in two positions. While the directions found on page
J-1 of the FRA Guide, Appendix J, make it clear that this code is
always available in case existing codes are insufficient; this document
adds these codes for clarity and consistency.
This document also amends the supplemental codes found on pages J-5
and J-6 so that the supplemental codes consistently correspond to the
same narrative throughout Appendix J to the FRA Guide. This clarifying
amendment is intended to eliminate any confusion potentially created in
the final rule resulting from switching the supplemental code and the
narrative description throughout Appendix J to the FRA Guide. As a
result of this amendment, the supplemental codes correspond to the same
narrative (e.g., Supplemental Code L means Special Instructions)
throughout Appendix J to the FRA Guide; whereas, under the final rule,
the supplemental code and its narrative varied throughout Appendix J to
the FRA Guide. Consequently, the supplemental codes contained in
Appendix J to the FRA Guide have the following meaning:
A--Auto Cab Signals
B--Auto Train Control
C--Auto Train Stop
D--Automatic Block Signals System
E--Broken Rail Monitoring
F--Direct Traffic Control
G--Interlocking
H--Manual Block System
J--Positive Train Control
K--Restricted Speed or Equivalent
L--Special Instructions
M--Switch Point Monitoring
N--Time Table/Train Orders
P--Track Warrant Control
Q--Traffic Control System/CTC
R--Yard/Restricted Limits
T--Other Than Main Track
Z--Other-Narrative Required
5. Appendix L to the FRA Guide, ``49 CFR part 225''
The document makes two technical amendments to Appendix L of the
FRA Guide, which includes the full regulatory text of part 225. The
final rule included this rule text for ease of reference. This document
alters only the rule text found in Appendix L of the FRA Guide and does
not affect any other part of the final rule. First, a technical
amendment is being made to update the reporting threshold by including
the reporting threshold for 2011, which is $9,400. The reporting
threshold for 2011 was calculated and published after the publication
of the final rule. See 75 FR 75911, December 7, 2010. This revision
affects Sec. 225.19 (c) and (e), which include a list of the current
and past reporting thresholds.
An amendment is also being made to the title of Form FRA F 6180.56
in Sec. 225.21 in Appendix L of the FRA Guide. The regulatory text
included Appendix L as part of the final rule identified Form FRA F
6180.56 as ``Annual Railroad Report of Manhours by State'' and this
document corrects the form's title to ``Annual Railroad Report of
Employee Hours and Casualties by State.'' This was an obvious error as
the form is correctly identified elsewhere in the final rule, the
actual regulatory text and the FRA Guide.
6. Appendix M to the FRA Guide, ``Telephonic Reporting Chart''
This document revises the Telephonic Reporting Chart contained in
Appendix M to the FRA Guide to make clarifying and technical amendments
in response to the petitions for reconsideration and to make the chart
consistent with the rule text. In addition, this document makes several
general technical amendments to the Telephonic Reporting Chart. These
include updating the footnote numbering as a result of substantive
changes and correcting typos.
The Telephonic Reporting Chart is amended in response to SEPTA's
petition for reconsideration. In its petition for reconsideration,
SEPTA requested clarification with regards to the use and placement of
footnote number four dealing with the ``24 hours notification cap'' for
fatalities resulting from a highway-rail grade crossing accident/
incident. SEPTA noted that the placement of the footnote appeared to
expand the ``24 hours notification cap'' to all fatalities regardless
of the circumstances.
The final rule amended the accident/incident telephonic reporting
requirements related to fatalities that occur at highway-rail grade
crossings as a result of train accidents or train incidents. FRA had
previously required railroads to report immediately to the National
Response Center (NRC), via telephone, ``a fatality at a highway-rail
grade crossing as a result of a train accident or train incident.'' 49
CFR 225.9(a)(2)(iii). FRA found that confusion existed as to the
applicability of this requirement when death does not occur at the
scene of the accident/incident, but occurs several hours or days later,
after the fatally injured person is taken to the hospital for
treatment.
As a result, the final rule revised the telephonic reporting
requirement for highway-rail grade crossing fatalities to require
telephonic reporting only if death occurs within 24 hours of the
accident/incident. This revision is consistent with the Department of
Transportation, Office of Inspector General's November 28, 2005
recommendation (Report No. MH-2006-016), which recommended that FRA
amend Sec. 225.9 to clarify the reporting requirements and to include
criteria requiring railroads to report to NRC any death at a highway-
rail grade crossing, only if death occurs within 24 hours of the
accident/incident.
This document updates and moves footnote number four to make it
clear that the ``24 hours notification cap'' applies only to ``a
fatality at a highway-rail grade crossing as a result of a train
accident or train incident'' as explained in the final rule. 49 CFR
225.9(a)(2)(iii). FRA agrees with SEPTA's contention that the placement
of the footnote could potentially cause confusion, and; as such, the
clarifying amendment is appropriate.
This document updates the Telephonic Reporting Chart contained in
Appendix M to the FRA Guide to reflect changes made to Sec.
225.9(a)(2)(iv) and to accurately reflect the regulatory language in
Sec. 225.9(a)(2)(v). The final rule made a technical amendment to
paragraph (a)(2)(iv) by adding the words ``or more'' after $150,000, to
clarify that the telephonic reporting requirement is triggered when a
train accident results in damage of $150,000 or more to railroad and
non-railroad property. The Telephonic Reporting Chart is updated to
reflect this change in the rule text. Similarly, the Telephonic
Reporting Chart is updated so that it accurately reflects the rule text
in Sec. 225.9(a)(2)(v) by changing the language from ``damage
[[Page 30861]]
in excess of $25,000'' to ``$25,000 or more''. Both of these amendments
are necessary to correct obvious errors.
Finally, in reviewing the Telephonic Reporting Chart, FRA
discovered that the chart does not include paragraph (a)(1)(iii). Thus,
the Telephonic Reporting Chart is being amended so that it includes
paragraph (a)(1)(iii) and accurately reflects the rule text. Again, the
failure to include this paragraph was an obvious oversight and this
amendment makes the Telephonic Reporting Chart consistent with the rule
text.
V. Regulatory Impact and Notices
A. Executive Orders 12866 and 13563 and DOT Regulatory Policies and
Procedures
This revised final rule in response to petitions for
reconsideration has been evaluated in accordance with existing policies
and procedures and determined to be non-significant under not only
Executive Orders 12866 and 13563 but also DOT policies and procedures.
See 44 FR 11034; February 26, 1979. FRA has analyzed the costs and
benefits of the revisions to the final rule. With two exceptions, the
revisions FRA is making are technical corrections or clarifications and
will not have any economic impact. They will serve to make clear and
correct the requirements of the final rule and its accompanying FRA
Guide. Although the addition of circumstance codes for Location as well
as Tools, Machinery, Appliances, and Structures may add some reporting
burden, it would be nominal. Parties filling out the forms would have
more codes to select from to describe the accident or incident
circumstances, but no fields have been added to any reporting forms.
FRA is also revising the definition of ``event or exposure arising from
the operation of the railroad'' in Sec. 225.5, ``Definitions''. In the
final rule, FRA included non-train incidents in the list of events that
can result in a reportable injury to a non-employee while off railroad
property. Upon further review, it appears this amendment was overly
broad and would capture more information than original intended. As
such, FRA is removing this from the list.
Since any burden associated with the added cause codes for
accidents and incidents would be nominal and the Regulatory Evaluation
conducted in support of the final rule already took into account the
impacts of the new definition of ``event or exposure arising from the
operation of the railroad,'' FRA believes that the outcome of that
analysis would not be impacted. Even if that were not the case, FRA is
confident that the cost savings from the revised definitions would
exceed any additional cost burden. In other words, the revised
definition represents the least costly alternative for achieving the
desired safety outcome. To the extent that any additional burden
results from the additional circumstance codes, it will be nominal and
have no impact on the findings of the Regulatory Evaluation of the
final rule.
B. Regulatory Flexibility Act and Executive Order 13272
The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.) and
Executive Order 13272 (67 FR 53461; August 16, 2002) require agency
review of proposed and final rules to assess their impact on small
entities. The Regulatory Flexibility Act requires an agency to review
regulations to assess their impact on small entities. An agency must
conduct a regulatory flexibility analysis unless it determines and
certifies that a rule is not expected to have a significant impact on a
substantial number of small entities. Pursuant to the Regulatory
Flexibility Act of 1980, 5 U.S.C. 605(b), the FRA Administrator
certifies that the revisions to the final rule will not have a
significant economic impact on a substantial number of small entities.
Although a substantial number of small railroads will be affected by
these revisions, none of these entities will be significantly impacted.
The net impact of these revisions is beneficial stemming from a
reduction in burden associated with not reporting certain events. At
the NPRM stage, FRA certified that the proposal would not result in a
significant economic impact on a substantial number of small entities
and requested comment on such certification as well all other aspects
of the NPRM. Although many comments were received in response to the
NPRM, no comments directly addressed the certification. In developing
the final rule, FRA considered all comments received in response to the
NPRM. FRA also certified that the final rule would not have a
significant economic impact on a substantial number of small entities.
``Small entity'' is defined in 5 U.S.C. 601 as including a small
business concern that is independently owned and operated, and is not
dominant in its field of operation. The U.S. Small Business
Administration (SBA) has authority to regulate issues related to small
businesses, and stipulates in its size standards that a ``small
entity'' in the railroad industry is a for profit ``line-haul
railroad'' that has fewer than 1,500 employees, a ``short line
railroad'' with fewer than 500 employees, or a ``commuter rail system''
with annual receipts of less than seven million dollars. See ``Size
Eligibility Provisions and Standards,'' 13 CFR part 121 subpart A.
Additionally, section 601(5) defines as ``small entities'' governments
of cities, counties, towns, townships, villages, school districts, or
special districts with populations less than 50,000. Federal agencies
may use a different standard for small entities, in consultation with
SBA and in conjunction with public comment. Pursuant to that authority
FRA has published a final statement of agency policy that formally
establishes ``small entities'' or ``small businesses'' as being
railroads, contractors and hazardous materials shippers that meet the
revenue requirements of a Class III railroad as set forth in 49 CFR
1201.1-1, which is $20 million or less in inflation-adjusted annual
revenues, and commuter railroads or small governmental jurisdictions
that serve populations of 50,000 or less. See 68 FR 24891, May 9, 2003,
codified at Appendix C to 49 CFR part 209. The $20 million limit is
based on the Surface Transportation Board's revenue threshold for a
Class III railroad carrier. Railroad revenue is adjusted for inflation
by applying a revenue deflator formula in accordance with 49 CFR
1201.1-1. FRA is using this definition for this rulemaking. This final
rule applies to railroads. There are approximately 665 small railroads
that would be affected by this final rule. The factual basis for the
certification that this final rule will not have a significant economic
impact on a substantial number of small entities, is that the total
cost of complying with the final rule will be either unchanged or
reduced.
C. Paperwork Statement--Accident/Incident Reporting and Recordkeeping
This response to petitions for reconsideration of the final rule
does not change any of the information collection requirements and
associated estimated burden contained in the original final rule.
D. Federalism Implications
This response to petitions for reconsideration and the revised
final rule have been analyzed in accordance with the principles and
criteria contained in Executive Order 13132, ``Federalism'' (64 FR
43255, Aug. 10, 1999), which requires FRA to develop an accountable
process to ensure ``meaningful and timely input by State and local
officials in the development of regulatory policies that have
federalism implications.'' ``Policies that have federalism
implications'' are defined in
[[Page 30862]]
the Executive Order to include regulations that have ``substantial
direct effects 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.'' Under
Executive Order 13132, the agency may not issue a regulation with
federalism implications that imposes substantial direct compliance
costs and that is not required by statute, unless the Federal
government provides the funds necessary to pay the direct compliance
costs incurred by State and local governments, the agency consults with
State and local governments, or the agency consults with State and
local government officials early in the process of developing the
proposed regulation. Where a regulation has federalism implications and
preempts State law, the agency seeks to consult with State and local
officials in the process of developing the regulation.
FRA believes it is in compliance with Executive Order 131132.
Because the amendments contained in this response to petitions for
reconsideration of the final rule either clarify requirements currently
contained in the final rule or allow for greater flexibility in
complying with the final rule, this document will not have substantial
direct effects on the States, on the relationship between the national
government and the States, nor on the distribution of power and
responsibilities among various levels of government. In addition, FRA
has determined that this response to petitions for reconsideration of
the final rule will not impose substantial direct compliance costs on
State and local governments. Therefore, the consultation and funding
requirements of Executive Order 13132 do not apply.
FRA notes that this part could have preemptive effect by the
operation of law under the FRSA. See 49 U.S.C. 20106. Section 20106
provides that States may not adopt or continue in effect any law,
regulation, or order related to railroad safety or security that covers
the subject matter of a regulation prescribed or issued by the
Secretary of Transportation (with respect to railroad safety matters)
or the Secretary of Homeland Security (with respect to railroad
security matters), except when the State law, regulation, or order
qualifies under the ``essentially local safety or security hazard''
exception to Sec. 20106.
In sum, FRA has analyzed this response to petitions for
reconsideration in accordance with the principles and criteria
contained in Executive Order 13132, and has determined that preparation
of a federalism summary impact statement for this document is not
required.
E. International Trade Impact Assessment
The Trade Agreement Act of 1979 prohibits Federal agencies from
engaging in any standards or related activities that create unnecessary
obstacles to the foreign commerce of the United States. Legitimate
domestic objectives, such as safety, are not considered unnecessary
obstacles. The statute also requires consideration of international
standards and, where appropriate, that they be the basis for U.S.
standards. This response to the petitions for reconsideration and the
revised final rule are purely domestic in nature and are not expected
to affect trade opportunities for U.S. firms doing business overseas or
for foreign firms doing business in the United States.
F. Environmental Impact
FRA has evaluated this response to the petitions for
reconsideration in accordance with its ``Procedures for Considering
Environmental Impacts'' (FRA's Procedures) (64 FR 28545; May 26, 1999)
as required by the National Environmental Policy Act (42 U.S.C. 4321 et
seq.), other environmental statutes, Executive Orders, and related
regulatory requirements. FRA has determined that this response to the
petitions for reconsideration is not a major FRA action (requiring the
preparation of an environmental impact statement or environmental
assessment) because it is categorically excluded from detailed
environmental review pursuant to section 4(c)(20) of FRA's Procedures.
See 64 FR 28547; May 26, 1999. Section 4(c)(20) reads as follows:
Actions categorically excluded. Certain classes of FRA actions
have been determined to be categorically excluded from the
requirements of these Procedures as they do not individually or
cumulatively have a significant effect on the human environment * *
*. The following classes of FRA actions are categorically excluded:
* * * Promulgation of railroad safety rules and policy statements
that do not result in significantly increased emissions or air or
water pollutants or noise or increased traffic congestion in any
mode of transportation.
In accordance with section 4(c) and (e) of FRA's Procedures, the
agency has further concluded that no extraordinary circumstances exist
with respect to this response to petitions for reconsideration that
might trigger the need for a more detailed environmental review. As a
result, FRA finds that this revised final rule is not a major Federal
action significantly affecting the quality of the human environment.
G. Unfunded Mandates Reform Act of 1995
Pursuant to Section 201 of the Unfunded Mandates Reform Act of 1995
(Pub. L. 104-4, 2 U.S.C. 1531), each Federal agency ``shall, unless
otherwise prohibited by law, assess the effects of Federal regulatory
actions on State, local, and tribal governments, and the private sector
(other than to the extent that such regulations incorporate
requirements specifically set forth in law).'' Section 202 of the Act
(2 U.S.C. 1532) further requires that ``before promulgating any general
notice of proposed rulemaking that is likely to result in the
promulgation of any rule that includes any Federal mandate that may
result in expenditure by State, local, and tribal governments, in the
aggregate, or by the private sector, of $100 million or more (adjusted
annually for inflation) [$140.8 million in 2010] in any 1 year, and
before promulgating any final rule for which a general notice of
proposed rulemaking was published, the agency shall prepare a written
statement'' detailing the effect on State, local, and tribal
governments and the private sector. This response to the petitions for
reconsideration of the final rule, including the revised final rule,
would not result in the expenditure, in the aggregate, of $140.8
million or more in any one year, and thus preparation of such a
statement is not required.
H. Energy Impact
Executive Order 13211 requires Federal agencies to prepare a
Statement of Energy Effects for any ``significant energy action.'' 66
FR 28355, May 22, 2001. Under the Executive Order, a ``significant
energy action'' is defined as any action by an agency (normally
published in the Federal Register) that promulgates or is expected to
lead to the promulgation of a final rule or regulation, including
notices of inquiry, advance notices of proposed rulemaking, and notices
of proposed rulemaking: (1)(i) That is a significant regulatory action
under Executive Order 12866 or any successor order, and (ii) is likely
to have a significant adverse effect on the supply, distribution, or
use of energy; or (2) that is designated by the Administrator of the
Office of Information and Regulatory Affairs as a significant energy
action. FRA has evaluated this response to the petitions for
reconsideration of the final rule, including the revised final rule, in
accordance with Executive Order 13211. FRA has determined that this
revised final rule is not likely to have a significant adverse effect
on the supply, distribution, or use of energy.
[[Page 30863]]
Consequently, FRA has determined that this regulatory action is not a
``significant energy action'' within the meaning of Executive Order
13211.
I. Privacy Act
Interested parties should be aware that anyone is able to search
the electronic form of all comments received into any agency docket by
the name of the individual submitting the comment (or signing the
comment, if submitted on behalf of an association, business, labor
union, etc.). To get more information on this matter and to view the
Regulations.gov Privacy Notice go to http://www.regulations.gov/search/footer/privacyanduse.jsp. You may review DOT's complete Privacy Act
Statement in the Federal Register published on April 11, 2000 (65 FR
19477-78).
List of Subjects in 49 CFR Part 225
Investigations, Penalties, Railroad safety, and Reporting and
recordkeeping requirements.
For the reasons discussed in the preamble, FRA amends part 225 of
chapter II, subtitle B of Title 49, Code of Federal Regulations, as
follows:
PART 225--[AMENDED]
0
1. The authority citation for part 225 continues to read as follows:
Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-02,
21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49.
0
2. Section 225.5 is amended by revising paragraph (1)(ii)(A) in the
definition of ``event or exposure arising from the operation of a
railroad'' to read as follows:
Sec. 225.5 Definitions.
* * * * *
Event or exposure arising from the operation of a railroad means--
(1) * * *
(ii) * * *
(A) A train accident or a train incident involving the railroad; or
* * * * *
Issued in Washington, DC, on May 24, 2011.
Joseph C. Szabo,
Administrator, Federal Railroad Administration.
[FR Doc. 2011-13295 Filed 5-26-11; 8:45 am]
BILLING CODE 4910-06-P