2024-22326. Federal Railroad Administration Accident/Incident Investigation Policy for Gathering Information and Consulting With Stakeholders

Table 1—Total Costs of the Direct Final Rule (2023 Dollars) ⁶

Year	Total stakeholder costs	Total government costs	Total costs	Discounted 7%	Discounted 3%
1	$97,922	$19,753	$117,675	$117,675	$117,675
2	97,922	10,541	108,463	101,367	105,304
3	97,922	10,541	108,463	94,736	102,237
4	97,922	10,541	108,463	88,538	99,259
5	97,922	10,541	108,463	82,746	96,368
6	97,922	10,541	108,463	77,333	93,561
7	97,922	10,541	108,463	72,273	90,836
8	97,922	10,541	108,463	67,545	88,190
9	97,922	10,541	108,463	63,126	85,622
10	97,922	10,541	108,463	58,997	83,128
Total	979,220	114,622	1,093,842	824,336	962,180
Note: This table and some others throughout this analysis may not sum due to rounding.

Baseline Scenario

If this final rule were not promulgated, FRA would conduct the same number of annual accident/incident investigations but would not have a formal process to allow stakeholders to submit relevant documents to FRA related to an accident/incident. The accident/incident investigation process will now include an opportunity for stakeholders to participate in formal investigations. The additional documentation from stakeholders will create more transparency and efficiency in the accident investigation process.

Assumptions and Inputs

The analysis associated with this final rule is based on assumptions in Table 2. Unless otherwise specified, FRA obtained these estimates from subject matter experts within FRA's Office of Railroad Safety, who have over 50 years of combined industry experience. This analysis uses a 2023 base year. Numbers are not discounted in the first year of analysis.

Table 2—Assumptions

Accident Investigation Notifications
Annual number of accidents/incidents per year for which FRA will require stakeholder notifications	25 accidents.
Time for Chief Safety Officer to provide each notification	0.25 hours.
Stakeholder Accident Investigation Representations
Percent of accident investigations with in-person representation	50 percent.
Round-trip travel time per day for union representative	2 hours.
Time per day for accident/incident investigation	8 hours.
Average number of union representatives per investigation	2 employees.
Average number of investigation days per accident/incident	3 days.
Percent of accident/incident investigations that may overlap with National Transportation Safety Board investigations	25 percent.
Percent of accident/incident investigations that may require a hotel stay	50 percent.
Stakeholder hotel and flight travel costs per investigation	1,500 dollars.
FRA-Provided Training and Outreach
FRA outreach training time	1 hour.
Number of annual FRA training sessions	5 sessions.
Stakeholder Documentation Submissions to FRA
Percent of investigations where stakeholders submit documents to FRA	100 percent.
Time per investigation to gather and submit documents	4 hours.
FRA Review of Stakeholder Documentation
Time for FRA employee to review documents	2 hours.
Document Sharing Site Creation
Time to create document sharing site	64 hours.
Time for FRA Senior Leadership to review/approve document sharing site	16 hours.
Time needed for IT developers to grant document sharing site access to stakeholders	1 hour.

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Benefits

FRA anticipates the primary benefit of this rule will be the increased information made available for accident/incident investigations. FRA has not quantified the benefits of this final rule, but FRA expects these benefits should be considered when discussing the effect of this final rule. Involving stakeholders may result in the accident investigation process receiving more diverse perspectives and more complete information, which will provide accident investigators with valuable information that could be essential towards making well-informed determinations. FRA also expects that providing a means to submit information to an accessible web-based document sharing site will increase transparency and efficiency in the accident investigation process since there will now be one central point for all documentation related to each accident investigation, and the information will be accessible to all necessary parties. FRA acknowledges that additional unquantified benefits could occur as a result of this final rule.

Costs

FRA estimates the costs that would be associated with this final rule. Specifically, there will be time and travel-related costs to stakeholders who participate in the accident/incident investigations, as well as time spent in their submission of documents to FRA. There will also be costs to FRA related to accident/incident investigation notifications, training, and outreach, reviewing stakeholder documentations, and the creation of the web-based document sharing site.

Accident Investigation Notifications

FRA will provide notifications to stakeholders for each investigation of an accident/incident that results in the serious injury or death of a railroad employee or passenger and other accidents/incidents for which FRA determines investigation would substantially serve to promote railroad safety. The notifications will include relevant details regarding the accident/incident, and the scope of the investigation. FRA estimates that approximately 25 accident/incident investigation notifications will be sent annually, and each notification will take approximately 15 minutes (0.25 hours) to send. FRA's Chief Safety Officer (or their designee) will notify relevant stakeholders when FRA is initiating an accident investigation subject to this rule.^[7] For purposes of this analysis, FRA uses a burdened wage rate of $148.56 to represent the wage for the Chief Safety Officer.^[8] Using this information, FRA estimates an annual cost of $929, undiscounted, for accident investigation notifications to be sent to stakeholders. Table 3 displays the annual cost to FRA for sending accident/incident investigation notifications to stakeholders.

Table 3—Annual Accident Investigation Notifications

Number of annual notifications	Time per notification (hours)	Burdened hourly wage	Annual notification cost
a	b	c	d = a × b × c
25	0.25	$148.56	$929

In-Person Representation

Upon receiving notification from FRA, stakeholders are given the opportunity to participate in each accident/incident investigation. FRA subject matter experts assume stakeholders will attend approximately 50 percent of the investigations in-person. Using this data, FRA estimates stakeholders will attend 13 accident/incident investigations annually. However, FRA anticipates that about 25 percent of these accident investigations may have some overlap with existing NTSB accident investigations. Thus, FRA estimates approximately 10 annual FRA-led accident/incident investigations will have stakeholder in-person representation. FRA uses this assumption to estimate travel and in-person investigation cost estimates in the sections below. Table 4 displays the number of annual FRA-led investigations with in-person stakeholder representation that will be used for purposes of this analysis.

Table 4—Annual FRA-Led Investigations With In-Person Stakeholder Representation

Number of annual in-person investigations attended	Percentage of FRA-led investigations	Number of annual FRA-led investigations
a	b	c = a × b
13	75	10

Travel Costs

For purposes of this analysis, FRA estimates travel costs associated with the FRA-led accident investigations. FRA assumes stakeholders will send senior-level representation for each accident/incident investigation. FRA uses a wage of $118.46 to represent the burdened hourly wage for stakeholder representation throughout this analysis.^[9]

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FRA assumes stakeholders would drive to the investigation location daily, and half of the stakeholders would incur additional hotel and flight expenses. FRA assumes two stakeholder representatives would attend each investigation for purposes of this analysis.

FRA estimates all of the annual FRA-led investigations will require stakeholders to drive to and from the investigation location each day, either from home or from a hotel. FRA assumes, on average, each investigation will take approximately three working days (or 24 hours total) for purposes of this analysis. FRA estimates it will take stakeholders approximately one hour to drive each one-way trip (or two hours daily). Table 5 displays the travel costs associated with stakeholders commuting daily to/from the investigation site.

Table 5—Stakeholder Driving Costs

Number of annual investigations	Stakeholder travel time per investigation (hours)	Number of stakeholders	Burdened hourly wage	Travel (driving) costs
a	b	c	d	e = a × b × c × d
10	6	2	$118.46	$14,215

FRA estimates half (5) of the annual FRA-led investigations may require stakeholders to pay for flight and hotel travel expenses. FRA assumes travel costs for stakeholders would accrue to approximately $1,500 per investigation. Table 6 displays the travel costs associated with stakeholders who may require flight and hotel expenses.

Table 6—Stakeholder Hotel and Flight Costs

Number of annual investigations with flight and hotel	Stakeholder flight and hotel costs per investigation	Number of stakeholders	Annual flight and hotel costs
a	b	c	d = a × b × c
5	$1,500	2	$15,000

Using the information above, FRA estimates an annual stakeholder travel cost of $29,215, undiscounted, for this rule.

Accident Investigation Participation

FRA estimates stakeholders will participate in 10 FRA-led accident/incident investigations each year. FRA estimates, on average, each investigation will take 24 hours (three working days) to complete. Using this information, FRA estimates an annual cost of $56,861 for stakeholders to participate in FRA-led investigations, shown in Table 7.

Table 7—Annual Cost for Stakeholder Investigation Participation

Number of annual FRA-led investigations	Average number of hours per investigation	Number of stakeholders	Burdened hourly wage	Annual cost
a	b	c	d	e = a × b × c × d
10	24	2	$118.46	$56,861

Documentation Submission

FRA estimates stakeholders will submit documentation for each accident/incident investigation, regardless of whether the stakeholder participates in-person. FRA estimates it will take stakeholders approximately four hours to gather and submit relevant documents to FRA for the investigation process. FRA estimates an annual cost of $11,846 for stakeholders to submit documents to FRA for investigations, shown in Table 8.

Table 8—Annual Cost for Stakeholders To Submit Documents to FRA

Number of annual submissions	Time per submission (hours)	Burdened hourly wage	Annual submission cost
a	b	c	d = a × b × c
25	4	$118.46	$11,846

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FRA estimates, upon receiving the documents from stakeholders, a railroad safety specialist will conduct a review of the package. FRA estimates that each submission package will take approximately two hours to review. For purposes of this analysis, FRA uses a burdened hourly wage rate of $126.21 to represent the wage for a railroad safety specialist.^[10] FRA estimates an annual cost of $6,311 for FRA to review the documents submitted by stakeholders, shown in Table 9.

Table 9—FRA Documentation Review

Number of annual submission reviews	Time per review (hours)	Burdened hourly wage	Annual review cost
a	b	c	d = a × b × c
25	2	$126.21	$6,311

FRA Outreach to Stakeholders

FRA anticipates multiple occasions annually where FRA would meet with labor unions and stakeholder groups to ensure they understand the amendments to the accident investigation process. FRA estimates five meetings would occur annually where a railroad safety specialist would provide outreach to stakeholders and answer questions they may have regarding the amended process. FRA estimates each session would take approximately one hour to conduct. FRA uses this information to estimate an annual cost of $631 for stakeholder outreach, shown in Table 10.

Table 10—FRA Outreach Costs

Number of FRA outreach sessions	Time per session (hours)	Burdened hourly wage	Annual outreach cost
a	b	c	d = a × b × c
5	1	$126.21	$631

Web-Based Document Sharing Site Creation

FRA has developed a web-based document sharing site as a means for stakeholders to submit documents to FRA as a part of the accident/incident investigation process. FRA anticipates stakeholders will utilize this site as the primary means of document submission and sharing of information for future accident investigations.^[11]

The web-based document sharing site was created internally by FRA's information technology (IT) office. The total project development time was 80 hours. The project development process was split between both an IT developer creating the site and FRA senior leadership reviewing and approving the site before it was finalized. FRA estimates it took 64 hours for the IT developer to create and finalize the web-based document sharing site, and it took 16 hours for FRA senior leadership to review and approve it. For purposes of this analysis, FRA uses a burdened wage rate of $106.80 to estimate the costs of the web-based document sharing site creation.^[12] Table 11 displays the one-time costs of the web-based document sharing site.

Table 11—Web-Based Document Sharing Site Creation

	Web-based document sharing site development time (hours)	Burdened wage rate	Web-based document sharing site cost
	a	b	c = a × b
IT Specialist	64	$106.80	$6,835
SES Review/Approval	16	148.56	2,377
Total	80		9,212

FRA estimates all 25 annual accident investigations will have documentation submitted by the stakeholders, regardless of whether or not the stakeholder participates in-person. FRA estimates stakeholders would need to ( print page 79774) submit minimal contact information to FRA to be granted access to the web-based document sharing site. FRA considers these costs to be de minimis. However, FRA does account for the cost to FRA for granting access to stakeholders once this information has been submitted. FRA estimates it will take approximately one hour for FRA's IT developer to grant access to each stakeholder upon receiving the necessary information. Table 12 displays the annual cost to FRA for granting stakeholders access to the web-based document sharing site.

Table 12—FRA Costs for Granting Stakeholders Document Sharing Site Access

Number of annual stakeholder access requests	Time to grant access (hours)	Burdened wage rate	Annual access cost
a	b	c	d = a × b × c
25	1	$106.80	$2,670

Total Costs

FRA estimates a total 10-year cost of $0.7 million (PV, 7-percent) to stakeholders for this rule. Table 13 displays the total costs to stakeholders for this final rule.

Table 13—Total 10-Year Cost to Stakeholders

Year	Travel	Investigation participation	Document submission	Total stakeholder costs	Discounted 7%	Discounted 3%
1	$ 29,215	$ 56,861	$ 11,846	$ 97,922	$ 97,922	$ 97,922
2	29,215	56,861	11,846	97,922	91,516	95,070
3	29,215	56,861	11,846	97,922	85,529	92,301
4	29,215	56,861	11,846	97,922	79,934	89,613
5	29,215	56,861	11,846	97,922	74,704	87,002
6	29,215	56,861	11,846	97,922	69,817	84,468
7	29,215	56,861	11,846	97,922	65,250	82,008
8	29,215	56,861	11,846	97,922	60,981	79,620
9	29,215	56,861	11,846	97,922	56,991	77,301
10	29,215	56,861	11,846	97,922	53,263	75,049
Total	292,150	568,610	118,460	979,220	735,907	860,354

FRA estimates a total 10-year cost of $0.1 million (PV, 7-percent) to FRA for this rule. Table 14 displays the total costs to FRA for this final rule.

Table 14—Total 10-Year Cost to FRA

Year	Notifications	Outreach/ training	Documentation review	Web-based document sharing site	Total government costs	Discounted 7%	Discounted 3%
1	$929	$631	$6,311	$11,882	$19,753	$19,753	$19,753
2	929	631	6,311	2,670	10,541	9,851	10,234
3	929	631	6,311	2,670	10,541	9,207	9,936
4	929	631	6,311	2,670	10,541	8,605	9,647
5	929	631	6,311	2,670	10,541	8,042	9,366
6	929	631	6,311	2,670	10,541	7,516	9,093
7	929	631	6,311	2,670	10,541	7,024	8,828
8	929	631	6,311	2,670	10,541	6,564	8,571
9	929	631	6,311	2,670	10,541	6,135	8,321
10	929	631	6,311	2,670	10,541	5,734	8,079
Total	9,290	6,310	63,110	35,912	114,622	88,431	101,828

FRA estimates a total 10-year cost of $0.8 million (PV, 7-percent) for this direct final rule, shown in Table 15. ( print page 79775)

Table 15—10-Year Total Costs

Year	Total stakeholder costs	Total government costs	Total costs	Discounted 7%	Discounted 3%
1	$97,922	$19,753	$117,675	$117,675	$117,675
2	97,922	10,541	108,463	101,367	105,304
3	97,922	10,541	108,463	94,736	102,237
4	97,922	10,541	108,463	88,538	99,259
5	97,922	10,541	108,463	82,746	96,368
6	97,922	10,541	108,463	77,333	93,561
7	97,922	10,541	108,463	72,273	90,836
8	97,922	10,541	108,463	67,545	88,190
9	97,922	10,541	108,463	63,126	85,622
10	97,922	10,541	108,463	58,997	83,128
Total	979,220	114,622	1,093,842	824,336	962,180