[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.
BILLING CODE 4910-06-P
TP19AU94.001
TP19AU94.002
TP19AU94.003
TP19AU94.004
TP19AU94.005
BILLING CODE 4910-06-C
Proposed Circumstance Codes--Physical Act Engaged in at Time of
Incident
Examples:
Physical Act = Adjusting Coupler/Drawbar = 01
Physical Act = Standing = 60
Code List
01 Adjusting Coupler/Drawbar
02 Applying/Removing Anchors
03 Bending
04 Carrying
05 Chaining/Cabling Car/Locomotive
06 Cleaning Car
07 Cleaning Engine
08 Cleaning (Other)
09 Climbing
10 Coupling/Uncoupling Air Hoses
11 Coupling/Uncoupling Steam Hoses/Electric Cables
12 Crawling Under
13 Crossing
14 Cutting Brush
15 Cutting Rail
16 Cutting (Other)
17 Digging
18 Driving (Use for Motorized Vehicles Only)
19 Fueling
20 Getting Off
21 Getting On
22 Handling Material (General)
23 Handling Poles
24 Handling Rail
25 Handling Ties
26 Handling Tie Plates
27 Handling Wheels/Trucks
28 Handling (Other)
29 Horseplay
30 Inspecting Car
31 Inspecting Train
32 Inspecting (Other)
33 Jumping
34 Laying Material
35 Lifting Equipment
36 Lifting Material
37 Nipping Ties
38 Opening/Closing Door
39 Opening/Closing Window
40 Operating Derail
41 Operating Hand Brake
42 Operating Machinery (Except Power Tool)
43 Operating Power Tool
44 Operating Switch
45 Operating (Other)
46 Passing Signals
47 Performing Rerailing
48 Performing Maintenance (General)
49 Performing (Other)
50 Pulling
51 Pulling Pin Lifter/Operating Uncoupling Lever
52 Pulling (Other)
53 Pushing
54 Resting
55 Riding In/On
56 Running
57 Sitting
58 Sleeping
59 Spiking
60 Standing
61 Using Fusee
62 Using Hand Tool
63 Using Jack
64 Using Other Equipment
65 Walking
66 Welding
99 Act Not Otherwise Classified
Proposed Location of Person
Examples:
Location = Between Cars = 10
Location = Ladder = 13
Code List
01 On-Track Equipment in Service
01 Between Cars/Locomotive
02 Bunk/Outfit Car
03 Caboose
04 Engine-2 Locomotive
05 Freight Car
06 Maintenance-of-Way On-Track Equipment
07 Passenger Car (Train Only)
10 Office Buildings, Locomotive Facilities, Car Repair Facilities,
Yard Offices (Inside or Outside)
10 Between Cars/Locomotives
11 Chair
12 Elevator
13 Ladder (Not on a Car or Locomotive)
14 On Car
15 On Locomotive
16 Parking Lot
17 Platform/Ramp
18 Stairs
19 Under Car
19a Under Locomotive
20 Railroad Yards and Right of Way
20 Beside Track
21 Between Rails
22 Between Tracks
23 Bridge/Trestle
24 Excavation
25 Kubota
26 Track Structure
27 Tunnel
30 Railroad Elevated Structures
30 Pole
31 Scaffold
32 Tower
40 Specialized Operations
40 Container on Flat Car/Trailer on Flat Car
41 Ship/Boat/Barge
60 Highway Vehicles
60 Company Automobile
61 Company Truck
62 Company Van
63 Leased Automobile
64 Personal Automobile
65 Taxi
90 Location Not Otherwise Classified
90 Off Railroad Property
91 On Railroad Property
Proposed Unusual Event
(Initial or Outside Occurrence)
Examples:
Cause = slack action = 32
Cause = hard coupling = 17
Code List
01 Animal Bite
02 Assaulted by Worker
03 Assaulted by Non-worker
04 Cave-in
05 Close Clearance
06 Clothing Caught In
07 Collision
08 Defective Equipment
09 Derailment
10 Electrical Shock/Flash
11 Emergency Application Air Brakes
12 Explosion/Detonation (One-time sudden event)
13 Fire/Violent Rupture
14 Hair Caught In
15 Hand Caught In
16 Harassed
17 Hard Coupling
18 High Wind
19 Highway Grade Crossing Incident (When casualty resulted from HGX
accident)
20 Inadequate Ventilation
21 Insect Bite
22 Lightening
23 Noise (Sustained long-term)
24 Not Work-related
25 Object, Falling
26 Object, Thrown
27 Obstruction Incident
28 Oil/Grease on Surface
29 Other Slippery Substance on Surface
30 Other (Environmental conditions)
31 Overturned
32 Slack Action
33 Snow/Ice
34 Sudden Stop/Start
35 Tornado
36 Train/Track Motor Car Collision (Not auto and train at crossing)
37 Unexpected Movement
38 Vandalism
98 Event Not Otherwise Classified
99 None
Proposed Result of the Occurrence
Examples:
Result = struck and run over = 27
Result = slipped = 22
Code List
01 Aggravation of Old Injury
02 Caught Between Equipment
03 Caught Between Material
04 Caught Between Shifted Lading
05 Caught in Machinery
06 Caught in Switch
07 Contact (Electrical, with)
08 Emotional Stress
09 Exertion
10 Exposure (to heat, cold extremes, noise, etc.)
11 Fell Against
12 Fell From
13 Fell Into
14 Fell Onto
15 Fell and Run Over
16 Fell Through
17 Inhalation
18 Irritation
19 Lost Balance
20 Rolling Equipment
21 Shocked
22 Slipped
23 Slipped and Fell
24 Splinter
25 Stepped On/In
26 Struck Against Equipment
27 Struck and Run Over
28 Struck By Equipment
29 Struck By Falling Object
30 Struck By Flying Object
31 Struck By Material
32 Struck By On-Track Equipment
33 Struck By Stationary Object
34 Struck By Suspended Object
35 Struck By Thrown Object
36 Struck By Tool While Using
37 Struck By (Other)
38 Stumbled
39 Thrown Against
40 Thrown From
41 Tripped
42 Tripped and Fell
43 Twisted
Proposed Primary Cause of the Injury/Illness
Examples:
Primary Cause = Physical Condition of Person = 11
Primary Cause = Defective Equipment = 02
Code List
01 Actions of Another Person (other than railroad worker)
02 Defective Equipment
03 Employee/Worker's Attitude
04 Environmental Conditions Within Buildings
05 Environmental Conditions Outside of Buildings
06 Environmental Conditions on Rolling Stock
07 Impairment Due to Drugs or Alcohol
08 Inexperience With the Work Practice
09 Personal Protective Equipment Not Available
10 Personal Protective Equipment Not Worn
11 Physical Condition of Person (hearing, vision, etc.)
12 Rule Violation or Actions of Another Person (other than railroad
worker)
13 Rule Violation by This Person (other than railroad worker)
14 Rule Violation or Action by Another Worker
15 Rule Violation by This Worker
99 Undetermined
BILLING CODE 4910-06-P
TP19AU94.006
TP19AU94.007
TP19AU94.008
TP19AU94.009
TP19AU94.010
TP19AU94.011
BILLING CODE 4910-06-C
``Highway-Rail Grade Crossing Accident/Incident Report (Form FRA F
6180.57)''
Instructions for Proposed Item 33
Only if Types 1-6, Item 32, are indicated, mark here the status of
warning devices at the crossing at the time of the accident:
1. Provided minimum 20-second warning.
2. Alleged warning time greater than 60 seconds.
3. Alleged warning time less than 20 seconds.
4. Alleged no warning.
5. Confirmed warning time greater than 60 seconds.
6. Confirmed warning time less than 20 seconds.
7. Confirmed no warning.
If status code 5, 6, or 7 was entered, also enter a letter code
explanation from the list below:
A. Insulated rail vehicle.
B. Storm/lightning damage.
C. Vandalism.
D. No power/batteries dead.
E. Devices down for repair.
F. Devices out of service.
G. Warning time greater than 60 seconds attributed to accident-
involved train stopping short of the crossing, but within track circuit
limits, while warning devices remain continuously active with no other
in-motion train present.
H. Warning time greater than 60 seconds attributed to track circuit
failure (e.g., insulated rail joint or rail bonding failure, track or
ballast fouled, etc.).4
J. Warning time greater than 60 seconds attributed to other train/
equipment within track circuit limits.
K. Warning time less than 20 seconds attributed to signals timing
out before train's arrival at the crossing/island circuit.
L. Warning time less than 20 seconds attributed to train operating
counter to track circuit design direction.
M. Warning time less than 20 seconds attributed to train speed in
excess of track circuit's design speed.
N. Warning time less than 20 seconds attributed to signal system's
failure to detect train approach.
P. Warning time less than 20 seconds attributed to violation of
special train operating instructions.
R. No warning attributed to signal system's failure to detect the
train.
S. Other cause(s).
APPENDIX 13
BILLING CODE 4910-06-P
TP19AU94.012
TP19AU94.013
TP19AU94.014
TP19AU94.015
TP19AU94.016
TP19AU94.017
TP19AU94.018
[FR Doc. 94-20023 Filed 8-18-94; 8:45 am]
BILLING CODE 4910-06-C
