
[Federal Register Volume 78, Number 179 (Monday, September 16, 2013)]
[Notices]
[Pages 56995-57000]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-22394]


-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket No. FRA-2013-0002-N-19]


Proposed Agency Information Collection Activities; Comment 
Request

AGENCY: Federal Railroad Administration (FRA), United States Department 
of Transportation (USDOT).

ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: In accordance with the Paperwork Reduction Act of 1995 and its 
implementing regulations, the Federal Railroad Administration (FRA) 
hereby announces that it is seeking renewal of the following currently 
approved information collection activities. Before submitting these 
information collection requirements for clearance by the Office of 
Management and Budget (OMB), FRA is soliciting public comment on 
specific aspects of the activities identified below.

DATES: Comments must be received no later than November 15, 2013.

ADDRESSES: Submit written comments on any or all of the following 
proposed activities by mail to either: Mr. Robert Brogan, Office of 
Safety, Planning and Evaluation Division, RRS-21, Federal Railroad 
Administration, 1200 New Jersey Ave. SE., Mail Stop 17, Washington, DC 
20590, or Ms. Kimberly Toone, Office of Information Technology, RAD-20, 
Federal Railroad Administration, 1200 New Jersey Ave. SE., Mail Stop 
35, Washington, DC 20590. Commenters requesting FRA to acknowledge 
receipt of their respective comments must include a self-addressed 
stamped postcard stating, ``Comments on OMB control number --------.'' 
Alternatively, comments may be transmitted via facsimile to (202) 493-
6216 or (202) 493-6497, or via email to Mr. Brogan at 
Robert.Brogan@dot.gov, or to Ms. Toone at Kim.Toone@dot.gov. Please 
refer to the assigned OMB control number in any correspondence 
submitted. FRA will summarize comments received in response to this 
notice in a subsequent notice and include them in its information 
collection submission to OMB for approval.

FOR FURTHER INFORMATION CONTACT: Mr. Robert Brogan, Office of Planning 
and Evaluation Division, RRS-21, Federal Railroad Administration, 1200 
New Jersey Ave. SE., Mail Stop 17, Washington, DC 20590 (telephone: 
(202) 493-6292) or Ms. Kimberly Toone, Office of Information 
Technology, RAD-20, Federal Railroad Administration, 1200 New Jersey 
Ave. SE., Mail Stop 35, Washington, DC 20590 (telephone: (202) 493-
6132). (These telephone numbers are not toll-free.)

SUPPLEMENTARY INFORMATION: The Paperwork Reduction Act of 1995 (PRA), 
Public Law 104-13, Sec.  2, 109 Stat. 163 (1995) (codified as revised 
at 44 U.S.C. 3501-3520), and its implementing regulations, 5 CFR Part 
1320, require Federal agencies to provide 60-days notice to the public 
for comment on information collection activities before seeking 
approval for reinstatement or renewal by OMB. 44 U.S.C. 3506(c)(2)(A); 
5 CFR 1320.8(d)(1), 1320.10(e)(1), 1320.12(a). Specifically, FRA 
invites interested respondents to comment on the following summary of 
proposed information collection activities regarding (i) whether the 
information collection activities are necessary for FRA to properly 
execute its functions, including whether the activities will have 
practical utility; (ii) the accuracy of FRA's estimates of the burden 
of the information collection activities, including the validity of the 
methodology and assumptions used to determine the estimates; (iii) ways 
for FRA to enhance the quality, utility, and clarity of the information 
being collected; and (iv) ways for FRA to minimize the burden of 
information collection activities on the public by automated, 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology (e.g., permitting electronic 
submission of responses). See 44 U.S.C. 3506(c)(2)(A)(i)-(iv); 5 CFR 
1320.8(d)(1)(i)-(iv). FRA believes that soliciting public comment will 
promote its efforts to reduce the administrative and paperwork burdens 
associated with the collection of information mandated by Federal 
regulations. In summary, FRA reasons that comments received will 
advance three objectives: (i) Reduce reporting burdens; (ii) ensure 
that it

[[Page 56996]]

organizes information collection requirements in a ``user friendly'' 
format to improve the use of such information; and (iii) accurately 
assess the resources expended to retrieve and produce information 
requested. See 44 U.S.C. 3501.
    Below is a brief summary of currently approved information 
collection activities that FRA will submit for clearance by OMB as 
required under the PRA:
    Title: Accident/Incident Reporting and Recordkeeping.
    OMB Control Number: 2130-0500.
    Abstract: The collection of information is due to the railroad 
accident reporting regulations set forth in 49 CFR Part 225 which 
require railroads to submit monthly reports 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. Because the reporting requirements and the information needed 
regarding each category of accident/incident are unique, a different 
form is used for each category.
    Form Number(s): FRA F 6180.39i; 54; 55; 55A; 56; 57; 78; 81; 97; 
98; 99;107; 150.
    Affected Public: Businesses.
    Respondent Universe: 763 railroads.
    Frequency of Submission: On occasion.

                                                Reporting Burden
----------------------------------------------------------------------------------------------------------------
                                                            Total annual       Average time per    Total annual
           CFR Section             Respondent universe       responses             response        burden hours
----------------------------------------------------------------------------------------------------------------
225.6--Consolidated Reporting--    763 railroads......  4 requests.........  40 hours...........             160
 Request to FRA by Parent
 Corporation to treat its
 Commonly Controlled Carriers as
 a Single Railroad Carrier for
 Purposes of this Part.
--Written Agreement by Parent      763 railroads......  4 agreements.......  2 hours............               8
 Corporation with FRA on Specific
 Subsidiaries Included in Its
 Railroad System.
--Notification by Parent           763 railroads......  1 notification + 1   60 minutes.........               2
 Corporation Regarding Any Change                        amended agreement.
 in the Subsidiaries Making Up
 Its Railroad System and Amended
 Written Agreement with FRA.
225.9--Telephone Reports of        763 railroads......  3,300 phone reports  15 minutes.........             825
 Certain Accidents/Incidents and
 Other Events.
225.11--Reporting of Rail          763 railroads......  3,600 forms........  2 hours............           7,200
 Equipment Accidents/Incidents--
 Form FRA F 6180.54.
225.12--Rail Equipment Accident/   763 railroads......  1,600 forms........  15 minutes.........             400
 Incident Reports Alleging Human
 Factor as Cause--Form FRA F
 6180.81.
--Part I Form FRA F 6180.78        763 railroads......  1,000 notices +      10 minutes + 3                  367
 (Notices).                                              4,000 copies.        minutes.
--Joint Operations...............  763 railroads......  100 requests.......  20 minutes.........              33
--Late Identification............  763 railroads......  20 attachments + 20  15 MINUTES.........              10
                                                         notices.
--Employee Statement               Railroad employees.  75 statements......  1.5 hours..........             113
 Supplementing Railroad Accident
 Report (Part II Form FRA
 6180.78).
--Employee Confidential Letter...  Railroad employees.  10 letters.........  2 hours............              20
225.13--Late Reports--RR           763 railroads......  25 late reports....  1 hour.............              25
 Discovery of Improperly Omitted
 Report of Accident/Incident.
--RR Late/Amended Report of        763 railroads......  50 amended reports   1 hour + 3 minutes.              52
 Accident/Incident Based on                              + 40 copies.
 Employee Statement Supplementing
 RR Accident Report.
225.18--RR Narrative Report of     763 railroads......  80 reports.........  30 minutes.........              40
 Possible Alcohol/Drug
 Involvement in Accident/Incident.

[[Page 56997]]

 
--Reports Required by Section      763 railroads......  5 reports..........  30 minutes.........               3
 219.209(b) Appended to Rail
 Equipment Accident/Incident
 Report.
225.19--Rail-Highway Grade         763 railroads......  2,880 forms........  2 hours............           5,760
 Crossing Accident/Incident
 Report--Form FRA F 6180.57.
--Death, Injury, or Occupational   763 railroads......  12,638 forms.......  20 min./50 min.....           4,912
 Illness (Form FRA F 6180.55a).                                              60 min.............
225.21--Railroad Injury and        763 railroads......  8,616 forms........  10 minutes.........           1,436
 Illness Summary: Form FRA F
 6180.55.
225.21--Annual Railroad Report of  763 railroads......  763 forms..........  15 minutes.........             191
 Employee Hours and Casualties,
 By State--Form FRA F 6180.56.
225.21/25--Railroad Employee       763 railroads......  18,900 forms.......  60 minutes.........          18,900
 Injury and/or Illness Record--
 Form FRA F 6180.98.
--Copies of Forms to Employees...  763 railroads......  567 form copies....  2 minutes..........              19
225.21--Initial Rail Equipment     763 railroads......  18,200 forms.......  30 minutes.........           9,100
 Accident/Incident Record--Form
 FRA F 6180.97.
--Completion of Form FRA F         763 railroads......  1 form.............  30 minutes.........               1
 6180.97 because of Rail
 Equipment Involvement.
225.21--Alternative Record for     763 railroads......  300 forms..........  75 minutes.........             375
 Illnesses Claimed to Be Work
 Related--Form FRA F 6180.107.
225.21--Railroad Accident/         763 railroads......  1,000 forms........  90 minutes.........           1,500
 Incident Notification and
 Initial Investigation Report--
 Form FRA F 6180.39i.
225.21--Highway User Statement--   763 railroads......  950 Letters/forms..  50 minutes.........             792
 RR Cover Letter and Form FRA F
 6180.150 sent out to Potentially
 Injured Travelers Involved in a
 Highway-Rail Grade Crossing
 Accident/Incident.
--Form FRA F 6180.150 Completed    950 Injured          665 forms..........  45 minutes.........             499
 by Highway User and Sent Back to   Individuals.
 Railroad.
225.25(h)--Posting of Monthly      763 railroads......  8,616 lists........  16 minutes.........           2,298
 Summary.
225.27--Retention of Records.....  763 railroads......  18,900 records.....  2 minutes..........             630
--Record of Form FRA F 6180.107..  763 railroads......  300 records........  2 minutes..........              10
--Record of Monthly Lists........  763 railroads......  8,616 records......  2 minutes..........             288
--Record of Form FRA F 6180.97...  763 railroads......  18,200 records.....  2 minutes..........             607
--Record of Employee Human Factor  763 railroads......  2,675 records......  2 minutes..........              89
 Attachments.
--RR Electronic Recordkeeping      18 railroads.......  18 modified systems  120 hours..........           2,160
 Systems--Changes to Conform to
 FRA Requirements.
225.33--Internal Control Plans--   763 railroads......  25 amendments......  14 hours...........             350
 Amendments.
225.35--Access to Records and      15 railroads.......  400 lists..........  20 minutes.........             133
 Reports.
--Subsequent Years...............  4 railroads........  16 lists...........  20 minutes.........               5
225.37--Optical Media Transfer of  8 railroads........  200 transfers......  3 minutes..........              10
 of Reports, Updates, and
 Amendments.

[[Page 56998]]

 
--Electronic Submission of         763 railroads......  2,400 submissions..  3 minutes..........             120
 Reports, Updates, and Amendments.
----------------------------------------------------------------------------------------------------------------

    Total Responses: 139,791.
    Estimated Total Annual Burden: 59,443 hours.
    Status: Extension of a Currently Approved Collection.
    OMB Control Number: 2130-0524.
    Abstract: The Federal Railroad Administration (FRA) amended its 
radio standards and procedures to promote compliance by making the 
regulations more flexible; to require wireless communications devices, 
including radios, for specified classifications of railroad operations 
and roadway workers; and to re-title this part to reflect its coverage 
of other means of wireless communications such as cellular telephones, 
data radio terminals, and other forms of wireless communications to 
convey emergency and need-to-know information. The new rule establishes 
safe, uniform procedures covering the use of radio and other wireless 
communications within the railroad industry.
    Form Number(s): N/A.
    Affected Public: Businesses.
    Respondent Universe: 763 railroads.
    Frequency of Submission: On occasion; annually.

                                                Reporting Burden
----------------------------------------------------------------------------------------------------------------
                                        Respondent          Total annual       Average time per    Total annual
           CFR Section                   universe            responses             response        burden hours
----------------------------------------------------------------------------------------------------------------
220.8--Waivers Petitions.........  763 railroads......  6 petition letters.  60 minutes.........               6
220.25--Instruction of Employees.  763 railroads......  91,000 instructed    30 minutes.........          45,500
                                                         employees.
--Subsequent Years...............  763 railroads......  12,5400 instructed   30 minutes.........           6,270
                                                         employees.
--Operational Testing of           763 railroads......  100,000 tests/       5 minutes..........           8,333
 Employees.                                              record.
220.37--Testing Radio/Wireless     763 railroads......  780,000 tests......  30 seconds.........           6,500
 Communication Equipment.
220.61--Transmission of Mandatory  763 railroads......  7,200,000            1.5 minutes........         180,000
 Directive.                                              directives.
--Marking Man. Dir...............  763 railroads......  624,000 marks......  15 seconds.........           2,600
220.307--Use of RR Supplied        763 railroads......  763 amended codes..  60 minutes.........             763
 Electronic Devices: Amended RR
 Code.
--RR Written Document Stating      763 railroads......  50 written           60 minutes.........              50
 Authorized Business Purpose for                         documents.
 Taking Video/Photo with RR
 Supplied Electronic Device.
--Safety Briefing for Use of RR    763 railroads......  5,460,000 briefings  1 minute...........          91,000
 Supplied Electronic Device in
 Cab of Controlling Locomotive.
220.313--Railroad Written Program  763 railroads......  763 amended written  60 minutes.........             763
 of Instruction and Examination                          Instruction
 on Part 220 Requirements.                               Programs.
--Training of RR Employees on      91,000 Employees...  91,000 Trained       15 minutes.........          22,750
 Part 220 Requirements.                                  Employees.
--Employee Training Records......  91,000 Employees...  91,000 records.....  5 minutes..........           7,583
--Approval Process: FRA            763 railroads......  6 revised/amended    60 minutes.........               6
 Disapproval of RR Program of                            programs.
 Instruction and Examination.
----------------------------------------------------------------------------------------------------------------

    Total Responses: 14,451,128.
    Estimated Total Annual Burden: 372,124 hours.
    Status: Extension of a Currently Approved Collection.
    OMB Control Number: 2130-0557.
    Abstract: The Federal Railroad Administration (FRA) and the Surface 
Transportation Board (STB), working in conjunction with each other, 
have issued joint final rules establishing procedures for the 
development and implementation of safety integration plans (``SIPs'' or 
``plans'') by a Class I railroad proposing to engage in certain 
specified merger, consolidation, or acquisition of control transactions 
with another Class I railroad, or a Class II railroad with which it 
proposes to amalgamate operations. The scope of the transactions 
covered under the two rules is the same. FRA uses the information 
collected, notably the required SIPs, to maintain and promote a safe 
rail environment by ensuring that affected railroads (Class Is and some 
Class IIs) address critical safety issues unique to the amalgamation of 
large, complex railroad operations.
    Form Number(s): N/A.

[[Page 56999]]

    Affected Public: Railroads.
    Respondent Universe: Class I Railroads.
    Frequency of Submission: On occasion.

----------------------------------------------------------------------------------------------------------------
                                  Respondent      Total annual     Average time    Total annual    Total annual
         CFR Section               universe        responses       per response    burden hours     burden cost
----------------------------------------------------------------------------------------------------------------
244.13--Safety Integration
 Plans:
    Amalgamation of            8 railroads....  1 plan.........  340 hours......             340         $24,016
     Operations--SIP
     Development & Quarterly
     Meetings.
244.17--Procedures...........  8 railroads....  25 reports.....  40 hours/2                   88           5,632
                                                                  hours.
--Responses to FRA Inquiries   8 railroads....  6 responses....  8 hours........              48           3,072
 Re: SIP data.
--Coordination in              8 railroads....  25 phone calls.  10 minutes.....               4             256
 Implementing Approved SIP.
hh--Request for Confidential   8 railroads....  1 request......  16 hours.......              16           2,512
 Treatment.
244.19--Disposition--Comments  8 railroads....  2 reports......  16 hours.......              32           2,048
 on Proposed SIP Amendments.
----------------------------------------------------------------------------------------------------------------

    Total Responses: 60.
    Estimated Total Annual Burden: 528 hours.
    Status: Extension of a Currently Approved Collection.
    Title: Confidential Close Call Reporting System Evaluation-Related 
Interview Data Collection.
    OMB Control Number: 2130-0574.
    Abstract: In the U.S. railroad industry, injury rates have been 
declining over the last 25 years. Indeed, the industry incident rate 
fell from a high of 12.1 incidents per 100 workers per year in 1978 to 
3.66 in 1996. As the number of incidents has decreased, the mix of 
causes has also changed toward a higher proportion of incidents that 
can be attributed to human and organizational factors. This combination 
of trends--decrease in overall rates but increasing proportion of human 
factors-related incidents--has left safety managers with a need to 
shift tactics in reducing injuries to even lower rates than they are 
now.
    In recognition of the need for new approaches to improving safety, 
FRA has instituted the Confidential Close Call Reporting System 
(C\3\RS). The operating assumption behind C\3\RS is that by assuring 
confidentiality, employees will report events which, if dealt with, 
will decrease the likelihood of accidents. C\3\RS, therefore, has both 
a confidential reporting component, and a problem analysis/solution 
component. C\3\RS is expected to affect safety in two ways. First, it 
will lead to problem solving concerning specific safety conditions. 
Second, it will engender an organizational culture and climate that 
supports greater awareness of safety and a greater cooperative 
willingness to improve safety.
    If C\3\RS works as intended, it could have an important impact on 
improving safety and safety culture in the railroad industry. While 
C\3\RS has been developed and implemented with the participation of 
FRA, railroad labor, and railroad management, there are legitimate 
questions about whether it is being implemented in the most beneficial 
way, and whether it will have its intended effect. Further, even if 
C\3\RS is successful, it will be necessary to know if it is successful 
enough to implement on a wide scale. To address these important 
questions, FRA is implementing a formative evaluation to guide program 
development, a summative evaluation to assess impact, and a 
sustainability evaluation to determine how C\3\RS can continue after 
the test period is over. The evaluation is needed to provide FRA with 
guidance as to how it can improve the program, and how it might be 
scaled up throughout the railroad industry.
    Program evaluation is an inherently data driven activity. Its basic 
tenet is that as change is implemented, data can be collected to track 
the course and consequences of the change. Because of the setting in 
which C\3\RS is being implemented, that data must come from the 
railroad employees (labor and management) who may be affected. Critical 
data include beliefs about safety and issues related to safety, and 
opinions/observations about the operation of C\3\RS.
    The current study is a five-year demonstration project to improve 
rail safety, and is designed to identify safety issues and propose 
corrective action based on voluntary reports of close calls submitted 
to the Bureau of Transportation Statistics. Because of the innovative 
nature of this program, FRA is implementing an evaluation to determine 
whether the program is succeeding, how it can be improved and, if 
successful, what is needed to spread the program throughout the 
railroad industry. Interviews to evaluate the close call reporting 
system are being conducted with two groups: (1) Key stakeholders to the 
process (e.g., FRA officials, industry labor, and carrier management 
within participating railroads); and (2) Employees in participating 
railroads who are eligible to submit close call reports to the 
Confidential Close Call Reporting System. Different questions are 
addressed to each of these two groups. Interviews are semi-structured, 
with follow-up questions asked as appropriate depending on the 
respondent's initial answer.
    The confidentiality of the interview data is protected by the 
Privacy Act of 1974. FRA fully complies with all laws pertaining to 
confidentiality, including the Privacy Act. Thus, information obtained 
by or acquired by FRA's contractor, the Volpe Center, from key 
stakeholders and railroad employees will be used strictly for 
evaluation purposes. None of the information that might be identifying 
will be disseminated or disclosed in any way. In addition, the 
participating railroad sites involved will require Volpe to establish a 
non-disclosure agreement that prohibits disclosure of company 
confidential information without the carrier's authorization. Also, the 
data are protected under the Department of

[[Page 57000]]

Transportation regulation Title 49 CFR Part 9, which is in part 
concerned with the Department involvement in proceedings between 
private litigants. According to this statute, if information is 
subpoenaed, Volpe and Volpe contractors cannot ``provide testimony or 
produce any material contained in the files of the Department, or 
disclose any information or produce any material acquired as part of 
the performance of that employee's official duties or because of that 
employee's official duty status'' unless authorized by agency counsel 
after determining that, in legal proceedings between private litigants, 
such testimony would be in the best interests of the Department or that 
of the United States Government if disclosed. Finally, the name of 
those interviewed will not be requested.
    Form Number(s): FRA F 6180.126A; FRA F 6180.126B.
    Affected Public: Railroad Employees and Key Non-railroad 
Stakeholders.
    Respondent Universe: 300 Select Railroad Employees/Non-railroad 
Stakeholders.
    Frequency of Submission: On occasion.

----------------------------------------------------------------------------------------------------------------
                                                                                   Average time
       Collection instrument         Respondent universe        Total annual       per response    Total annual
                                                                 responses           (minutes)     burden hours
----------------------------------------------------------------------------------------------------------------
Form FRA F 6180.126A..............  300 Individuals......  220 forms............              60             220
Form FRA F 6180.126B..............  300 Individuals......  60 forms.............              60              60
----------------------------------------------------------------------------------------------------------------

    Total Responses: 280.
    Estimated Annual Burden: 280 hours.
    Status: Extension of a Currently Approved Collection.
    Pursuant to 44 U.S.C. 3507(a) and 5 CFR 1320.5(b), 
1320.8(b)(3)(vi), FRA informs all interested parties that it may not 
conduct or sponsor, and a respondent is not required to respond to, a 
collection of information unless it displays a currently valid OMB 
control number.

    Authority:  44 U.S.C. 3501-3520.

Rebecca Pennington,
Chief Financial Officer.
[FR Doc. 2013-22394 Filed 9-13-13; 8:45 am]
BILLING CODE 4910-06-P


