[Federal Register Volume 62, Number 171 (Thursday, September 4, 1997)]
[Notices]
[Pages 46793-46796]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-23618]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration


Notice of Safety Advisory

AGENCY: Federal Railroad Administration (FRA), Department of 
Transportation (DOT).

ACTION: Notice of Safety Advisory.

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SUMMARY: FRA is issuing Safety Advisory 97-1 addressing safety 
practices to reduce the risk of casualties from train derailments 
caused by damage to tracks, roadbed, and bridges resulting from 
uncontrolled flows of

[[Page 46794]]

water and similar weather-related phenomena.

FOR FURTHER INFORMATION CONTACT: Gordon A. Davids, P.E., Bridge 
Engineer, Office of Safety Assurance and Compliance, FRA, 400 Seventh 
Street, S.W., RRS-15, Mail Stop 25, Washington, D.C. 20590 (telephone 
202-632-3340) or Daniel L. Alpert, Trial Attorney, Office of Chief 
Counsel, FRA, 400 Seventh Street, S.W., RCC-12, Mail Stop 10, 
Washington, D.C. 20590 (telephone 202-632-3186).

SUPPLEMENTARY INFORMATION: A recent derailment involving train number 4 
of the National Railroad Passenger Corporation (Amtrak) on The 
Burlington Northern and Santa Fe Railway Company (BNSF) near Kingman, 
Arizona, on August 9, 1997, has caused FRA to focus on the 
effectiveness of railroad procedures for protection of trains and 
personnel from hazards caused by severe weather conditions. The 
investigation of that accident by the National Transportation Safety 
Board (NTSB) and FRA continues. The facts and findings developed in the 
investigation will be published when the investigation is complete.

Special Inspection Procedures

    The Federal Track Safety Standards (49 CFR part 213) state, ``In 
the event of fire, flood, severe storm, or other occurrence which might 
have damaged track structure, a special inspection must be made of the 
track involved as soon as possible after the occurrence.'' (49 CFR 
213.239). This provision is purposely general in nature, because it is 
not practicable to specify in a minimum safety standard all the 
conditions which could trigger a special inspection, nor the manner in 
which any particular special inspection must be conducted. However, in 
accordance with the primary purpose of the Track Safety Standards and 
associated railroad safety laws, these special inspections should be 
conducted so as to effectively prevent derailments. In light of recent 
occurrences and past experience, FRA now believes it necessary to issue 
this safety advisory to provide railroads with recommended procedures 
to further this objective.
    FRA has investigated several train derailments in which damage from 
unexpected moving water was a causal factor. Incidents reported to FRA 
between January 1982 and March 1996 included 26 derailments caused by 
washouts of bridges or bridge approaches, and 16 derailments caused by 
washouts or water damage to culverts or subgrade not near a bridge. In 
most cases, the railroad had some form of notification of the severe 
weather conditions and either initiated or performed an inspection. 
When the derailment occurred, either the inspector had not reached the 
derailment site before the train, had inspected the track and not 
recognized a hazardous condition, or had performed the inspection 
before the damage had become detectible. FRA believes that more 
specific measures can be taken by each railroad that conducts 
operations on track subject to hazards from flowing water to reduce the 
likelihood of future derailments caused by those hazards.

Vulnerable Structures and Track

    FRA believes that several types of bridge and drainage structure 
components should be identified as vulnerable and be given special 
consideration in any decision related to the operation of trains both 
during and following a severe rainstorm. In particular, bents, piers, 
and abutments that rest directly on soil or degradable rock near the 
surface might be rapidly undermined in a severe rainstorm. Similarly, 
stream bed configurations in which the water course takes a bend or a 
change in slope near the track are often unpredictable in times of 
heavy flow. During such conditions, soil displacement can progress 
rapidly in an unpredictable manner in locations that are not visible to 
a person above the water surface. The size of a drainage structure, and 
whether it is categorized as a bridge or a culvert, is not as important 
as the vulnerability of the structure and its supported track to the 
effects of flowing water.

Recommended Action

    FRA believes that the chance of further derailments, such as 
occurred near Kingman, Arizona, on August 9, 1997, would be greatly 
reduced by the inclusion of certain additional measures into the 
procedures for special inspections followed in the railroad industry in 
the event of a threat of a severe rainstorm, at the level of a flash 
flood. FRA has determined that each railroad that controls the 
operation of trains on Class 4 or higher track, or passenger trains in 
commuter or intercity service, should have in place a program to 
protect its train operations from the effects of damage to tracks and 
structures caused by severe weather conditions, particularly flash 
floods. Therefore, FRA issues the following advisory to each affected 
railroad:
    1. The railroad should have in place a procedure that will assure 
that all notifications issued by the National Weather Service (NWS) of 
flash flood warnings will be received within 15 minutes of issuance 
from the NWS, directly or through a contract weather forecasting 
service, by the train dispatchers or other employees controlling the 
movement of trains on all track of Class 4 or higher or upon which 
passenger trains operate in commuter or intercity service, within the 
warning area. In the case of such track located outside of the warning 
area but subject to damage from water resulting from the storm, the 
information should be obtained in time to permit timely response by the 
railroad.
    2. After the receipt of a warning of a flash flood which might 
damage track or bridges, the railroad should notify train crews and 
limit the speed of all freight and passenger trains to that which will 
permit the train to operate safely, consistent with the potential water 
levels and visibility conditions, on all track subject to damage from 
the flood. The limitations should continue until a special inspection 
in accordance with 49 CFR 213.239 has been performed of that track and 
it is determined that a hazard no longer exists. In making that 
inspection and determination, the time taken for the heaviest flow of 
water to reach the track should be considered.
    3. Each railroad affected by this advisory should identify its 
bridges carrying track of Class 4 or higher or over which passenger 
trains operate in commuter or intercity service, which are vulnerable 
to damage from flash floods or similar weather-related phenomena. 
Particular attention should be given to bridges which incorporate 
piers, bents, or abutments, which are founded on soil or degradable 
rock which could lose its integrity as a result of scour by moving 
water, and which are commonly referred to as ``mud sills'' or ``spread 
footings.''
    4. The information developed in paragraph 3 should be compiled and 
made available to each person who can be called upon to perform special 
inspections on the subject track following a flash flood warning. 
Consideration should be given to placing identifying marks on bridges 
that need particular attention in special inspections, along with the 
bridge number, to assist inspectors in locating them with certainty 
during inclement weather. Consideration should also be given to the use 
of automated high water detectors or similar sensing and warning 
systems on specific bridges which could incur water damage that would 
be hidden from or not otherwise detectible by a human inspector.
    5. In addition to the bridge-specific information called for in 
paragraph 3,

[[Page 46795]]

each affected railroad should implement a training program for the 
persons performing special inspections. The training should include 
methods to recognize and protect the safety of railroad operations from 
the damaging characteristics of flowing water in general, with 
particular regard to the effects of a watercourse that takes a 
significant change in horizontal direction or vertical profile near the 
track; the effects of drift material accumulation on scour and the 
capacity of the waterway opening; and the potential for damage by 
impact of heavy floating objects.
    6. Refresher training of track inspectors on the subjects addressed 
in paragraph 5 should be conducted at least once each calendar year. 
Where practicable, that refresher training should include a joint 
inspection by a track inspector and a cognizant bridge maintenance or 
engineering employee over the inspector's assigned territory. During 
that joint inspection they should locate the vulnerable components in 
the bridges identified in paragraph 3, discuss the precautions to be 
taken in the event of indications of distress in those components, 
observe drainage conditions on and adjacent to the right-of-way, and 
note changes for inclusion in the revisions of information called for 
in paragraph 9.
    7. If a track inspector is assigned to perform a special inspection 
in accordance with paragraph 2, and bridges identified as vulnerable 
are in the track segment subject to damage from the flash flood, a 
cognizant bridge maintenance or engineering employee should be readily 
available by telephone or radio to assist in the interpretation of 
findings by the track inspector.
    8. Each affected railroad should brief all of its track and bridge 
inspectors on the contents of this advisory. These briefings should 
occur within 14 calendar days of the date of publication of this safety 
advisory in the Federal Register.
    9. FRA believes that the actions described in paragraphs 3, 4, and 
5 should be completed within 60 calendar days of the date of 
publication of this safety advisory in the Federal Register. During 
this period, each affected railroad should complete an initial review 
of its bridges for vulnerability to high or rapidly flowing water and 
provide that information to its inspectors. More detailed reviews 
should be substantially completed and provided to inspectors during 
calendar year 1998 and then maintained in a current status.
    10. FRA requests a letter within 45 calendar days of the date of 
publication of this safety advisory in the Federal Register from each 
affected railroad specifying the actions it has taken and will initiate 
to enhance the safety of train operations in the event of a flood or a 
high or rapid water condition. Such letters should be addressed to the 
Associate Administrator for Safety, FRA, RRS-1, Mail Stop 25, 400 
Seventh Street S.W., Washington, DC 20590.

Paperwork Reduction Act Provisions

    This advisory does not require that any records or reports be kept 
or submitted. It merely recommends that railroads collect or provide 
certain information. Nevertheless, because some might see these 
recommendations as paperwork burdens, FRA will seek approval of them. 
Under the Paperwork Reduction Act of 1995 (PRA), Public Law No. 104-13, 
Section 2, 109 Stat. 163 (1995) (codified as revised at 44 U.S.C. 3501-
3520), and its implementing regulations, 5 CFR 1320.13, FRA is 
requesting the Office of Management and Budget (OMB) to conduct an 
emergency review and approval of the information collection items 
contained in this safety advisory. FRA is seeking OMB's approval of 
these information collection items by September 5, 1997.
    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 the agency organizes information collection items 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.
    Provided below are summaries of the seven information collection 
activities FRA will submit for clearance by OMB as required by the PRA:
    Title: Identify vulnerable bridges.
    OMB Control Number: New.
    Abstract: Each railroad affected by this advisory should identify 
its bridges carrying track of Class 4 or higher, or over which 
passenger trains operate in commuter or intercity service, which are 
vulnerable to damage from flash floods or other weather-related events 
that may be included in its severe weather operating program.
    Form Number(s): N/A.
    Affected Public: Businesses.
    Respondent Universe: 25 railroads with 20,000 bridges.
    Frequency of Submission: One time.
    Total Responses: 25.
    Average Time Per Response: 10 minutes per bridge.
    Estimated Total Annual Burden Hours: 3,400 hours one time.
    Status: Emergency processing by OMB.

    Title: Compile and publish information to inspectors.
    OMB Control Number: New.
    Abstract: The information developed in paragraph 3 should be 
compiled and made available to each person who can be called upon to 
perform special inspections on the subject track following a flash 
flood warning.
    Form Number(s): N/A.
    Affected Public: Businesses.
    Respondent Universe: 25 railroads.
    Frequency of Submission: No submission.
    Total Responses: 1,200.
    Average Time Per Response: 2.5 hours initially, 1 hour annually 
thereafter.
    Estimated Total Annual Burden Hours: 3,000 hours one time, 1,200 
hours annually thereafter.
    Status: Emergency processing by OMB.

    Title: Place identifying markings on bridges that need special 
attention.
    OMB Control Number: New.
    Abstract: Consideration should be given to placing identifying 
marks on bridges that need particular attention in special inspections, 
along with the bridge number, to assist inspectors in locating them 
with certainty during inclement weather.
    Form Number(s): N/A.
    Affected Public: Businesses.
    Respondent Universe: 25 railroads.
    Frequency of Submission: No submission.

[[Page 46796]]

    Total Responses: 1,000.
    Average Time Per Response: 3 hours initially, 15 minutes annually 
thereafter.
    Estimated Total Annual Burden Hours: 3,000 hours one time, 250 
hours annually thereafter.
    Status: Emergency processing by OMB.

    Title: Training Program for Inspectors.
    OMB Control Number: New.
    Abstract: Each affected railroad should implement a training 
program for the persons performing special inspections.
    Form Number(s): N/A.
    Affected Public: Businesses.
    Respondent Universe: 25 railroads.
    Frequency of Submission: No submission.
    Total Responses: 25.
    Average Time Per Response: 441.6 hours one time, 88 hours annually 
thereafter.
    Estimated Total Annual Burden Hours: 11,040 hours one time, 2,200 
hours annually thereafter.
    Status: Emergency processing by OMB.

    Title: Provide initial briefing to inspectors.
    OMB Control Number: New.
    Abstract: Each affected railroad should brief all of its track and 
bridge inspectors on the contents of this advisory. These briefings 
should occur within 14 calendar days of the date of publication of this 
safety advisory in the Federal Register.
    Form Number(s): N/A.
    Affected Public: Businesses.
    Respondent Universe: 25 railroads.
    Frequency of Submission: None.
    Total Responses: 300.
    Average Time Per Response: 4 hours.
    Estimated Total Annual Burden Hours: 2,400 hours.
    Status: Emergency processing by OMB.

    Title: Review of bridges for vulnerability to high water, initial 
and annual.
    OMB Control Number: New.
    Abstract: FRA believes that the actions described in paragraphs 3, 
4, and 5 should be completed within 60 calendar days of the date of 
publication of this safety advisory in the Federal Register. During 
this period, each affected railroad should complete an initial review 
of its bridges for vulnerability to high or rapidly flowing water and 
provide that information to its inspectors. More detailed reviews 
should be substantially completed and provided to inspectors during 
calendar year 1998 and then maintained in a current status.
    Form Number(s): N/A.
    Affected Public: Businesses.
    Respondent Universe: 25 railroads.
    Frequency of Submission: None.
    Total Responses: 1,000.
    Average Time Per Response: 2 hours initially in 1998, 30 minutes 
annually thereafter.
    Estimated Total Annual Burden Hours: 2,000 hours initially in 1998, 
500 hours annually thereafter.
    Status: Emergency processing by OMB.

    Title: Notify FRA of bridge safety inspection programs in place.
    OMB Control Number: New.
    Abstract: FRA requests a letter within 45 calendar days of the date 
of publication of this safety advisory in the Federal Register from 
each affected railroad specifying the actions it has taken and will 
initiate to enhance the safety of train operations in the event of a 
flood or a high or rapid water condition. Such letters should be 
addressed to the Associate Administrator for Safety, FRA, RRS-1, Mail 
Stop 25, 400 Seventh Street S.W., Washington, DC 20590.
    Form Number(s): N/A.
    Affected Public: Businesses.
    Respondent Universe: 25 railroads.
    Frequency of Submission: One time.
    Total Responses: 25.
    Average Time Per Response: 4 hours one time.
    Estimated Total Annual Burden Hours: 200 hours one time.
    Status: Emergency processing by OMB.
    FRA cannot impose a penalty on persons for violating information 
collection requirements which do not display a current OMB control 
number, if required. Here, of course, FRA is not issuing information 
collection requirements and has no intention of imposing penalties 
under any provisions of this safety advisory. FRA intends to obtain 
current OMB control numbers for any information collection items 
contained in this Safety Advisory. The OMB control number, when 
assigned, will be announced by separate notice in the Federal Register.
    For further information please contact Ms. Gloria Swanson, Office 
of Planning and Evaluation Division, RRS-21, Federal Railroad 
Administration, 400 Seventh Street, S.W., Washington, D.C. 20590 
(telephone: (202) 632-3318) or MaryAnn Johnson, Office of Information 
Technology and Productivity Improvement, RAD-20, Federal Railroad 
Administration, 400 Seventh Street, S.W., Washington, D.C. 20590 
(telephone: (202) 632-3226). (These telephone numbers are not toll-
free.)
    FRA may modify Safety Advisory 97-1, issue additional safety 
advisories, or take other appropriate necessary action to ensure the 
highest level of safety on the Nation's railroads.

    Issued in Washington, DC, on September 2, 1997.
James T. Schultz,
Associate Administrator for Safety.
[FR Doc. 97-23618 Filed 9-3-97; 8:45 am]
BILLING CODE 4910-06-P