[Federal Register Volume 66, Number 247 (Wednesday, December 26, 2001)]
[Rules and Regulations]
[Pages 66346-66348]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-31521]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Part 225

[FRA-1998-4898, Notice No. 4]
RIN 2130-AB30


Annual Adjustment of Monetary Threshold for Reporting Rail 
Equipment Accidents/Incidents--Calendar Year 2002

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

ACTION: Final rule.

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SUMMARY: This final rule establishes at $6,700 the monetary threshold 
for reporting railroad accidents/incidents involving railroad property 
damage that occur during calendar year 2002. The monetary threshold of 
$6,700 for calendar year 2002 represents an $100 increase over last 
year's monetary threshold of $6,600. This action is needed to ensure 
and maintain comparability between different years of data by having 
the threshold keep pace with any increases or decreases in equipment 
and labor costs so that each year accidents involving the same minimum 
amount of railroad property damage are included in the reportable 
accident counts.

EFFECTIVE DATE: January 1, 2002.

FOR FURTHER INFORMATION CONTACT: Robert L. Finkelstein, Staff Director, 
Office of Safety Analysis, RRS-22, Mail Stop 17, Office of Safety 
Assurance and Compliance, FRA, 1120 Vermont Ave., NW., Washington, DC 
20590 (telephone 202-493-6280); or Nancy L. Friedman, Trial Attorney, 
Office of Chief Counsel, RCC-12, Mail Stop 10, FRA, 1120 Vermont Ave., 
NW., Washington, DC 20590 (telephone 202-493-6034).

SUPPLEMENTARY INFORMATION:

Background

    Each rail equipment accident/incident must be reported to FRA using 
the Rail Equipment Accident/Incident Report (Form FRA F 6180.54). 49 
CFR 225.19(b), (c). As revised in 1997, paragraphs (c) and (e) of 49 
CFR 225.19, provide that the dollar figure that constitutes the 
reporting threshold for rail equipment accidents/incidents will be 
adjusted, if necessary, every year in accordance with the procedures 
outlined in appendix B to part 225, to reflect any cost increases or 
decreases. 61 FR 30942, 30969 (June 18, 1996); 61 FR 60632, 60634 (Nov. 
29, 1996); 61 FR 67477, 67490 (Dec. 23, 1996).

New Reporting Threshold

    Approximately one year has passed since the rail equipment 
accident/incident reporting threshold was last reviewed, and 
approximately four years since it was revised. 64 FR 69193 (Dec. 10, 
1999); 63 FR 71790 (Dec. 30, 1998); 62 FR 63675 (Dec. 2, 1997). 
Consequently, FRA has recalculated the threshold, as required by 
Sec. 225.19(c), based on increased costs for labor and increased costs 
for equipment. FRA has determined that the current reporting threshold 
of $6,600, which applies to rail equipment accidents/incidents that 
occur during calendar year 2001, should increase by $100 to $6,700 for 
the same rail equipment accidents/incidents that occur during calendar 
year 2002, effective January 1, 2002.
    Accordingly, Secs. 225.5 and 225.19 and appendix B have been 
amended to state the reporting threshold for calendar year 2002 and the 
most recent cost figures and the calculations made to determine that 
threshold.

Notice and Comment Procedures

    In this rule, FRA has recalculated the monetary reporting threshold 
based on the formula adopted, after notice and comment, in the final 
rule published June 18, 1996, 61 FR 30959, 30969, and discussed in 
detail in the final rule published November 29, 1996, 61 FR 30632. FRA 
has found that both the current cost data inserted into this pre-
existing formula and the original cost

[[Page 66347]]

data that they replace were obtained from reliable Federal government 
sources. FRA has found that this rule imposes no additional burden on 
any person, but rather provides a benefit by permitting the valid 
comparison of accident data over time. Accordingly, FRA has concluded 
that notice and comment procedures are impracticable, unnecessary, and 
contrary to the public interest. As a consequence, FRA is proceeding 
directly to this final rule.

Regulatory Impact

Executive Order 12866 and DOT Regulatory Policies and Procedures

    This final rule 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 (Feb. 26, 1979). This final rule also has been reviewed under 
Executive Order 12866 and is also considered ``nonsignificant'' under 
that Order.

Regulatory Flexibility Act

    The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.) 
requires a review of 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. 
Pursuant to Section 312 of the Small Business Regulatory Enforcement 
Fairness Act of 1996 (Public Law 104-121), FRA has published an interim 
policy that formally establishes ``small entities'' as being railroads 
that meet the line-haulage revenue requirements of a Class III 
railroad. 62 FR 43024 (Aug. 11, 1997). For other entities, the same 
dollar limit in revenues governs whether a railroad, contractor, or 
other respondent is a small entity. About 645 of the approximately 700 
railroads in the United States are considered small businesses by FRA. 
FRA certifies that this final rule will have no significant economic 
impact on a substantial number of small entities. To the extent that 
this rule has any impact on small entities, the impact will be neutral 
because the rule is maintaining, rather than increasing, their 
reporting burden. The American Shortline and Regional Railroad 
Association (ASLRRA) represents the interests of most small freight 
railroads and some excursion railroads operating in the United States. 
FRA field offices and the ASLRRA engage in various outreach activities 
with small railroads. For instance, when new regulations are issued 
that affect small railroads, FRA briefs the ASLRRA, which in turn 
disseminates the information to its members and provides training as 
appropriate. When a new railroad is formed, FRA safety representatives 
visit the operation and provide information regarding applicable safety 
regulations. The FRA regularly addresses questions and concerns 
regarding regulations raised by railroads. Because this rule is not 
anticipated to affect small railroads, FRA is not providing alternative 
treatment for small railroads under this rule.

Paperwork Reduction Act

    There are no new information collection requirements associated 
with this final rule. Therefore, no estimate of a public reporting 
burden is required.

Federalism Implications

    Executive Order 13132, entitled, ``Federalism,'' issued on August 
4, 1999, requires that each agency ``in a separately identified portion 
of the preamble to the regulation as it is to be issued in the Federal 
Register, provide[] to the Director of the Office of Management and 
Budget a federalism summary impact statement, which consists of a 
description of the extent of the agency's prior consultation with State 
and local officials, a summary of the nature of their concerns and the 
agency's position supporting the need to issue the regulation, and a 
statement of the extent to which the concerns of the State and local 
officials have been met * * *.'' This rulemaking action has been 
analyzed in accordance with the principles and criteria contained in 
Executive Order 13132. This rule will not have a substantial direct 
effect on States, on the relationship between the national government 
and the States, or on the distribution of power and the 
responsibilities among the various levels of government, as specified 
in the Executive Order 13132. Accordingly, FRA has determined that this 
rule will not have sufficient federalism implications to warrant 
consultation with State and local officials or the preparation of a 
Federalism Assessment. Accordingly, a Federalism Assessment has not 
been prepared.

Environmental Impact

    FRA has evaluated this regulation in accordance with its 
``Procedures for Considering Environmental Impacts'' (FRA's Procedures) 
(64 FR 28545, May 26, 1999) as required by the National Environmental 
Policy Act (42 U.S.C. 4321 et seq.), other environmental statutes, 
Executive Orders, and related regulatory requirements. FRA has 
determined that this regulation is not a major FRA action (requiring 
the preparation of an environmental impact statement or environmental 
assessment) because it is categorically excluded from detailed 
environmental review pursuant to section 4(c)(20) of FRA's Procedures. 
64 FR 28545, 28547, May 26, 1999. Section 4(c)(20) reads as follows:

    (c) Actions Categorically Excluded. Certain classes of FRA 
actions have been determined to be categorically excluded from the 
requirements of these Procedures as they do not individually or 
cumulatively have a significant effect on the human environment. * * 
* The following classes of FRA actions are categorically excluded:
* * * * *
    (20) Promulgation of railroad safety rules and policy statements 
that do not result in significantly increased emissions of air or 
water pollutants or noise or increased traffic congestion in any 
mode of transportation.

In accordance with section 4(c) and (e) of FRA's Procedures, the agency 
has further concluded that no extraordinary circumstances exist with 
respect to this regulation that might trigger the need for a more 
detailed environmental review. As a result, FRA finds that this 
regulation is not a major Federal action significantly affecting the 
quality of the human environment.

Unfunded Mandates Reform Act of 1995

    Pursuant to Section 201 of the Unfunded Mandates Reform Act of 1995 
(Public Law 104-4, 2 U.S.C. 1531), each federal agency ``shall, unless 
otherwise prohibited by law, assess the effects of Federal regulatory 
actions on State, local, and tribal governments, and the private sector 
(other than to the extent that such regulations incorporate 
requirements specifically set forth in law).'' Section 202 of the Act 
(2 U.S.C. 1532) further requires that ``before promulgating any general 
notice of proposed rulemaking that is likely to result in the 
promulgation of any rule that includes any Federal mandate that may 
result in expenditure by State, local, and tribal governments, in the 
aggregate, or by the private sector, of $100,000,000 or more (adjusted 
annually for inflation) in any 1 year, and before promulgating any 
final rule for which a general notice of proposed rulemaking was 
published, the agency shall prepare a written statement'' detailing the 
effect on State, local, and tribal governments and the private sector. 
The final rule would not result in the expenditure, in the aggregate, 
of $100,000,000 or more in any one year, and thus preparation of such a 
statement is not required.

Energy Impact

    Executive Order 13211 requires Federal agencies to prepare a 
Statement

[[Page 66348]]

of Energy Effects for any ``significant energy action.'' 66 FR 28355 
(May 22, 2001). Under the Executive Order, a ``significant energy 
action'' is defined as any action by an agency (normally published in 
the Federal Register) that promulgates or is expected to lead to the 
promulgation of a final rule or regulation (including notices of 
inquiry, advance notices of proposed rulemaking, and notices of 
proposed rulemaking) (1)(i) that is a significant regulatory action 
under Executive Order 12866 or any successor order, and (ii) is likely 
to have a significant adverse effect on the supply, distribution, or 
use of energy; or (2) that is designated by the Administrator of the 
Office of Information and Regulatory Affairs as a significant energy 
action. FRA has evaluated this final rule in accordance with Executive 
Order 13211. FRA has determined that this final rule will not have a 
significant adverse effect on the supply, distribution, or use of 
energy and the Administrator of the Office of Information and 
Regulatory Affairs has not designated it as a significant energy 
action.

List of Subjects in 49 CFR Part 225

    Investigations, Penalties, Railroad safety, Reporting and 
recordkeeping requirements.

The Final Rule

    In consideration of the foregoing, FRA amends part 225, title 49, 
Code of Federal Regulations as follows:

PART 225--RAILROAD ACCIDENTS/INCIDENTS: REPORTS CLASSIFICATION, AND 
INVESTIGATIONS

    1. The authority citation for part 225 continues to read as 
follows:

    Authority: 49 U.S.C. 20103, 20107, 20901, 20902, 21302, 21311; 
49 U.S.C. 103; 49 CFR 1.49.


    2. By amending Sec. 225.19 by revising the first sentence of 
paragraph (c) and revising paragraph (e) to read as follows:


Sec. 225.19  Primary groups of accidents/incidents.

* * * * *
    (c) Rail equipment accidents/incidents are collisions, derailments, 
fires, explosions, acts of God, and other events involving the 
operation of on-track equipment (standing or moving) that result in 
damages higher than the current reporting threshold (i.e., $6,300 for 
calendar years 1991 through 1996, $6,500 for calendar year 1997, $6,600 
for calendar years 1998 through 2001, and $6,700 for calendar year 
2002) to railroad on-track equipment, signals, tracks, track 
structures, or roadbed, including labor costs and the costs for 
acquiring new equipment and material. * * *
* * * * *
    (e) The reporting threshold is $6,300 for calendar years 1991 
through 1996. The reporting threshold is $6,500 for calendar year 1997, 
$6,600 for calendar years 1998 through 2001, and $6,700 for calendar 
year 2002. The procedure for determining the reporting threshold for 
calendar year 1997 and later appears as appendix B to part 225.
    3. Part 225 is amended by revising paragraphs 8 and 9 of appendix B 
to read as follows:

Appendix B to Part 225--Procedure for Determining Reporting Threshold

* * * * *
    8. Formula: 
    [GRAPHIC] [TIFF OMITTED] TR26DE01.152
    
Where:

Prior Threshold = $6,600 (for rail equipment accidents/incidents 
that occur during calendar year 2001);
Wn = New average hourly wage rate ($) = 18.188333;
Wp = Prior average hourly wage rate ($) = 17.763333;
En = New equipment average PPI value ($) =135.733333;
Ep = Prior equipment average PPI value ($) = 135.633333.

    9. The result of these calculations is $6,682.254777. Since the 
result is rounded to the nearest $100, the new reporting threshold 
for rail equipment accidents/incidents that occur during calendar 
year 2002 is $6,700, which represents an $100 increase from the 
monetary threshold for calendar years 1998 through 2001.

    Issued in Washington, DC on December 17, 2001.
Allan Rutter,
Administrator, Federal Railroad Administration.
[FR Doc. 01-31521 Filed 12-21-01; 8:45 am]
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