[Federal Register Volume 83, Number 148 (Wednesday, August 1, 2018)]
[Notices]
[Pages 37606-37612]
[FR Doc No: 2018-16403]

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket No. FRA-2018-0008-N-5]

Proposed Agency Information Collection Activities; Comment
Request

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

ACTION: Notice of information collection; request for comment.

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

SUMMARY: Under the Paperwork Reduction Act of 1995 (PRA) and its
implementing regulations, FRA seeks approval of the Information
Collection Requests (ICRs) abstracted below. Before submitting these
ICRs to the Office of Management and Budget (OMB) for approval, FRA is
soliciting public comment on specific aspects of the activities
identified below.

DATES: Interested persons are invited to submit comments on or before
October 1, 2018.

ADDRESSES: Submit written comments on the ICRs activities by mail to
either: Mr. Robert Brogan, Information Collection Clearance Officer,
Office of Railroad Safety, Regulatory Analysis Division, RRS-21,
Federal Railroad Administration, 1200 New Jersey Avenue SE, Room W33-
497, Washington, DC 20590; or Ms. Kim Toone, Information Collection
Clearance Officer, Office of Information Technology, RAD-20, Federal
Railroad Administration, 1200 New Jersey Avenue SE, Room W34-212,
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 2130-XXXX'' (the
relevant OMB control number for each ICR is listed below), and should
also include the title of the ICR. Alternatively, comments may be faxed
to<PHONE_NUMBER> or<PHONE_NUMBER>, or emailed to Mr. Brogan at
[email protected], or Ms. Toone at [email protected]. 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, Information
Collection Clearance Officer, Office of Railroad Safety, Regulatory
Analysis Division, RRS-21, Federal Railroad

Administration, 1200 New Jersey Avenue SE, Room W33-497, Washington, DC
20590 (telephone:<PHONE_NUMBER>) or Ms. Kim Toone, Information
Collection Clearance Officer, Office of Information Technology, RAD-20,
Federal Railroad Administration, 1200 New Jersey Avenue SE, Room W34-
212, Washington, DC 20590 (telephone:<PHONE_NUMBER>).

SUPPLEMENTARY INFORMATION: The PRA, 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 to allow comment on information
collection activities before seeking OMB approval of the activities.
See 44 U.S.C. 3506, 3507; 5 CFR 1320.8-12. Specifically, FRA invites
interested parties to comment on the following ICRs regarding: (1)
Whether the information collection activities are necessary for FRA to
properly execute its functions, including whether the activities will
have practical utility; (2) 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; (3)
ways for FRA to enhance the quality, utility, and clarity of the
information being collected; and (4) ways for FRA to minimize the
burden of information collection activities on the public, including
the use of automated collection techniques or other forms of
information technology. See 44 U.S.C. 3506(c)(2)(A); 5 CFR
1320.8(d)(1).
    FRA believes that soliciting public comment may reduce the
administrative and paperwork burdens associated with the collection of
information that Federal regulations mandate. In summary, FRA reasons
that comments received will advance three objectives: (1) Reduce
reporting burdens; (2) organize information collection requirements in
a ``user-friendly'' format to improve the use of such information; and
(3) accurately assess the resources expended to retrieve and produce
information requested. See 44 U.S.C. 3501.
    The summaries below describe the ICRs that FRA will submit for OMB
clearance as the PRA requires:
    Title: Railroad Locomotive Safety Standards and Event Recorders.
    OMB Control Number: 2130-0004.
    Abstract: The Locomotive Safety Standards at 49 CFR part 229
require railroads to inspect, repair, and maintain locomotives,
including their event recorders to ensure they are safe and free of
defects. Crashworthy locomotive event recorders provide FRA with
verifiable factual information about how trains are operated. These
devices are used by FRA and State inspectors for part 229 enforcement.
The information garnered from crashworthy event recorders is used by
railroads to monitor railroad operations and by railroad employees
(locomotive engineers, train crews, dispatchers) to improve train
handling, and promote the safe and efficient operation of trains
throughout the country, based on a surer knowledge of different control
inputs.
    Type of Request: Extension with Change of a Currently Approved
Information Collection.
    Affected Public: Businesses.
    Form(s): FRA F 6180.49A.
    Respondent Universe: 741 railroads.
    Frequency of Submission: On occasion.
    Reporting Burden:

----------------------------------------------------------------------------------------------------------------
                                                            Total annual       Average time per    Total annual
           CFR section             Respondent universe       responses             response        burden hours
----------------------------------------------------------------------------------------------------------------
229.9--Movement of Non-Complying   44 Railroads.......  21,000 tags........  1 minute...........             350
 Locomotives.
229.15--Remote control             44 Railroads.......  3,000 tags.........  2 minutes..........             100
 locomotive--tagging to indicate
 in remote control.
    --Repair record of defective   44 Railroads.......  300 records........  5 minutes..........              25
     OCU linked to remote control
     locomotive.
229.17--Accident Reports.........  44 Railroads.......  1 report...........  15 minutes.........             .25
229.20--Electronic Recordkeeping-- 44 Railroads.......  21,000               1 second...........               6
 Automatic notice to RR each time                        notifications.
 locomotive is due for inspection
 or maintenance.
229.21--Daily Locomotive           741 Railroads......  1,674,400 insp.      31 minutes + 33           3,733,687
 Inspection.                                             reports +            minutes.
                                                         5,215,600 insp.
                                                         reports/records.
    --Written Reports of MU        741 Railroads......  230,000 written      13 minutes.........          49,833
     Locomotive Inspections.                             reports.
Locomotive Inspection & Repair     741 Railroads......  4,000 forms........  16 minutes.........           1,067
 Record--Form FRA F 6180.49A.
229.23--Periodic Inspection:       741 Railroads......  9,500 secondary      2 minutes..........             317
 Secondary record of information                         records.
 on Form FRA F 6180.49A.
    --List of defects/repairs      741 Railroads......  4,000 lists + 4,000  2 minutes + 2                   266
     during inspection provided                          copies.              minutes.
     to RR employees + copies of
     lists.
    --Document from railroad to    741 Railroads......  9,500 documents/     2 minutes..........             317
     employees of all tests                              records.
     conducted since last
     periodic inspection.
229.31--Main reservoir tests:      741 Railroads......  9,500 tests/forms..  8 hours............          76,000
 Periodic inspections--repairs &
 adjustments, & data on Form 49A.
229.33--Out-of-Use Credit for      741 Railroads......  500 out-of-use       5 minutes..........              42
 Locomotives.                                            notations.
----------------------------------------------------------------------------------------------------------------
                                           Recordkeeping Requirements
----------------------------------------------------------------------------------------------------------------
229.25--Periodic Inspection of     741 Railroads......  200 amendment        15 minutes.........              50
 Event Recorders: Written Copy of                        copies.
 Instructions--Amendments.
    --Data Verification Readout    741 Railroads......  4,025 readout        90 minutes.........           6,038
     of Event Recorder.                                  records/reports.
    --Pre-Maintenance Test         741 Railroads......  700 test failure     30 minutes.........             350
     Failures of Event Recorder.                         notations.

229.135--Removal of event          741 Railroads......  1,000 removal tags.  1 minute...........              17
 recorder from service--Tags.
    --Preserving Locomotive Event  741 Railroads......  3,100 data reports.  15 minutes.........             775
     Recorder Accident Data--
     reports.
----------------------------------------------------------------------------------------------------------------
                                               Other Requirements
----------------------------------------------------------------------------------------------------------------
229.27--Annual tests of event      741 Railroads......  700 tests/records..  90 minutes.........           1,050
 recorders w/self-monitoring
 feature displaying a failure
 indication--tests.
229.29--Calibration of Locomotive  741 Railroads......  88,000 tests/        60 seconds.........           1,467
 Air Flow Meter--Tests.                                  records.
229.46--Tagging locomotive with    741 Railroads......  2,100 tags.........  2 minutes..........              70
 inoperative or ineffective
 automatic/independent brake that
 can only be used in trailing
 position.
229.85--Marking of all doors,      741 Railroads......  1,000 re-paintings/  3 minutes..........              50
 cover plates, or barriers having                        decals.
 direct access to high voltage
 equipment with words ``Danger
 High Voltage'' or with word
 ``Danger''.
229.123--Locomotives equipped      741 Railroads......  20 markings/         4 minutes..........               1
 with a pilot, snowplow, & plate                         stencils.
 with clearance above 6 inches--
 Marking/stenciling with words
 ``9 inch Maximum End Plate
 Height, Yard or Trail Service
 Only''.
    --Notation in Remarks section  741 Railroads......  20 notations.......  2 minutes..........               1
     of Form FRA F6180.49A of
     pilot, snowplow, or end
     plate clearance above 6
     inches.
----------------------------------------------------------------------------------------------------------------
                                                    Subpart E
----------------------------------------------------------------------------------------------------------------
229.303--Requests to FRA for on-   741 Railroads......  20 requests........  8 hours............             160
 track testing of products
 outside a facility.
229.307--Safety Analysis for each  741 Railroads......  50 safety analysis   240 hours..........          12,000
 product subject to this Subpart--                       documents.
 Document establishing minimum
 requirements.
229.309--Safety critical changes   741 Railroads......  10 notifications...  16 hours...........             160
 to product subject to this
 Subpart--Notice to FRA.
    --Report by product suppliers  3 Manufacturers....  30 reports.........  8 hours............             240
     and private owners to
     railroads of any safety-
     critical changes to product.
229.311--Notice to FRA by          741 Railroads......  50 notifications...  2 hours............             100
 railroad before placing product
 in service.
    --Railroad document provided   741 Railroads......  50 documents.......  2 hours............             100
     to FRA upon request
     demonstrating product meets
     Safety Analysis requirements
     for life cycle of product.
    --Railroad maintenance of      741 Railroads......  50 databases.......  4 hours............             200
     data base of all safety
     relevant hazards encountered
     after product is placed in
     service.
    --Written report to FRA        741 Railroads......  10 written reports.  2 hours............              20
     disclosing frequency of
     safety relevant hazards for
     product exceeding threshold
     set forth in Safety Analysis.
    --Final Report to FRA on       741 Railroads......  10 written final     4 hours............              40
     results of analyses and                             reports.
     counter measures to reduce
     frequency of safety related
     hazards.
229.313--Product testing results   741 Railroads......  120,000 product      5 minutes..........          10,000
 and records.                                            testing records.
229.315--Railroad maintenance of   741 Railroads......  45 manuals + 255     40 hours + 5 hours.           3,075
 Operations and Maintenance                              manuals.
 Manual containing all documents
 related to installation,
 maintenance, repair,
 modification, & testing of a
 product subject to this Part.
    --RR Configuration Management  741 Railroads......  45 plans + 255       8 hours + 2 hours..             870
     Control Plan.                                       plans.
    --Positive ID of safety-       741 Railroads......  60,000 identified    5 minutes..........           5,000
     critical components.                                components.
229.317--RR Establishment and      741 Railroads......  300 programs.......  40 hours...........          12,000
 Implementation of Training
 Qualification program for
 products subject to this Subpart.
    --Employees trained under RR   741 Railroads......  10,000 trained       60 minutes.........          10,000
     program.                                            employees.

    --Periodic refresher training  741 Railroads......  1,000 re-trained     60 minutes.........           1,000
     of employees.                                       employees.
    --RR regular and periodic      741 Railroads......  300 evaluations....  4 hours............           1,200
     evaluation of effectiveness
     of its training program.
    --RR record of individuals     741 Railroads......  10,000 records.....  10 minutes.........           1,667
     designated as qualified
     under this Section.
Appendix F to Part 229--Guidance   741 Railroads/3      1 3rd party          4,000 hours........           4,000
 for Verification and Validation    Manufacturers.       assessment.
 of Products--3rd Party
 Assessments.
    --Final Report of Assessment.  741 Railroads/3      1 final report.....  80 hours...........              80
                                    Manufacturers.
----------------------------------------------------------------------------------------------------------------

    Total Estimated Annual Responses: 7,509,648.
    Total Estimated Annual Burden: 3,933,791 hours.
    Title: Railroad Signal System.
    OMB Control Number: 2130-0006.
    Abstract: The regulations pertaining to railroad signal systems are
contained in 49 CFR parts 233 (Signal System Reporting Requirements),
235 (Instructions Governing Applications for Approval of a
Discontinuance or Material Modification of a Signal System), and 236
(Rules, Standards, and Instructions Governing the Installation,
Inspection, Maintenance, and Repair of Signal and Train Control
Systems, Devices, and Appliances). Section 233.5 provides that each
railroad must report to FRA within 24 hours after learning of an
accident or incident arising from signal failure (e.g., failure of a
signal appliance, device, method or system to function or indicate as
required by 49 CFR part 236 that results in a more favorable aspect
than intended) or other condition hazardous to the movement of a train.
Section 233.7 provides that each railroad must report signal failures
within 15 days in accordance with the instructions printed on Form FRA
F 6180.14.
    Part 235 of title 49 of the Code of Federal Regulations sets forth
the specific conditions under which FRA will approve the modification
or discontinuance of railroad signal systems. These regulations also
describe the process that should be followed by a railroad to seek such
an approval. The application process prescribed under 49 CFR part 235
enables FRA to obtain the necessary information to make logical and
informed decisions concerning railroad requests to modify or
discontinue signal systems. Section 235.5 requires railroads to apply
for FRA approval to discontinue or materially modify railroad signal
systems. However, section 235.7 cites signal system changes that do not
require FRA approval such as removal of an interlocking where a
drawbridge has been permanently closed by the formal approval of
another governmental agency. Section 235.8 allows railroads to seek
relief from the requirements in 49 CFR part 236. Sections 235.10,
235.12, and 235.13 explain where the application must be submitted,
what information must be included, what the format should be, and who
is authorized to sign the application. FRA provides public notice
concerning applications for relief and allows individuals and
organizations to protest the granting of an application for relief.
Section 235.20 describes the protest process, including essential
information that must accompany the protest, the address for filing the
protest, the time limit for filing the protest, and the requirement
that a person requesting a public hearing explain why written
statements cannot be used to explain his or her position.
    49 CFR part 236 contains FRA's signal system requirements. Section
236.110 requires that the results of signal system tests required under
Sec. Sec.  236.102-109; Sec. Sec.  236.376-236.387; Sec. Sec.  236.576-
577; and Sec. Sec.  236.586-589 be recorded on pre-printed forms
provided by the railroad or by electronic means, subject to FRA
approval. These forms must show the name of the railroad, place and
date of the test conducted, type of equipment tested, results of the
test, describe any repairs, replacements, and adjustments performed on
the equipment that has been tested, and the condition in which the
equipment was left. This section also requires that the employee
conducting the test must sign the form and that the record be retained
at the office of the supervisory official. Test results made in
compliance with Sec.  236.587, must be retained for 92 days. The
results of all other tests required under Sec. Sec.  236.102-109;
Sec. Sec.  236.376-236.387; Sec. Sec.  236.576-577; Sec.  236.586; and
Sec. Sec.  236.588-589, including results of periodic tests, must be
retained until the next record is filed, but no less than one year.
Additionally, Sec.  236.587 requires each railroad to make a departure
test of the cab signal, automatic train stop, or train control devices
on locomotives before the locomotives enter equipped territory. This
section further requires that whoever performs the departure test must
certify in writing that the test was properly performed. The
certification and test results must be posted in the locomotive cab
with a copy of the certification and test results retained at the
office of the supervisory official. However, if it is impractical to
leave a copy of the certification and test results at the location
where the test is conducted, then the test results must be transmitted
to the dispatcher or another designated official who must keep a
written record of the test results and the name of the person
performing the test. All records prepared under this section are
required to be retained for 92 days. Finally, Sec.  236.590 requires
railroads to clean and inspect the pneumatic apparatus of automatic
train stop, train control, or cab signal devices on locomotives as
required by Sec.  229.29(a).
    Type of Request: Extension with Change of a Currently Approved
Information Collection.
    Affected Public: Businesses.
    Form(s): FRA F 6180.14.
    Respondent Universe: 1 Class I railroad.
    Frequency of Submission: On occasion.
    Reporting Burden:

----------------------------------------------------------------------------------------------------------------
                                                            Total annual       Average time per    Total annual
           CFR section             Respondent universe       responses             response        burden hours
----------------------------------------------------------------------------------------------------------------
233.5--Accidents resulting from    741 Railroads......  10 telephone calls.  30 minutes.........               5
 signal failure--telephone report
 to FRA.

233.7--Signal Failure Reports....  741 Railroads......  20 reports.........  15 minutes.........               5
235.5--Filing of Applications for  80 Railroads.......  20 applications....  10 hours...........             200
 changes to Signal Systems.
235.8--Relief from requirements    80 Railroads.......  10 relief requests/  2.5 hours..........              25
 of Part 236 of this Title.                              applications.
235.20--Protests against           80 Railroads.......  20 protest letters.  30 minutes.........              10
 application for relief from Part
 236 requirements.
236.110--Results of Tests made in  80 Railroads.......  796,161 forms +      27 minutes. 15              393,397
 compliance with sections 236.102-                       140,499 forms.       minutes.
 109; sections 236.376-387;
 section 236.576; section
 236.577; sections 236.586-589;
 and sec. 236.917(a)--Records.
236.587--Departure Test--Record..  18 Railroads.......  730,000 tests/       4 minutes..........          48,667
                                                         records.
236.590--Pneumatic Apparatus--     18 Railroads.......  6,697 stencilings/   22.5 minutes.......           2,511
 Inspection, cleaning, and                               tags.
 results of Inspection--Record.
----------------------------------------------------------------------------------------------------------------

    Total Estimated Annual Responses: 1,673,437.
    Total Estimated Annual Burden: 444,820 hours.
    Title: Inspection Brake System Safety Standards for Freight and
Other Non-Passenger Trains and Equipment (Power Brakes).
    OMB Control Number: 2130-0008.
    Abstract: Recognizing the importance of upgrading rail
technologies, Congress in 1980 passed the Rock Island Railroad
Transition and Employee Assistance Act (the ``Rock Island Act''),
which, inter alia, provides statutory relief for the implementation of
new technologies. More specifically, when certain statutory
requirements preclude the development or implementation of more
efficient railroad transportation equipment or other transportation
innovations, the applicable section of the Rock Island Act, currently
codified at 49 U.S.C. 20306, provides the Secretary of Transportation
with the authority to grant an exemption to those requirements based on
evidence received and findings developed at a hearing. In accordance
with that statute, FRA held a public hearing and invoked its
discretionary authority under 49 U.S.C. 20306 to provide a limited
exemption from Sec.  20303 for freight trains and freight cars
operating with electronically controlled pneumatic (ECP) brake systems.
In doing so, FRA revised the regulations governing freight power brakes
and equipment in October 2008 by adding a new subpart G. The revisions
are designed to provide for and encourage the safe implementation and
use of ECP brake system technologies. These revisions contain specific
requirements relating to design, interoperability, training,
inspection, testing, handling defective equipment, and periodic
maintenance related to ECP brake systems. The final rule also provides
flexibility to facilitate the voluntary adoption of this advanced brake
system technology. The collection of information is used by FRA to
monitor and enforce regulatory requirements related to power brakes on
freight cars, including the requirements related to ECP brake systems.
The collection of information is also used by locomotive engineers and
road crews to verify that the terminal air brake test has been
performed in a satisfactory manner.
    Type of Request: Extension with Change of a Currently Approved
Information Collection.
    Affected Public: Businesses.
    Form(s): N/A.
    Respondent Universe: 1 Class I railroad.
    Frequency of Submission: On occasion.
    Reporting Burden:

----------------------------------------------------------------------------------------------------------------
                                                            Total annual       Average time per    Total annual
           CFR section             Respondent universe       responses             response        burden hours
----------------------------------------------------------------------------------------------------------------
229.27--Annual Tests.............  30,000 Locomotives.  120,000 tests......  15 minutes.........          30,000
232.3--Applicability--Cars Not     741 Railroads......  8 cards............  10 minutes.........               1
 Used in Service.
232.7--Waivers...................  741 Railroads......  10 petitions.......  160 hours..........           1,600
232.15--Movement of Defective      1,620,000 Cars/      128,400 tags.......  2.5 minutes........           5,350
 Equipment.                         locos.
    --Notice of Defective Car/     1,620,000 Cars/      25,000 notices.....  3 minutes..........           1,250
     Locomotive and Restrictions.   locos.
232.17--Special Approval           741 Railroads......  1 petition.........  100 hours..........             100
 Procedure.
    --Petitions--Pre-Revenue Svc   741 Railroads......  1 petition.........  100 hours..........             100
     Plans.
    --Copies of Petitions--        741 Railroads......  1 petition.........  20 hours...........              20
     Special Approval.
    --Statements of Interest.....  Public/Railroads...  4 statements.......  8 hours............              32
    --Comments on Special          Public/Railroads...  13 comments........  4 hours............              52
     Approval Procedure Petition.
232.103--General Requirements for  114,000 cars.......  70,000 stickers....  10 minutes.........          11,667
 All Train Brakes.
    --RR Plan identifying          741 Railroads......  1 revised plan.....  10 hours...........              10
     locations or circumstances
     when equipment left on a
     main track or siding
     unattended.
    --Notification to FRA that     741 Railroads......  1 notification.....  30 minutes.........               1
     railroad has developed plan.
    --Securement job briefings...  741 Railroads......  23,400,000           30 seconds.........         195,000
                                                         briefings.
    --Inspection of proper         741 Railroads......  12 inspections.....  4 hours............              48
     securement by qualified
     employee of unattended
     equipment that a non-
     railroad emergency responder
     has been on, under, or
     between.

232.105--General Requirements for  30,000 Locomotives.  30,000 forms.......  5 minutes..........           2,500
 Locomotives.
    --Inspection of operative      30,000 Locomotives.  30,000 inspections/  30 seconds.........             250
     exterior locking mechanism                          records.
     on locomotive left
     unattended outside of a yard
     but not on a track directly
     adjacent to the yard.
    --Broken exterior locking      30,000 Locomotives.  73 repaired          60 minutes + 15                  73
     mechanism on locomotive                             mechanisms/records.  seconds.
     requiring repair.
232.107--Air Source Requirements-- 10 New Railroads...  1 plan.............  40 hours...........              40
 Plans.
    --Amendments to Plan.........  50 Existing Plans..  10 amendments......  20 hours...........             200
    --Record Keeping.............  50 Existing Plans..  1,150 records......  20 hours...........          23,000
232.109--Dynamic Br.               741 Railroads......  1,656,000 rcd......  4 minutes..........         110,400
 Requirements--Rcd.
    --Repair of Inoperative        30,000 Locomotives.  6,358 records......  4 minutes..........             424
     Dynamic Brakes.
    -- Locomotives w/Inoperative   30,000 Locomotives.  6,358 tags.........  30 seconds.........              53
     Dynamic Br..
    --Deactivated Dynamic Brakes:  8,000 locomotives..  10 markings........  5 minutes..........               1
     Markings.
    --Rule Safe Train Handling     5 New Railroads....  5 oper. rules......  4 hours............              20
     Procedures.
    --Amendments.................  741 railroads......  15 amendments......  1 hour.............              15
    --Over Speed Top Rules--5 MPH  741 railroads......  5 requests.........  20.5 hours.........             103
     Increase.
    --Locomotive Engineer          5 new railroads....  5 amendments.......  16 hours...........              80
     Certification Programs--
     Dynamic Brakes Training.
232.111--Train Information         5 New Railroads....  5 procedures.......  40 hours...........             200
 Handling.
    --Amendments.................  100 Railroads......  100 am. proc.......  20 hours...........           2,000
    --Reports to Train Crews.....  741 Railroads......  2,112,000 rpts.....  10 minutes.........         352,000
232.203--Training Requirements:    15 Railroads.......  5 programs.........  100 hours..........             500
 Training Programs--Subsequent
 Years.
    --Amendments to Written        741 Railroads......  741 programs.......  8 hours............           5,928
     Program.
    --Training Records...........  741 Railroads......  67,000 records.....  8 minutes..........           8,933
    --Training Notifications.....  741 Railroads......  67,000 notices.....  3 minutes..........           3,350
    --Validation/Assessment Plans  741 Railroads......  1 plan + 741 copies  40 hrs./1 min......              51
    --Amendments to Validation/    741 Railroads......  50 revised plans...  20 hours...........           1,000
     Assessment Plans.
232.205--Class I Brake Test--      741 Railroads......  1,646,000 notices..  45 seconds.........          20,575
 Initial Terminal Insp.
232.207--Class I A Brake Tests:    741 Railroads......  1 des. list........  1 hour.............               1
 1000 Mile Insp,--Designation of
 locations where performed:--
 Subsequent Years.
    --Notification to FRA          741 Railroads......  250 notices........  10 minutes.........              42
     headquarters and pertinent
     region within 24 hours that
     designation list has changed
     due to emergency situation.
232.209--Class II Brake Tests--    741 Railroads......  159,740 comments...  3 seconds..........             133
 Communication of results of roll-
 by inspections to train operator.
232.213--Extended Haul Trains--    83,000 Long          250 letters of       15 minutes.........              63
 Designations of such trains in     Distance Train       designation.
 writing to FRA.                    Movements.
232.303--General Requirements--    1,600,000 Freight    5,600 tags.........  5 minutes..........             467
 Repair Track Brake Test: Tagging   Cars.
 cars needing to be moved for
 such tests.
    --Stenciling/marking of        1,600,000 Freight    240,000 marks/       5 minutes..........          20,000
     location of last repair        Cars.                stencillings.
     track brake test/single car
     test required by section
     232.305.
232.305--Single Car Tests/Records  1,600,000 Freight    240,000 tests/       60 minutes.........         240,000
                                    Cars.                records.
232.307--Request to Modify Single  AAR................  1 request + 3        20 hours + 5                     20
 Car Air Brake Test Procedures.                          copies.              minutes.
    --Statement Affirming That     AAR................  1 statement + 4      30 minutes + 5                    1
     Request Copies Have been                            copies.              minutes.
     Served on Designated
     Employee Representatives.
    --Comment on Modification      RR Industry/Public/  2 comments.........  8 hours............              16
     Request.                      Interested Parties.
232.309--Equipment and devices     640 Shops..........  5,000 tests........  30 minutes.........           2,500
 performing single car air brake
 tests: Testing and Calibrations.
232.403--Design Standards For One- 245 Railroads......  12 requests........  5 minutes..........               1
 way EOT Devices--Request to FRA
 for unique code for each rear
 unit.
232.407--Operations Requiring 2-   245 Railroads......  50,000 radio chats.  30 seconds.........             417
 Way EOTs: Communications between
 helper locomotive engineer with
 engineer on the head end of the
 train.
232.409--Inspection and Testing    245 Railroads......  447,500 notices....  30 seconds.........           3,729
 of 2-Way EOTs: Notice to
 engineer of successful test.

    --Testing telemetry equipment  245 Railroads......  1,350 markings.....  60 seconds.........              23
     for accuracy: Date and
     location of last test or
     calibration affixed to
     outside of both front & rear
     unit.
232.503--Process to Introduce New  741Railroads.......  1 request/letter...  60 minutes.........               1
 Brake System Technology--Request
 to FRA for special approval.
    --Pre-Revenue Service          741 Railroads......  1 request..........  3 hours............               3
     Demonstration of New Brake
     Technology: Request to FRA
     for approval prior to using
     in revenue service.
232.505--Pre-Revenue Service       741 Railroads......  1 procedure........  160 hours..........             160
 Acceptance Testing Plan:
 Maintenance Procedure--
 Subsequent Years.
    --Amendments.................  741 Railroads......  1 amendment........  40 hours...........              40
    --Design Descriptions--        741 Railroads......  1 petition.........  67 hours...........              67
     Petitions.
    --Results Pre-Revenue Service  741 Railroads......  1 report...........  13 hours...........              13
     Acceptance Testing.
    --Description of Brake         741 Railroads......  1 description......  40 hours...........              40
     Systems Technologies
     Previously Used in Revenue
     Service.
232.603--ECP Requirements:         4 Railroads/AAR....  1 request + 2        8 hours + 5 minutes               8
 Brakes--Modification of                                 copies.
 Standards: AAR or Industry
 Representative request to FRA.
    --RR Statement Affirming Copy  4 Railroads........  4 statements+ 24     60 minutes + 5                    6
     of Modification Request to                          copies.              minutes.
     Employee Reps.
    --Comments on Modification     Public/Interested    4 comments.........  2 hours............               8
     Request.                       Parties.
232.607--ECP Trains Class I Brake  4 Railroads........  750 tests + 750      90 minutes + 45               1,134
 Test & Inspection/: Notification                        notices.             seconds.
 to locomotive engineer it was
 successfully performed.
    --Cars Added en Route--Tests/  4 Railroads........  50 tests + 50        60 minutes + 45                  51
     Notifications.                                      notices.             seconds.
    --Non-ECP Cars Added--         2000 Cars..........  25 insp. + 50 tags.  5 minutes + 2.5                   4
     Inspections and Tagging of                                               minutes.
     Defective Equipment.
232.609--Handling of Defective     25 Cars............  25 tags............  2.5 minutes........               1
 Equipment w/ECP Brake Systems--
 Tagging.
    --Train in ECP Mode w/Less     20 Cars............  10 insp. + 20 tags.  5 minutes + 2.5                   2
     Than 85% of Cars w/Operative                                             minutes.
     Brakes--Insp. + Tagging.
    --Freight Cars w/ECP Systems   25 Cars............  25 tags............  2.5 minutes........               1
     Found with Defective Non-
     Safety Appliance--Tagging.
    --Conventional Train           25 Cars............  50 tags............  2.5 minutes........               2
     Operating with ECP Stand
     Alone Brake Systems--Tagging.
    --Procedures for Handling ECP  1 Railroad.........  1 procedure........  24 hours...........              24
     Brake System Repairs.
    --Submission to FRA of ECP     1 Railroad.........  1 list.............  8 hours............               8
     Brake System Repair
     Locations--Lists.
    --Notice to FRA of Change in   1 Railroad.........  1 notification.....  60 minutes.........               1
     List.
232.611--Periodic Maintenance:     500 Freight Cars...  300 inspections and  10 minutes.........              50
 Inspection & Repair of ECP Cars                         records.
 Before Release from Repair Shop
 or Track.
    --Petitions for Special        AAR................  1 petition + 2       24 hours+ 5 minutes              24
     Approval of Pre-Revenue                             copies.
     Service Acceptance Testing
     Plan.
    --Single Car Brake Test on     2,500 Freight Cars.  50 tests/records...  45 minutes.........              38
     ECP Retrofitted Cars.
    --Modification of Single Car   AAR................  1 procedure........  40 hours...........              40
     Test Standard.
----------------------------------------------------------------------------------------------------------------

    Total Estimated Annual Responses: 30,519,495.
    Total Estimated Annual Burden: 1,045,550 hours.
    Under 44 U.S.C. 3507(a) and 5 CFR 1320.5(b) and 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.

Juan D. Reyes III,
Chief Counsel.
[FR Doc. 2018-16403 Filed 7-31-18; 8:45 am]
 BILLING CODE 4910-06-P


[Federal Register: May 9, 2006 (Volume 71, Number 89)]
[Notices]
[Page 27012-27013]
[DOCID:fr09my06-120]

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

SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC
20549.

Extension:
    Rule 11a-3, SEC File No. 270-321, OMB Control No. 3235-0358.

    Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501-3520), the Securities and Exchange Commission
(``Commission'') has submitted to the Office of Management and Budget
(``OMB'') a request for extension of the previously approved
collections of information discussed below.
    Section 11(a) of the Investment Company Act of 1940 (``Act'') (15
U.S.C. 80a-11(a)) provides that it is unlawful for a registered open-
end investment company (``fund'') or its underwriter to make an offer
to the fund's shareholders or the shareholders of any other fund to
exchange the fund's securities for securities of the same or another
fund on any basis other than the relative net asset values (``NAVs'')
of the respective securities to be exchanged, ``unless the terms of the
offer have first been submitted to and approved by the Commission or
are in accordance with such rules and regulations as the Commission may
have prescribed in respect of such offers.'' Section 11(a) was designed
to prevent ``switching,'' the practice of inducing shareholders of one
fund to exchange their shares for the shares of another fund for the
purpose of exacting additional sales charges.

    Rule 11a-3 under the Act of 1940 (17 CFR 270.11a-3) is an exemptive
rule that permits open-end investment companies (``funds''), other than
insurance company separate accounts, and funds'' principal
underwriters, to make certain exchange offers to fund shareholders and
shareholders of other funds in the same group of investment companies.
The rule requires a fund, among other things, (i) to disclose in its
prospectus and advertising literature the amount of any administrative
or redemption fee imposed on an exchange transaction, (ii) if the fund
imposes an administrative fee on exchange transactions, other than a
nominal one, to maintain and preserve records with respect to the
actual costs incurred in connection with exchanges for at least six
years, and (iii) give the fund's shareholders a sixty day notice of a
termination of an exchange offer or any material amendment to the terms
of an exchange offer (unless the only material effect of an amendment
is to reduce or eliminate an administrative fee, sales load or
redemption fee payable at the time of an exchange).
    The rule's requirements are designed to protect investors against
abuses associated with exchange offers, provide fund shareholders with
information necessary to evaluate exchange offers and certain material
changes in the terms of exchange offers, and enable the Commission
staff to monitor funds' use of administrative fees charged in
connection with exchange transactions.
    There are approximately 2,300 active open-end funds registered with
the Commission as of December 31, 2005. The staff estimates that 25
percent of these funds impose a non-nominal administrative fee on
exchange transactions. The staff estimates that the recordkeeping
requirement of the rule requires approximately 1 hour annually of
clerical time (at an estimated $23 per hour) \1\ per fund, for a total
of 575 hours for all funds (at a total annual cost of $13,225).\2\ The
staff estimates that 25 percent of the 2300 funds terminate an exchange
offer or make a material change to the terms once each year, and that
the notice requirement of the rule requires approximately 1 hour of
professional time (at an estimated $81 per hour) and 2 hours of
clerical time (at an estimated $23 per hour) per fund, for a total of
approximately 1725 hours for all funds to comply with the notice
requirement (at a total annual cost of $73,025).\3\ The recordkeeping
and notice requirements impose a total burden of 2300 hours on all
funds (at a total annual cost of $86,250).\4\ The burdens associated
with the disclosure requirement of the rule are accounted for in the
burdens associated with the Form N-1A registration statement for funds.
---------------------------------------------------------------------------

    \1\ All hourly rates are derived from the average annual
salaries reported for employees outside of New York City in
Securities Industry Association, Management and Professional
Earnings in the Securities Industry (2003) and Securities Industry
Association, Office Salaries in the Securities Industry (2003),
include overhead, and are updated to the present through established
formulas.
    \2\ This estimate is based on the following calculations: (2300
funds x 0.25% = 575 funds); (575 x 1 (clerical hour) = 575 clerical
hours); (575 x $23 = $13,225 total annual cost for recordkeeping
requirement).
    \3\ This estimate is based on the following calculations: (2300
(funds) x 0.25% = 575 funds); (575 x 1 (professional hour) = 575
total professional hours); (575 (funds) x 2 (clerical hours) = 1150
total clerical hours); (575 (professional hours) + 1150 (clerical
hours) = 1725 total hours); (575 (professional hours) x $81 =
$46,575 total professional cost); (1150 (clerical hours) x $23 =
$26,450 clerical cost); ($46,575 + $26,450 = $73,025 total annual
cost).
    \4\ This estimate is based on the following calculations: (1725
(notice hours) + 575 (recordkeeping hours) = 2300 total hours);
($73,025 (notice costs) + $13,225 (recordkeeping costs) = $86,250
total annual costs).
---------------------------------------------------------------------------

    The estimate of average burden hours is made solely for the
purposes of the Paperwork Reduction Act, and is not derived from a
comprehensive or even a representative survey or study of the costs of
Commission rules and forms.
    The rule provides that if a fund imposes an administrative fee in
connection with exchanges that is reasonably intended to cover the
costs incurred in processing the exchanges, the fund must maintain and
preserve records of any determination of the costs incurred in
connection with exchanges for a period of not less than six years, the
first two years in an easily accessible place. Keeping these records is
necessary for any fund that wishes to obtain the benefit of relying on
the rule. Although these records are subject to inspection by the
Commission, they are not made public.
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
    General comments regarding the above information should be directed
to the following persons: (i) Desk Officer for the Securities and
Exchange Commission, Office of Information and Regulatory Affairs,
Office of Management and Budget, Room 10102, New Executive Office
Building, Washington, DC 20503, or e-mail to:
<EMAIL_ADDRESS>and (ii) R. Corey Booth, Director/Chief

Information Officer, Securities and Exchange Commission, C/O Shirley
Martinson, 6432 General Green Way, Alexandria, Virginia 22312, or send
an e-mail to<EMAIL_ADDRESS>Comments must be submitted to OMB
within 30 days of this notice.

    Dated: May 1, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6-7008 Filed 5-8-06; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 76, Number 192 (Tuesday, October 4, 2011)]
[Notices]
[Pages 61353-61354]
[FR Doc No: 2011-25474]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

 [Docket No. PR11-129-000]

Acadian Gas Pipeline System; Notice of Petition for Rate Approval

    Take notice that on September 26, 2011, Acadian Gas Pipeline System
(Acadian) filed a petition pursuant to section 284.123 of the
Commission's regulations, a petition for approval of rates for
transportation services authorized under Section 311(a)(2) of the
Natural Gas Policy Act of 1978 and a revised Statement of Operating
Conditions, as more fully described in the application.
    Any person desiring to participate in this rate filing must file in
accordance with Rules 211 and 214 of the Commission's Rules of Practice
and Procedure (18 CFR 385.211 and 385.214). Protests will be considered
by the Commission in determining the appropriate action to be taken,
but will not serve to make protestants parties to the proceeding. Any
person wishing to become a party must file a notice of intervention or
motion to intervene, as appropriate. Such notices, motions, or protests
must be filed on or before the date as indicated below. Anyone filing
an intervention or protest must serve a copy of that document on the
Applicant. Anyone filing an intervention or protest on or before the
intervention or protest date need not serve motions to intervene or
protests on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov. Persons unable to file electronically should submit an
original and 7 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street, NE., Washington, DC
20426.
    This filing is accessible on-line at http://www.ferc.gov, using the
``eLibrary'' link and is available for

review in the Commission's Public Reference Room in Washington, DC.
There is an ``eSubscription'' link on the Web site that enables
subscribers to receive e-mail notification when a document is added to
a subscribed docket(s). For assistance with any FERC Online service,
please e-mail<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll
free). For TTY, call<PHONE_NUMBER>.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 11, 2011.

    Dated: September 27, 2011.
Kimberly D. Bose,
Secretary.
[FR Doc. 2011-25474 Filed 10-3-11; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 76, Number 2 (Tuesday, January 4, 2011)]
[Notices]
[Pages 411-414]
[FR Doc No: 2010-33238]

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

DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

Regulatory Guidance Concerning Electronic Signatures and
Documents

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.

ACTION: Notice of regulatory guidance.

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

SUMMARY: FMCSA issues regulatory guidance concerning the use of
electronic signatures and documents to comply with FMCSA regulations.
This guidance provides the motor carrier industry, Federal, State, and
local motor carrier enforcement officials, and other interested parties
with uniform information regarding FMCSA's acceptance of electronic
signature on documents required by the Federal Motor Carrier Safety
Regulations. All prior Agency interpretations and regulatory guidance,
including memoranda and letters, may no longer be relied upon to the
extent they are inconsistent with this guidance.

DATES: Effective Date: This regulatory guidance is effective January 4,
2011.

FOR FURTHER INFORMATION CONTACT: Genevieve D. Sapir, Office of the
Chief Counsel, Federal Motor Carrier Safety Administration, 1200 New
Jersey Ave., SE., Washington, DC 20590-0001,<PHONE_NUMBER>; e-mail:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Legal Basis

    The Motor Carrier Safety Act of 1984 (Pub. L. 98-554, Title II, 98
Stat. 2832, October 30, 1984) (the 1984 Act) provides authority to the
Secretary of Transportation to regulate certain commercial drivers,
motor carriers, and vehicle equipment. Section 211 of the 1984 Act also
grants the Secretary broad power to ``prescribe recordkeeping and
reporting requirements'' and to ``perform other acts the Secretary
considers appropriate'' in carrying out motor carrier safety statutes
and regulations (49 U.S.C. 31133(a)(8) and (10)). The Administrator of
FMCSA has been delegated authority under 49 CFR 1.73(g) to carry out
the functions vested in the Secretary by 49 U.S.C. chapter 311,
subchapters I and III, relating to

commercial motor vehicle programs and safety regulation.
    Two Federal statutes govern the Agency's implementation of
electronic document and signature requirements. The Government
Paperwork Elimination Act (GPEA) (Title XVII (Sec. 1701-1710) of Public
Law 105-277, 112 Stat. 2681-749, 44 U.S.C. 3504 note) was signed into
law on October 21, 1998, to improve customer service and governmental
efficiency through the use of information technology. The Electronic
Signatures in Global and National Commerce Act (E[dash]SIGN) (Pub. L.
106-229, 114 Stat. 464, 15 U.S.C. 7001-7031) was signed into law on
June 30, 2000. E[dash]SIGN was designed to promote the use of
electronic contract formation, signatures and recordkeeping in private
commerce by establishing legal equivalence between traditional paper-
based methods and electronic methods.
    The GPEA defines an electronic signature as a method of signing an
electronic communication that: (a) Identifies and authenticates a
particular person as the source of the electronic communication; and
(b) indicates such person's approval of the information contained in
the electronic communication (Section 1710(1)). It also requires
Federal agencies to provide individuals or entities the options of: (a)
Submitting information or transacting with the agency electronically;
and (b) using electronic records retention when practicable. The GPEA
states that electronic records and their related electronic signatures
shall not be denied legal effect, validity or enforceability merely
because they are in electronic form. It also encourages agencies to use
electronic signature alternatives (Sections 1704, 1707).
    For any transaction in or affecting interstate or foreign commerce,
E[dash]SIGN supersedes all pre-existing requirements that paper records
be kept so long as: (a) Such records are generated in commercial,
consumer and business transactions between private parties; and (b)
those parties consent to using electronic methods. Specifically, the
statute establishes the legal equivalence for the following types of
documents, whether in traditional paper or electronic form: (a)
Contracts, (b) signatures, and (c) other legally-required documents (15
U.S.C. 7001(a)(1)).

Purpose and Effect of This Guidance

    FMCSA received a number of requests from motor carriers and other
interested parties asking permission to use electronic signatures in
lieu of handwritten signatures on paper. This document provides
regulatory guidance concerning the use of electronic signatures and
documents to comply with FMCSA regulations. All prior Agency
interpretations and regulatory guidance, as well as memoranda and
letters, may no longer be relied upon as authoritative to the extent
they are inconsistent with this guidance.
    For purposes of complying with any provision in Chapter III of
Subtitle B of Title 49, Code of Federal Regulations (49 CFR parts 300-
399) that requires a document to be created, signed, certified or
retained by any person or entity, that person or entity may, but is not
required to, use electronic methods. Any electronic document or
signature is considered the legal equivalent of a paper document or
signature if it is the functional equivalent with respect to integrity,
accuracy and accessibility. The substance of the document must
otherwise comply with applicable Federal laws and Agency rules.
    Anyone may use electronic methods so long as the electronic
documents or signatures accurately reflect the information in the
record and remain accessible in a form that can be accurately viewed
and/or reproduced according to Agency rules. Electronic documents will
not be considered the legal equivalent of traditional paper documents
if they are not capable of being retained and accurately reproduced for
reference by any individual or entity entitled to access by law for the
period of time required by the Agency's recordkeeping requirements. For
example, if an entity is required to produce documents on demand, those
documents may be stored electronically, so long as that entity can
produce them in accordance with the Agency's substantive requirements
(e.g., immediately and without risk of losing or altering data).
    Today's guidance establishes parity between paper and electronic
records and signatures, greatly expanding interested parties' ability
to use electronic methods. FMCSA previously interpreted 49 CFR 390.31
to permit the electronic storage of records so long as they could be
produced within two working days of a request (62 FR 16370). FMCSA
rescinds that interpretation and motor carriers should no longer rely
on that guidance. As stated above, all records, whether electronic or
paper, must be produced within the time frame established by Agency
regulations. This means that if Agency rules require that a document be
produced to the Agency within 48 hours, you must be able to provide the
Agency with an accurate copy of your electronic record within 48 hours.
Similarly, if Agency rules require that a document be produced upon
demand, you must be able to provide the Agency with an accurate copy of
your electronic record upon demand.
    This guidance applies to documents required by FMCSA regulations to
be generated and maintained or exchanged by private parties, regardless
of whether the Agency subsequently requires them to be produced or
displayed at the request of an FMCSA official or other parties entitled
to access. This guidance does not apply to documents that individuals
or entities are required to file directly with the Agency. The Agency,
however, has already established electronic filing methods for certain
documents. Interested parties can find out about available filing
methods by consulting specific program information on FMCSA's Web site
(http://www.fmcsa.dot.gov).

Regulatory Guidance

Part 390--Federal Motor Carrier Safety Regulations; General

Sections Interpreted: Section 390.31, Copies of records or documents

    Rescind existing Questions 1 and 2 (62 FR 16370), retain existing
Questions 3 and 4 (http://www.fmcsa.dot.gov/rules-regulations/administration/fmcsr/fmcsrruletext.aspx?reg=390.31&guidance=Y), and add
new Questions 1 and 2 and 5 through 13 as follows:
    Question 1: May motor carriers use electronic methods to store
records or documents to satisfy a document retention requirement in
Chapter III of Subtitle B of Title 49, Code of Federal Regulations (49
CFR parts 300-399)?
    Guidance: Yes. Anyone may, but is not required to, use electronic
methods to create and store records or documents to satisfy document
retention requirements in Chapter III of Subtitle B of Title 49, Code
of Federal Regulations (49 parts CFR 300-399). This guidance applies
only to documents required to be generated and maintained or exchanged
by private parties, regardless of whether FMCSA subsequently requires
them to be produced or displayed to FMCSA staff or other parties
entitled to access. This guidance does not apply to documents filed
directly with FMCSA. The Agency, however, has already established
electronic filing methods for certain documents. Interested parties can
find out about available filing methods by consulting specific program
information on FMCSA's Web site (http://www.fmcsa.dot.gov).
    Question 2: How much time does a motor carrier have to produce
records if the motor carrier maintains all records in an electronic
format?

    Guidance: A motor carrier must produce records within the time
frame FMCSA's regulations require, regardless of whether the motor
carrier maintains its records in an electronic or paper format. For
example, if Agency rules require that a document be produced upon
demand, you must be able to provide the Agency with an accurate copy of
your electronic record upon demand. Similarly, if you are a motor
carrier with multiple offices and are allowed 48 hours to produce a
document in accordance with 49 CFR 390.29, you must be able to provide
the Agency with an accurate copy of your electronic record within 48
hours.
    Question 3: Using record scanning technology, these requirements
can be fulfilled. Is my understanding of Sec.  390.31(c) correct that
once qualifying documents have been suitably scanned, original paper
documents may be destroyed?
    Guidance: Yes, scanned records, which include a verifiable
signature, would fulfill the requirements of Sec.  390.31 and the
original paper documents may be destroyed as stated in Sec.  390.31(c).
    Question 4: If my understanding of Sec.  390.31 and its associated
interpretations is correct, will this negate the necessity to maintain
the original road test document as required by Sec.  391.31(g)(1)?
    Guidance: Yes, as long as the road test document has been properly
scanned.
    Question 5: What is an electronic signature?
    Guidance: An electronic signature is a method of signing an
electronic communication that: (1) Identifies and authenticates a
particular person as the source of the electronic communication; and
(2) indicates such person's approval of the information contained in
the electronic communication. An electronic signature may be made using
any available technology that otherwise satisfies FMCSA's requirements.
    Question 6: What is an electronic ``captured image'' signature and
does it qualify as an electronic signature?
    Guidance: An electronic ``captured image'' signature is a scripted
name or legal mark that, while conventionally created on paper, may
also be created using electronic devices. For example, many
supermarkets and package delivery services use electronic captured
image technology when they permit customers to sign their names in
script using a stylus on an electronic pad. This qualifies as an
electronic signature, so long as the signature and its related document
are electronically bound and can be reproduced together.
    Question 7: May anyone use electronic signatures to satisfy a
requirement in Chapter III of Subtitle B of Title 49, Code of Federal
Regulations (49 CFR parts 300-399) that a party sign or certify a
document?
    Guidance: Yes. Anyone may, but is not required to, use electronic
signatures to satisfy the requirements of Chapter III of Subtitle B of
Title 49, Code of Federal Regulations (49 CFR parts 300-399) that he or
she sign or certify a document. This guidance applies only to documents
requiring signatures that are generated and maintained or exchanged by
private parties, regardless of whether the Agency subsequently requires
them to be produced or displayed to FMCSA staff or other parties
entitled to access. This guidance does not apply to documents filed
directly with the Agency. The Agency, however, has already established
electronic filing methods for certain documents. Interested parties can
find out about available filing methods by consulting specific program
information on FMCSA's Web site (http://www.fmcsa.dot.gov).
    Question 8: Are motor carriers and other interested parties
required to use electronic methods?
    Guidance: No. Interested entities may choose whether or not to use
electronic methods or traditional paper methods. Where there are two
parties to a transaction, both parties must agree to conduct business
using electronic methods.
    Question 9: Will a document generated using any available
electronic method satisfy the requirements of Chapter III of Subtitle B
of Title 49, Code of Federal Regulations?
    Guidance: No. An electronic document must fulfill the same function
as a paper document. Documents generated using electronic methods may
be used only if they accurately reflect the information in the record
and remain accessible in a form that can be accurately reproduced for
later reference. Documents generated using electronic methods will not
be considered the legal equivalent of traditional paper documents if
they are not capable of being retained and accurately reproduced for
reference by any party entitled to access.
    For example, if FMCSA rules require that a document be produced
upon demand, you must be able to provide the Agency with an accurate
copy of your electronic record upon demand. Similarly, if you are a
motor carrier with multiple offices and are allowed 48 hours to produce
a document in accordance with 49 CFR 390.29, you must be able to
provide the Agency with an accurate copy of your electronic record
within 48 hours. It would not be sufficient to display the information
on your computer terminal in your place of business. You must produce a
copy that the Agency can refer to at a later date. Similarly, it would
not be sufficient to provide a document with incomplete information or
without a signature (whether electronic or handwritten), if required.
Your electronic storage system must be capable of transferring a
complete, accurate copy of the document to the Agency. Unless the agent
requesting the information specifies otherwise, you should be prepared
to produce paper copies of the electronically-stored records or
documents within the applicable time frame. This means that if you are
required to produce documents on demand, those documents may be stored
electronically, so long as you can produce them in accordance with the
Agency's substantive requirements (e.g., immediately and without risk
of losing or altering data). For an electronic document to be the legal
equivalent of a paper document, it must be the functional equivalent
with respect to integrity, accuracy and accessibility.
    Question 10: If FMCSA or another agency entitled to access
documents requests that I produce a copy of a document or signature,
may I produce an electronic copy?
    Guidance: Yes, however, you must be able to reproduce or transmit
the document so the Agency can refer to it at a later date. The
acceptable method of transmission may vary, depending on compatibility
with the information systems and how the Agency or other entity
entitled to access plans to use the document. Under some circumstances,
electronic transfer may be acceptable. In other cases, you may be
required to print paper copies of the electronically-stored records or
documents. You should be prepared to produce paper copies within the
time frame specified in the applicable regulations, unless the
particular investigator specifically advises you that he or she is
capable of accepting electronically transferred copies.
    Question 11: May I use electronic methods to generate, sign,
maintain and/or exchange any record the FMCSA regulations require
without requesting an exemption or obtaining prior permission?
    Guidance: You may use electronic methods to generate, sign,
maintain and/or exchange any document that is generated and maintained
or exchanged by private parties, regardless of whether FMCSA
subsequently requires them to

be produced or displayed to Agency staff or other parties entitled to
access. You do not need to request an exemption or obtain prior
permission so long as the electronic record meets all of the
regulation's substantive requirements and remains accessible in a form
that can be accurately reproduced for later reference. (This does not
apply to documents filed directly with the Agency. See Question No. 6.)
Examples of documents generated, maintained or exchanged by private
parties include, but are not limited to: Employment applications,
driver histories and other qualification records, leases formed under
49 CFR part 376, driver-vehicle inspection reports, and records of duty
status. These are only examples of documents about which FMCSA received
specific questions and is not an exhaustive list of the types of
documents that can be generated, signed, maintained or exchanged
electronically.
    Question 12: May I convert a paper document to an electronic
document by typing the substantive information on the paper document
into an electronic format such as a database?
    Guidance: By typing the substantive information from a paper
document into an electronic format such as a database, you are creating
a new electronic record, not creating an electronic copy of the
original. While you may generate and maintain such documents for your
own use, they do not take the place of the original documents. To
preserve an accurate copy of the original paper document, you must use
scanning or other ``image capture'' technology. See Questions 3 and 4
for additional guidance.
    Question 13: Is an electronic signature valid if a person only has
access to an excerpt or summary at the time he or she signs a document?
    Guidance: No. If you only provide an excerpt or summary at the time
someone signs a document you may not subsequently attach his or her
electronic signature to the complete document.

    Issued on: December 29, 2010.
Anne S. Ferro,
Administratior.
[FR Doc. 2010-33238 Filed 1-3-11; 8:45 am]
BILLING CODE 4910-EX-P