National Archives Reference Information Paper 91 -- Railroad-related Records

Part III(D)

Federal Regulation and Oversight of Railroads (Section D)

Record Group 219 Records of the Office of Defense Transportation

Record Group 234 Records of the Reconstruction Finance Corporation

III.145 Established by an act of January 22, 1932, the Reconstruction Finance Corporation (RFC) was authorized to extend financial aid to agriculture, commerce, and industry by means of direct loans to banks and other credit agencies and, upon approval by the ICC, to railroads or their receivers. In addition, later legislation authorized the RFC, among other functions, to purchase capital stocks of banks, insurance companies, and other credit organizations, and certain Government agencies and to make loans to business enterprises and public school authorities. The RFC was organized as a Government corporation designed to engage in business and commerce. It was permitted a degree of independence generally denied old-line agencies. The bulk of the corporation's records relating to railroads is in the records of the Railroad Division and involves applications for RFC loans by individual railroad companies, primarily during the 1930s. These records contain much useful financial information concerning railroad companies during this period. The records are described in detail in the Preliminary Inventory of the Records of the Reconstruction Finance Corporation, 1932-64, PI 173.

III.146 The Railroad Division was responsible for processing loan applications received from railroads and for making recommendations to RFC's board of directors regarding future action. The Division's records comprise several series containing voluminous information about individual railroads for the period from 1932 to 1957:

1. general records, 1932-53 (18 ft.)(MLR Entry 90, PI 173), arranged alphabetically by subject or name of correspondent and thereunder chronologically. The series consists of Railroad Division correspondence with members of Congress, railroad and financial companies, and the general public. The correspondence relates to the economic distress of the railroads and plans for alleviating it, conditions for granting railroad loans, and loans made to railroads for equipment repair as provided by the Emergency Relief Construction Act of 1932. The records contain correspondence of the RFC Chairman of the Board, Jesse Jones, relating to many subjects including proposals to amend the Transportation Act of 1920, the effect of RFC loans upon the salaries of railroad officials, recommendations for the solutions of the problems of the railroads, proposed amendments to the various acts of legislation facilitating reorganization of railroads undergoing receivership, statistical data concerning collateral pledge by railroads to secure RFC loans and the valuation of such collateral, and related records.

2. records of division officials. 1932-53 (13 ft.)(MLR Entry 91, PI 173), arranged alphabetically by subject and thereunder chronologically. The records include statistical compilations by the ICC of data concerning railroad reorganizations for 1894 to 1933; Government and private studies of railroad coordination and consolidation, costs of construction, age, condition, and repair costs of railroad equipment, and steam railways in the hands of receivers and trustees; and correspondence with the ICC relating to loans granted to railroads and purchases of railroad securities by the RFC and repayments by the railroads, and records concerning indebtedness and interest on loans made to railroads; and correspondence relating to the finances, earnings, management, and operations of the American Railroad Company of Puerto Rico.

3. records relating to paid, canceled, and withdrawn railroad loans, 1932-57 (313 ft.)(MLR Entry 92, PI 173), arranged alphabetically by name of railroad, thereunder by subject, and thereunder chronologically. The records include applications for loans submitted by railroads; supporting papers consisting chiefly of legal and financial documents; examiner's reports recommending approval or disapproval of the application; correspondence relating to loan transactions and evaluations of the railroads and their officers; closing papers of the loans; financial statements of the railroads; RFC/ICC correspondence pertaining to loans and condition of railroads; RFC plans for reorganization of railroads and abandonment of uneconomic trackage; reports on the disposition of proceeds from the sale of railroad securities; timetables, maps, charts, and railroad publications; and related records. For example, the loan files for the Southern Railway contain several applications for loans and extensions of loans during the 1930s and 1940s; the purchase and execution of equipment trust certificates; loan closing papers, leasing agreements; and mortgage documents. These files contain various RFC and ICC reports and memoranda that include ICC finance dockets. The ICC finance dockets contain information concerning RFC loans for the purpose of purchasing new equipment for the railroad, reorganization plans, the sale of stocks and bonds, track abandonment proceedings, and acquisition of railroad property or companies. Also included are legal supporting documentation such as the Southern Railway by-laws, reports of ICC railroad accident investigations, the charter of the Virginia & Southwestern Railway, a monthly publication entitled Rails: A Financial Survey of the Southern Railway System, and various Southern Railway publications including circulars, annual reports, timetables, and financial statements. Information on Southern Railway salaries and benefits, especially of upper level management, can also be found in the files.

4. general records of the legal staff, 1932-50 (5 ft.)(MLR Entry 93, PI 173), arranged by subject and type of record and thereunder chronologically. Included are interoffice memorandums of the legal staff providing analyses of legislative problems; correspondence with members of Congress, other Government agencies and private law firms relating to proposed legislation affecting railroads; draft legislation, digests of hearings held before Congressional committees, and proposed amendments to the RFC act relating to railroad loans; digest of cases before state and Federal courts involving the RFC directly; and corporate histories of railroads compiled by the ICC and other sources.

5. office file of W. Meade Fletcher, Chief Railroad Counsel, RFC, and Assistant Chief Counsel, Office of Defense Lending, Treasury Department, 1933-57 (4 ft.)(MLR Entry 94, PI 173), arranged by subject and thereunder chronologically. The files consist of memorandums prepared by Fletcher relating to reorganization plans proposed for various railroads fom 1937 to 1952; memorandums, notes, digests of court rulings, and records of court proceedings in railroad reorganization cases; ICC regulations pertaining to railroad securities and reorganizations; and memorandums regarding proposed legislation to amend the Interstate Commerce Act and the RFC Act with respect to railroad loans.

6. legal case files relating to railroad loans, 1932-57 (185 ft.)(MLR Entry 95, PI 173), arranged alphabetically by name of railroad, thereunder by subject, and thereunder chronologically and by type of material. The series consists of interoffice memorandums and reports of the Railroad Legal Division containing recommendations based upon a legal review of applications from railroads for loans; correspondence relating to railroad loans; petitions entered in court by bankrupt railroads and court rulings on the petitions; briefs and studies of plans for reorganizing railroads defaulting on their loans; memorandums analyzing the merits of various claimants to the distribution of the bankrupt railroads' assets; reports summarizing court decisions on railroad reorganizations; and railroad company financial statements.

7. case files and briefs relating to reorganization proceedings, 1932-56 (80 ft.)(MLR Entry 96, PI 173), arranged alphabetically by name of railroad in two separate sequences, case files and briefs, and thereunder chronologically. Included in the records are copies of proceedings for the reorganization of railroads under section 77 of the Bankruptcy Act held before the district courts of the United States. These records of proceedings include the bankruptcy petitions, plans for reorganization submitted by the carrier, order of the court on the petition granting or denying the petition, court orders appointing the trustee to take over the bankrupt railroads' property, and intervening petitions, orders, and briefs,

8. PWA case files, 1933-35 (8 ft.)(MLR Entry 97, PI 173), arranged alphabetically by name of railroad and thereunder chronologically and by type of material. Included are case files of the Federal Emergency Administration of Public Works consisting of correspondence with railroad companies relating to loans; interoffice memorandums; requisitions; abstracts of ICC finance dockets, copies of orders by the ICC to the railroads; agreements and contracts entered into by the carriers for leasing, purchasing, and constructing railway equipment; and copies of equipment trust certificates and notes issued by the railroads to insure payments of funds borrowed from the PWA for the acquisition and repair of equipment and the construction of trackage. These files were transferred to the RFC when it acquired the function of administering and liquidating PWA loans to the railroads.

9. records relating to the value of loan collateral, 1940-51 (15 ft.)(MLR Entry 98, PI 173), arranged alphabetically by name of railroad and thereunder chronologically. The series consists of compilations made by the Office of Loans of the Railroad Division concerning loans authorized by the RFC to the railroads; information about notes given by the RFC to the borrowers showing date of issuance and maturity, amount of note and collateral; and summaries of railroad loans showing the date of application, amount of loan, ICC and RFC action on the application, and related information concerning the loans.

10. records of the RFC Accounts and Planning Division relating to railroad loans, 1932-55 (4 ft.)(MLR Entry 99, PI 173), arranged alphabetically by name of railroad and thereunder alphabetically. The records include correspondence with Federal Reserve banks as fiscal agents of the RFC, the RFC's regional loan agencies, the borrowing railroads, and their legal representatives relating to methods prescribed for crediting repayments of loans to the accounts of the carriers. In addition, there is correspondence relating to collateral, interest rates charged the carriers, purchases of railroad securities by the RFC and their payable dividends and copies of resolutions of the RFC Board of Directors concerning railroad loans.

11. records relating to nonborrowing railroads, 1932-53 (7 ft.)(MLR Entry 100, PI 173), arranged alphabetically by name of railroad and thereunder chronologically and by type of record. The records include correspondence between the RFC and the railroads relating to requests for reports about their operations; data concerning salaries of railroad officials and wage adjustments granted their employees by labor-management dispute arbitrators; copies of ICC reports, orders, and finance dockets concerning proposals for track abandonments; railroad annual reports; reports of financial condition of railroads prepared by private firms; statistical data on railroad financial status; blueprints of rail and motor lines operated by railroads; and charts and maps giving corporate information on railroad companies.

12. monthly financial reports of selected railroads, 1938-54 (4 ft.)(MLR Entry 101, PI 173), arranged chronologically and thereunder alphabetically by name of carrier. The series contains copies of monthly reports of selected income and balance sheet items and of revenues and expenses required by the ICC's Bureau of Transport Economics and Statistics. The reports cover such items as net railway operating income, rent for leased roads and equipment, depreciation, Federal income taxes, expenditures for improvements; audited accounts and wages payable, operating revenues and expenses, and ratio of expenses to revenues.

III.147 The records of the Railroad Division contain cartographic records including railroad location and corporate ownership maps for about 125 railroads, with corporate structure and track diagrams for 1938 through 1939. These maps show engineering details such as bridges, tunnels, water tanks, signals, railroad crossings, and stations and track profiles. There are also maps relating to the proposed "Prince Plan" of railroad consolidation; maps resulting from studies of other railroad consolidations, such as the Chicago, Milwaukee, St. Paul, and Pacific Railroad and the Chicago and Northwestern Railroad; and graphs relating to economic studies, volumes of car loadings, hauling capacities and tank car designs (1,864 items). Also included are railroad location and corporate ownership maps, arranged by name of railroad from 1930 to 1943 (1,800 items) and maps of U.S. cities, showing railroads and industrial areas from 1929 to 1941 (24 items).

Record Group 253 Records of the Petroleum Administration for War

III.148 Established as an independent agency by E.O. 9276, December 2, 1942, the Petroleum Administration for War (PAW) exercised oversight responsibility for the activities of the wartime petroleum industry, including conservation, research and development, resource allocation, and shipment. The Administration's records include various documentation concerning the supply, allocation, and transportation of petroleum products by railway tank cars. The records are described in the Preliminary Inventory of the Records of the Petroleum Administration for War, PI 31.

III.149 The Supply and Transportation Division of PAW was established to ensure that crude oil and refinery products were obtained and transported to meet the requirements of refineries, distribution terminals, and delivery points. Among other functions, the division ensured the most efficient use of railroad tank cars and recommended plans for their use to the ODT and the War Shipping Administration. The Division's Rail Transportation Section created the following series of archival records:

1. general correspondence, 1942-45 (4 ft.)(MLR Entry 708, PI 31), arranged by classification number, 100-1-D-2300-14;

2. reports of "Navy Program" shipments of petroleum products by tank car, 1944-45 (0.1 ft.)(MLR Entry 709, PI 31), unarranged;

3. statements of aviation gasoline shipments, December 1944-August 1945 (0.1 ft.)(MLR Entry 710, PI 31), arranged by type of report and thereunder chronologically. Included are statements of shipments to the Gulf Coast and inland, East Coast and inland, and West Coast pools; and monthly reports on "Navy Programs" shipments.

4. records relating to shipments of kerosene in drums to New England, 1943-44 (0.8 ft.)(MLR Entry 711, PI 31), arranged in part by subject, in part alphabetically by name of company;

5. weekly reports of tank car shipments into District 1, January 1942-September 1945 (2 ft.)(MLR Entry 712, PI 31), arranged chronologically. The series includes supplemental reports of boxcar shipments of kerosene in drums into District 1.

6. weekly reports on movements of petroleum products into District 1 by all types of transportation, 1942-45 (1 ft.)(MLR Entry 713, PI 31), arranged chronologically;

7. records concerning pressure-type tank cars for the transportation of liquefied petroleum gases, 1941-45 (1 ft.)(MLR Entry 714, PI 31), arranged by subject and thereunder chronologically. Included are survey reports on "Estimated Tank Car Loads of All Kinds of Liquefied Petroleum Gases to be Shipped," 1943; "Survey of Tank Car Shipments, April 1941-March 1942, Inclusive;" and "Estimate of Future Requirements-Liquefied Petroleum Gases."

8. correspondence with petroleum companies concerning supply; and allocation of pressure-type tank cars and shipments of blending agents, 1942-45 (1 ft.)(MLR Entry 715, PI 31), arranged by name of company and thereunder chronologically;

9. reports prepared by the PAW Research Division on tank-car shipments of crude oil and products, 1943-45 (0.2 ft.)(MLR Entry 717, PI 31), arranged by report number; and

10. records pertaining to supply and transportation of petroleum products by rail, 1942-45 (2 ft.)(MLR Entry 720, PI 31), arranged under headings "District Offices," "Military Movements," and "Supply" and thereunder by subject. Included are correspondence, shipping schedules, and maps.

Record Group 398 General Records of the Department of Transportation

III.150 The DOT was established by the Department of Transportation Act, October 15, 1966, consolidating highway, rail, air, and marine transportation functions previously vested in the Departments of Commerce, the Treasury, and the Interior; ICC, Civil Aeronautics Board; Federal Aviation Agency; and Saint Lawrence Seaway Development Corporation. The department establishes national transportation policies and enforces safety regulations affecting highway, railroads, urban mass transit systems, and aviation. DOT rail transportation functions were transferred from the Office of High-Speed Ground Transportation, Department of Commerce; the Alaska Railroad, Department of the Interior; and the Bureau of Safety and Service, ICC. Most of these functions were transferred to the FRA. DOT records relating to railroads include documentation concerning urban mass transportation, high-speed ground transportation including the Northeast Corridor Transportation Project, railroad legislation, railroad reorganizations and mergers, Amtrak and rail passenger issues, railroad research and development, and rail safety during the 1960s and 1970s.

Records of the Office of the Secretary

III.151 The Secretary of Transportation is the principal adviser to the President on national transportation affairs and is the principal representative of the President's administration in relations with Congress, other elements of Government, the transportation community and the public, with respect to transportation needs, policies, programs, resources, and actions. The Secretary's general correspondence, 1967-72 (132 ft.)(MLR Entry 3, A1), arranged by year and thereunder alphabetically by subject and by the department's decimal classification scheme, contains correspondence, memorandums, reports and other official documents to and from the Secretary and Under Secretary to the White House, Congress, other Federal agencies, state and local governments, and other employees of the Department. The documents report on or explain the activities, policies, plans, and legislative programs of the Department. There is a folder list for this series available in the finding aids. Records relating to railroads are scattered throughout this series:

1. Records dating 1967 include several folders concerning railroad transportation (box 9), mass urban transportation (boxes 11-12), and urban mass transportation (box 15). There are additional records in decimals 1273-3, railroad strikes (boxes 26-27); 2050-4, railroad legislation and transportation programs (box 31); 6080, railroad programs, Alaska Railroad, Washington & Old Dominion Railroad abandonment proceedings, and passenger service and facilities (boxes 51-52); 6082, high dpeed ground transportation; 6083, railroad mergers, New Haven RR; and 6100, rail-highway grade crossings (box 53), Metroliner High-Speed Ground Transportation demonstration (box 68), and rail passenger transportation, railroad strikes, and Railroad Emergency Board (box 69).

2. Records for 1969 include decimals 1241-3, Pan American Railway Congress Association (box 146);1271-11, Railway Progress Institute; 1271-16, Golden Spike Centennial Commission (box 147); 1273-3, railroad strikes (boxes 148-149); 2050-4, railroad transportation programs (boxes 157-158); 6080, railroad programs; 6080-1, Alaska Railroad; 6080-4, passenger service and facilities; 6082, high- speed ground transportation; and 6083, railroad organizations and mergers (boxes 191-194).

3. Records for 1972 include National Railroad Passenger Corporation, New Haven Railroad, Penn Central Merger, and Railpax (boxes 245-248); Penn Central reorganization (boxes 256-257); AMTRAK/Railpax (boxes 285-286); Federal Railroad Administration matters (boxes 296-297); and Penn Central merger and financing (box 310).

III.152 The series microfilmed correspondence, 1973-78 (8 ft)(MLR Entry 4, A1), arranged by subject and thereunder chronologically, primarily contains correspondence between the Secretary and the White House, Congress, other agencies, state and local governments, and other Department employees. The series consists of two sets of microfilm, 373 rolls each. Some rolls contain both positive and negative images. This series is indexed by the formatted data from the automated "Index to Memoranda and Correspondence of the Executive Secretariat", 1973-78 (4 ft.)(MLR Entry 5, A1).

III.153 Secretary's subject file, 1971-75 (4 ft.)(MLR Entry 17, A1), arranged by subject, contains material not included in the DOT general correspondence files. It includes a file concerning the Northeast Rail Plan, 1975, which was prepared by the U.S. Railway Association (box 1) and a file on the subject of the Freight Grain Car Shortage (box 2).

III.154 National Transportation Policy (NTP) Core Group administrative and general subject files, 1989-90 (13 ft.)(MLR Entry 25, A1), are arranged by subject. This series contains original incoming correspondence and responses and memos to NTP cluster groups discussing NTP policies and program activities. There is a folder containing incoming correspondence and reports from various railroad industry organizations including the Association of American Railroads (box 1).

III.155 National Transportation Policy (NTP) cluster records, 1989-90 (23 ft.)(MLR Entry 26, A1), are arranged by cluster and thereunder by subject. The majority of the series is correspondence documenting responses to the Federal Register Notice, July 8, 1989, which requested comments on the development of the NTP. Verbatim transcripts of public hearings and seminars, cluster policy statements and guidance, and drafts of cluster reports are also included in this series. Two of the six clusters--Intercity Freight and Intercity Passenger--deal with railroads.

Records of the Office of the Executive Secretariat

III.156 The series reports of weekly highlights, 1967-77 (12 ft.)(MLR Entry 6, A1), is arranged chronologically by week and thereunder by reporting office. This series contains memorandums highlighting the major activities and problems of the previous week, and proposed activities for the coming week, for each of the Assistant Secretaries, the General Counsel, and all department administrators. These reports contain news items and information concerning the activities of railroads.

III.157 R & D technical report files, 1973-83 (42 ft.)(MLR Entry 11, A1), arranged by DOT contract number, include published technical reports relating to railroads such as "Railroad Rationalization Methodology Studies in Railroad Operations and Economics," "Model for Investigation Train Connection Reliability at Rail Classification Yards: Study in Railroad Operations Economics," and "Guideway Suspension Tradeoffs in Rail Vehicle Systems" (box 6).

III.158 Records relating to advisory and interagency committees, 1974-81 (17 ft.)(MLR Entry 16, A1), arranged by year and thereunder alphabetically by name of committee, relate to the establishment, organization, membership, and policy of interagency and advisory committees. Included is a file on the Alaska Commission for Northern Operations of Rail Transportation and Highways (box 4).

Other Records

III.159 The Records of the Office of the Under Secretary for Transportation include general correspondence, 1961-67 (20 ft.)(MLR Entry 1, A1), arranged alphabetically by subject, and thereunder chronologically. These are the records of Under Secretary Alan S. Boyd. This series includes documentation concerning the activities, plans, policies, and developments of the office on a variety of transportation-related subjects. The records include a folder "Railroads-General" (box 39) which includes a report on rail passenger transportation and correspondence concerning railroad labor issues. The subjects of other folders include documentation concerning transportation--railroad freight car supply problems and high-speed ground transportation (box 40); Northeast Corridor correspondence, progress reports, and legislation (boxes 40-42); New England transportation and report on railroads and a Department of Commerce report on railroad mergers, 1964 (box 42); transportation mergers-railroads, such as the Great Northern-Northern Pacific, and Pennsylvania-New York Central mergers (box 43); and the New Haven Railroad and efforts to save passenger service (box 44).

III.160 The records of the Office of Transportation Policy Development, Department of Commerce contain general correspondence, 1958-67 (4 ft.)(MLR Entry 2, A1), arranged by subject and thereunder chronologically. This series contains the records of M. Cecil Mackey, Jr., Director. Topics included in the series relate to the organization, consolidation, staffing, legal transference of authorities, and other issues of the new agency. Several folders concerning the 1964 Transportation Task Force include a report on railroad abandonments and decline in railroad passenger traffic (box 1).

III.161 General correspondence, 1967-74 (MLR Entry 7, A1), in the records of the Office of the

Assistant General Counsel for Legislation, is arranged by session of Congress and thereunder by subject. This series consists of communications sent to and from the Department and the White House, Congress, other agencies, members of the public and private sectors, and department employees. These documents were accumulated in preparing, reviewing, and preparing legal advice on legislation proposed by or in the interest of DOT. These letters and reports explain the Department's legislative program and the benefits that the proposed legislation will bring to the nation. Analysis of the proposed legislation and difference between the House of Representatives and Senate versions are often included. Records relating to railroads in this series include material on the Federal Railroad Safety Act of 1968 and rail safety hearings (box 5); the Rail Passenger Bill which includes documentation on the creation of AMTRAK (box 7); the Emergency Transportation Facilities Restoration Act (box 13); high-speed ground transportation (box 16); the sale of the Alaska Railroad (box 17), AMTRAK amendments (boxes 21-22); the Northeast Rail and the Regional Rail Reorganization Act of 1973 (boxes 29-30); and the Federal Railroad Safety Amendments (box 32).

III.162 The DOT general legislative program files, 1967-84 (63 ft.) (MLR Entry 23, A1), from the Office of the Assistant General Counsel for Legislation, are arranged by session of Congress and thereunder by subject. They include DOT correspondence, Congressional committee documents, working papers, and other records relating to varied rail legislation such as Northeast Corridor and high speed ground transportation, bankruptcy filings, Federal Rail Safety Act, AMTRAK, Rock Island reorganization (79-0038), rail regulatory reform (Staggers Rail Act of 1980), and Conrail sale amendments.

III.163 General files of the Assistant Secretary for Policy and International Affairs, 1966-74 (46 ft.)(MLR Entry 20, A1), among the records of the Assistant Secretary's Office, are arranged by year and thereunder by subject and the Department's decimal classification scheme. The Office of the Assistant Secretary for Policy and International Affairs is the principal staff adviser to the Secretary of DOT for analysis, development, articulation, and review of policies and plans for domestic and international transportation. These files include correspondence, agreements, and other documents reflecting the planning, direction, coordination, and evaluation of DOT plans for domestic and international transportation. The central files series includes records relating to railroads such as the ICC boxcar shortage; railroad mergers, such as Penn Central, Rock Island, Seaboard Airline, N&W and C&O; railroad passenger transportation; western railroad situation; tax matters; Railroad Loss Carryover legislation; railway labor matters, freight rates, rail shipments, containerization, Washington & Old Dominion Railroad right-of-way and proposed highway construction; New Haven Railroad, Tennessee Central and Central of New Jersey reorganizations; and Association of American Railroads (1966, boxes 9-11; 1967, boxes 18-19; 1968, box 28, and 1969, box 40).

Nontextual Records

III.164 Electronic records of the Department of Transportation include the Northeast Corridor Intercity Travel Survey, 1969-1970 (NECITS). This series consists of origin and destination survey data collected based on the mode of transportation. A total of five electronic records files are in the NECITS series, and they include survey data collected from highway, air, bus, and rail passengers in the Northeast Corridor (i.e. Washington, DC, to Boston, Massachusetts). The data were collected as part of the Northeast Corridor Transportation Project (NECTP), conducted under the auspices of the Office of System Analysis and Information, Office of the Assistant Secretary for Policy and International Affairs, U.S. Department of Transportation. The NECTP consisted of the following three major divisions:

1. engineering research and development of new transportation technology including improved high- speed rail;

2. demonstration projects on railroads, in particular experimental runs on the Metroliner; and

3. a planning study, of which the Northeast Corridor Intercity Travel Survey (NECITS) was to be a part, which involved the collection of various origin and destination data on highway, air, bus, and rail transportation, and the creation of a forecast model. The NECITS data was intended as input to a mathematical model developed to forecast future intercity transportation needs and to test alternative investment policies in the Northeast Corridor. However, due to cost overruns, the NECITS data was received too late to contribute significantly to the final report of the NECTP.

III.165 The NECITS Rail Survey File and Rail Survey File with Revised Expansion Factors, October 12, 1969-April 18, 1970, contains data collected from passengers on randomly selected Penn Central and Reading Railroad train trips between cities in the Northeast Corridor. The files contain data relating to each passenger and train trip surveyed and includes: train identifier; date of interview; departure and arrival terminals; origin, destination, and residence of passenger by ZIP code and other geographic coding; modes, costs, and times of getting to and from the terminals; nights away; trip frequency; size of party; purpose of the trip; whether the trip was a business expense; the type of ticket and fare; family income; age; sex; desired change in schedule; and (for Penn Central respondents only) attitudes toward train service. The NECITS Rail Survey File has 7,151 records and the NECITS Rail Survey File with Revised Expansion Factors has 20,774 records.

Record Group 399 Records of the Federal Railroad Administration

III.166 The Federal Railroad Administration (FRA) was established in the DOT by the Department of Transportation Act (80 Stat 931), October 15, 1966. The FRA became operational on April 1, 1967. The purpose of the Administration is to promulgate and enforce railroad safety regulations, administer railroad financial assistance programs, conduct research and development in support of improved railroad safety and national rail transportation policy, provide for the rehabilitation of the Northeast Corridor rail passenger service, operate the Alaska Railroad, and consolidate government support of rail transportation activities. The records include the administrative records of the U.S. Railway Administration; various series of records relating to railroad accident investigations from 1947 to 1984, records relating to railroad legislation; and railroad research and development records including the records of the Transportation Test Center.

General Records

III.167 Background material for U.S. Railway Association Board of Directors meetings, 1975-84 (34 ft.)(MLR Entry 11, A1), actually covers the period 1974 to 1984 and is arranged by date of meeting (boxes 1-11) or by subject of reports or correspondence (boxes 12-34). This series is not in order either chronologically by date of meeting or alphabetically by subject. These records are official copies of the agenda and backup materials provided to the FRA secretary as a member of the U.S. Railway Association (USRA) board of directors. The records are project-type files, closed in 1984, on items dealt with by the USRA board of directors covering such subjects as USRA actions and administrative decisions; USRA studies and waivers; Finance Committee matters and financing agreements; analysis of alternatives, valuation cases; comments on legislation; Conrail studies and reports; and other agenda-related correspondence. More specifically, the records consist of preliminary agendas, agendas, meeting resolutions, monthly statements of critical issues, statements of USRA policy, USRA organization data including charts and resumes, USRA financial summaries, and other background materials arranged in tabs by agenda item number. Examples of the other background materials include Conrail and Delaware & Hudson Railroad business plans, recommendations for funding, reports concerning Conrail and the improvement of freight car use, a Conrail freight car field survey, and status reports of monitoring by the USRA.

III.168 The annual reports pursuant to the Emergency Rail Service Act of 1970 and the Emergency Rail Facilities Restoration Act of 1973, 1971-77 (1 ft.)(MLR Entry 5, A1), are unarranged. The records include printed annual reports prepared by the Department of Transportation and related correspondence, usually covering memorandums. Other reports include "Annual Report to the President and Congress on the Financial Condition of Those Railroads having Outstanding Certificates Guaranteed Under the Emergency Rail Service Act of 1970 . . ." dated 1973. There are additional reports concerning the financial condition of Penn Central Transportation Company, dated 1972 and 1975, and Central Railroad of New Jersey, dated 1972.

Records of the Office of Safety

III.169 The Office of Safety administers and enforces regulations resulting from railroad safety legislation for locomotives, track, signals, safety appliances, power brakes, hours of service, the transportation of hazardous materials, and operating practices. Records relating to the preparation and revision of rules, 1910-55 (8 ft.)(MLR Entry 1, UD), are arranged by subject and divided into two sections--steam and other than steam. The records include ex parte dockets of hearings in the matter of rules and instructions for inspection and testing of steam locomotives and tenders, reports of meetings of inspectors of locomotive boilers, and memorandums of proceedings of conferences in the office of the Chief Inspector of Locomotive Boilers relating to interpretation and changes in rules for inspections and testing of locomotive boilers. Similar records exist for other types of locomotives, such as diesel locomotives.

III.170 The records of the ICC Bureau of Safety and Service were transferred to the FRA in 1967 with safety activities assumed by the Office of Safety. Among these safety activities were railroad accident investigations. There are several series of records relating to railroad accident investigations dating from 1954 to 1984. Included are two series of published accident report summaries, prepared by the ICC, covering the period 1947 to 1964. Also included are two series of railroad accident investigation case files, dating from 1969 to 1984. The following series are included:

III.171 Reports of investigations of railroad accidents, February 1958- September 1964 (4 ft.)(MLR Entry 2, UD), are arranged chronologically by accident report number. One example of these records is Railroad Accident Investigation Report # 3870, which details the derailment of a Baltimore and Ohio passenger train near West End, West Virginia, on December 27, 1959. This accident resulted in the injury of six passengers, one train-service employee, and one attendant. The accident was caused by a combination of wide gauge and excessively worn rail conditions in a curve, resulting in the breaking of a rail. The report recommended that the carrier review their policies as to permissible limits of rail wear and immediately remove from main track service all rails that are excessively worn.

III.172 Published accident reports, 1947-60 (1 ft.)(MLR Entry 7, A1), are arranged chronologically by accident report number. The accident investigation reports in this and the previous series are multipage published summaries, prepared by the ICC. The accident investigation reports are typed summaries that average 10 pages and include photographs and track diagrams. The reports are in two parts: summary of accident and ICC report. The report of the Commission includes the description of the accident, description of the locomotive, examination of the locomotive, inspection reports, discussion, and cause of the accident.

III.173 Railroad accident investigation jackets, 1969-71 (5 ft.)(MLR Entry 8, A1), are arranged by National Transportation Safety Board (NTSB), Bureau of Transportation Safety, case file number. The records are case files compiled by the NTSB. The case files also have an FRA Bureau of Railroad Safety, accident investigation number designation, i.e. a-6-70. This is the number also affixed on the factual railroad accident reports prepared by the FRA that are included in the case files. This filing scheme is explained in the description of accident investigation report files, 1969-84. Included in the railroad accident investigation jackets are correspondence, memoranda, reports, testimony, exhibits, photographs, diagrams, railroad timetables, and related materials. The contents of these files are similar to the accident investigation report files, 1969-84.

III.174 Accident investigation report files, 1969-84 (106 ft.)(MLR Entry 9, A1), are arranged chronologically using an alphanumeric scheme devised by the FRA, i.e. a-1-72. The "A" file designation refers to files of major train accident investigations that involve a separate published accident report. The "B" designation involves accident investigations that are one step below the "A" files in importance, and they do not involve a published report. The "C" file designation includes collision, derailment, and road crossing accident files that do not include a factual accident report. The "E" designation stands for reports of employee fatalities while on duty. This series is, by far, the largest series of records relating to railroad accidents. These records comprise case files containing much more information than the published accident reports. Files typically include the factual accident report, copies of the railroad rules and regulations that relate to the accident, other railroad publications including timetables, statements of witnesses to the accident, railroad test and inspection data reports, railroad bulletins and notices, railroad investigation reports, and drawings and photographs of the wreckage at the accident site. These case files are unique and contain much valuable information concerning the operation of railroads. Also included in these files are the railroad employee accident investigations (FE). An example of these records is Accident Investigation #B-2-74, which details a rear-end collision between an eastbound freight train and a yard transfer movement on the C&O Railroad at Dearborn, Michigan and a subsequent side collision due to a westbound freight train striking derailed equipment on the adjacent track. A total of three trains collided as nine cars were wrecked. Ten train-service employees were injured. This accident was caused by a failure of the engineer to operate the train in accordance with the traffic control system. This particular file includes a detailed railroad accident report; equipment damage and relief train performance report; Chessie Operating Rules, effective 1969; engineering drawings of the derailment site; newspaper clippings; photographs; witness statements; time reports; dispatchers records; and track check records.

Records of the Office of Research and Development

III.175 Research & development subject files, 1975-84 (36 ft.)(MLR Entry 1, A1), are arranged by year and thereunder by subject according to the FRA/ORD decimal classification scheme. These records are the files of the Office of the Associate Administrator for Research and Development. They consist of memoranda, correspondence, plans, studies, speeches, and other records relating to committees, conferences, trips, and programs. Included is program correspondence related to freight systems, passenger systems, rail safety, Amtrak, Conrail, other rail and transportation companies, and other Federal agencies.

III.176 Research and development technical reports, 1971-83 (21 ft.)(MLR Entry 6, A1) are the official file copies of publications prepared by various contractors for the Office of Research and Development and available through the National Technical Information Service. The publications are arranged by year and publication number, i.e. FRA/ORD-81/01. The reports are not always in report number order. These reports present the final results of research and development projects funded by the FRA. Many topics are covered by these technical reports. For example, "Railroad Classification Yard Technology: Evaluation of Approaches to Car Presence Detection," "Railroad Energy Management- Train Performance Calculator: A Survey and Assessment," and "Low-Profile, Light-Weight Intermodal Railcar--Volume 1: Performance Specification." These reports sometimes are multivolume and are usually hundreds of pages in length. Examples of particularly useful publications in terms of indexing are FRA/ORD-81/14, "Improving Railroad Technology: A Directory of Research and Development Projects of the Federal Railroad Administration, Fiscal Year 1980," and FRA/ORD-81/39 "Bibliography of FRA Office of Research and Development Technical Reports, 1974-80."

III.177 Improved passenger service demonstration projects: project/contract files, 1982 (14 ft.)(MLR Entry 10, A1), arranged by a decimal classification scheme, are the office files of the Office of Passenger Systems. The records include correspondence, reports, memorandums, photographs, and newspaper clippings covering those activities related to development of improved passenger service in specific corridors of operations. Major project categories include: improved passenger service, rolling stock development, fixed plant development, systems analysis, advanced systems technology, and tunneling technology. There is a folder list available in the finding aids.

III.178 Transportation test center records, 1982 (3 ft.)(MLR Entry 2, A1), consist of approximately two feet of correspondence, memoranda, reports, handbooks, manuals, and newspaper clippings concerning the operations and activities of the Transportation Test Center (TCC) in Pueblo, Colorado, and approximately 1 foot of 67 rolls of 16mm positive microfilm and 21 rolls of 35mm positive microfilm. The TTC, established in 1971, was responsible for improving the safety, reliability, and economic viability of railroad technology. Much of the correspondence concerns the negotiations for the transfer of the operation of the TTC from the FRA to the Association of American Railroads (AAR). Part of the file was extracted from the Office of Research and Development Subject Files using decimals "1130 TTC" and "1130.1 TTC Transition." Included in the files is a 1982 AAR report detailing the plan for the management and accounting of its TTC research and development program after the takeover. There are also records from 1979 to 1980 that include an FRA 5-year plan for the TTC and a report of accomplishments for the TTC for fiscal year 1979. The series also includes working manuals, reports, handbooks and plans concerning the FRA operation of the TTC. In addition, the series includes TTC monthly reports, and reports prepared for the AAR such as mechanical equipment surveys, occupational health plans, and general information handbooks. The microfilm rolls include Facility Engineering Manuals (rolls 1-13, 16mm and roll 1, 35mm), Federal Highway Drawings (rolls 1-2), Rail Dynamics Library Report Files (54 rolls, 16mm and 13 rolls of 35mm) and Drawings (5 rolls of 35mm), and VTU Global Plant System (1 roll).

III.179 The TTC was turned over to the AAR on October 1, 1982, because facilities at the TTC were under-used while under FRA operation and the AAR had more potential to market the facility. Also an administration policy decision was made to limit research and development efforts in the field of transportation. The TTC was operated under a 5-year lease by the AAR under the auspices of the FRA. The AAR was also responsible for marketing the services available at the TTC to manufacturers, educational institutions, and others, which could not be done while the facility was operated by the FRA. The facilities available at the TTC were: Facility for Accelerated Service Testing, Rail Dynamics Laboratory, Transit Test Track, Railroad Test Track, and a short-impact track.

III.180 Dual mode locomotive project files, 1982 (1 ft.)(MLR Entry 3, A1), are arranged by subject. Included are correspondence, memorandums, reports, photographs, and charts concerning the feasibility of the Dual Mode Locomotive Project. The records include FRA memorandums soliciting opinions from railroad industry concerning the Dual Mode Locomotive Project and memorandums from FRA officials evaluating the project. The records include copies of visual presentation materials describing the project and a two-volume published report entitled "Dual Mode Locomotive Systems Engineering-Final Report," 1982. The records also include 5-inch videotapes relating to the project.

III.181 National/bilateral agreements, 1978-79 (7 ft.)(MLR Entry 4, A1), are arranged alphabetically by country. The records consist of national and bilateral agreements and memorandums of understanding related to joint efforts with other countries and the railroads in the exchange of information and development of various rail technologies such as rail vehicle, tunneling technology, and hardware exchange.

Nontextual Records

III.182 The Railroad Accident/Incident Reporting System (RAIRS), produces electronic records files including the Railroad Equipment Accident/Incident files, Railroad Injury and Illness System files, and the Rail-Highway Grade Crossing Accident/Incident System files. More than 550 railroads, using FRA officially designated reporting forms, have provided input to this system since 1975. Aspects of any single accident or incident may be documented in one or more of the files listed below. Records can be linked between files by the unique 10-digit incident number assigned by the railroad. The following files are examples of the system products:

1. RAIRS: Railroad Equipment Accident/Incident Files (INC), 1975-1991. This electronic records series has data on train accidents. Reports are submitted on an as-required basis. Whenever train accidents occur, with track and on-track equipment damage exceeding a current threshold of $6,300, involved railroad(s) submit incident reports. The FRA inputs information from these reports into an electronic records file. There are 69 data elements in each record and they include information such as the date, time, and location of incident/accident; railroad name and type involved; type of collision; train speed; weather conditions; train or locomotive number; train content information; monetary damage figures; and number of individuals killed, disabled, and/or injured. There are between 3,400 and 14,000 records per year and one electronic records file per year.

2. RAIRS: Railroad Injury and Illness System (CAS), 1975-1991. This electronic records series has data on railroad-related casualties. Reports are submitted on an as-required basis. Whenever a railroad- related death, illness, or injury occurs, a report is submitted by the involved railroad. There are 26 data elements in each record, and they include information such as the date and location of the casualty, railroad name, occupation of individual, nature of illness or injury, location of injury on body, and work time lost due to the incident. There are between 24,000 and 76,000 records per year and one electronic records file per year.

3. RAIRS: Rail-Highway Grade Crossing Accident/Incident System (R-HGXAIS), 1975-1991. This electronic records series has data on accidents/incidents occurring at grade crossings. Whenever impact between rail and highway user (including pedestrians) occurs at a crossing site, both public and private, a rail-highway grade crossing accident report is submitted by the railroad. Reports are submitted on an as-required basis. There are 56 data elements in each record and they include information such as the date, time and location of incident/accident; railroad name and type involved; weather conditions; type of vehicle; vehicle direction and position; train speed; crossing conditions; motorist actions; and number of vehicle occupants killed, disabled, and/or injured. There are between 5,300 and 14,000 records per year and one electronic records file per year.

III.183 The Freight Commodity Statistics Database, Quarterly Commodity Statistics: 1966, 1968-1992, is an electronic records series consisting of Class I railroad traffic statistical information developed by the AAR. The Class I railroads report statistical information to the AAR. The Association, after processing the statistical information, makes the data available to the Surface Transportation Board of the DOT (formerly the ICC) and the FRA. For each Class I railroad for each quarter, the traffic statistics include the number of carloads and tons by commodity group (Standard Transportation Commodity Code) of freight originated and terminated, freight originated and delivered to another carrier, freight received and terminated, freight received and delivered to another carrier, and total freight carried. Total freight revenue classified by commodity group is also included. There is one electronic records file covering the periods 1966 and 1968 to 1992, with 419,083 records.

Record Group 408 Records of the Federal Transit Administration

III.184 The Federal Transit Administration was established as a component of the DOT by section 3 of Reorganization Plan #2 of 1968 (5 U.S.C. app.), effective July 1, 1968. The Administration was formerly the Urban Mass Transportation Administration. The mission of the Administration is to assist in the development of improved mass transportation facilities, equipment, techniques, and methods; to encourage the planning and establishment of area-wide urban mass transportation systems; to provide assistance to State and local governments in financing such systems; and to provide financial assistance to State and local governments to help implement national goals relating to mobility for elderly persons, persons with disabilities, and economically disadvantaged persons. Urban mass transportation includes commuter light rail and subway systems.

III.185 The general records of the Administration include the following series:

1. administrator's (UOA) subject files, 1976-79 (58 ft.)(MLR Entry 1, A1), arranged chronologically by year and thereunder by subject. UOA is the office symbol for the Administrator of Federal Transit.

2. closed mission correspondence, 1980-84 (152 ft.)(MLR Entry 2, A1), arranged by subject. The series includes documents relating to policy development and the overall planning, coordination, control, and executive direction of the assigned mission of the agency.

3. administrative policy and planning files, 1975 (5 ft.)(MLR Entry 3, A1), arranged according to an alphanumeric filing scheme. The records are similar in nature to the previous series, the closed mission correspondence.

III.186 Still pictures among the Administration's records includes rail accessibility study photographs, 1979 (408-S). This series consists of photographs of commuter trains and light rail stations taken in 1979 for a DOT study entitled "DOT 321 (b) Rail Retrofit Evaluation of Light and Commuter Rail Stations." The study was undertaken pursuant to section 321 of the Surface Transportation Assistance Act of 1978 to determine ways to make facilities accessible and usable by the handicapped. There are photographs of trolleys, trains, streetcars, buses, and interiors of railroad stations in Detroit, Cleveland, Chicago, Baltimore, Washington, New York, Newark, Pittsburgh, Providence, Philadelphia, and San Francisco.

Record Group 464 Records of the U.S. Railway Association

III.187 The United States Railway Association, a nonprofit Government-owned corporation, was established under the Regional Rail Reorganization Act of 1973. The Act reflected Congressional concern that the worsening state of the bankrupt carriers, of which Penn Central was the largest, was threatening a breakdown in essential rail service. The Association's purpose, as outlined in the Act, was to plan and finance the reorganization of bankrupt railroads in the Northeast into a economically viable system capable of providing safe, efficient, fast, and reliable rail service. The Association represented the Federal Government in litigation arising from the reorganization. It also controlled the flow of Government investments and loans to Conrail and monitored the carrier's performance. The Association made an exhaustive study of bankrupt railroads and prepared a system plan on how they should be restructured. Congress approved this plan on November 9, 1975. Congress passed the Railroad Revitalization and Regulatory Reform Act of 1976 that incorporated this system plan. This law created Conrail, which was a consolidation of Penn Central and five other railroads. The Association was responsible for monitoring Conrail's performance and was also the principal party in the valuation of rail property conveyed to Conrail. The Conrail valuation was among over 40 legal proceedings stemming from the reorganization of the railroads.

III.188 Transcripts of public hearings, 1974-75 (41 ft.)(MLR Entry 2, A1), are arranged by docket number. The records are comprised of copies of transcripts of testimony and exhibits given in public hearings before the ICC's Rail Services Planning Office and copies of post-hearing supplemental information supplied by witnesses. The purpose of the hearings was to solicit public views on the February 1, 1974, DOT report concerning the restructuring of rail service and to receive any other public views with respect to present and future rail needs of the Northeastern and Midwestern regions. The hearings were held in 20 locations around the United States during the week of March 4-11, 1974. The records are part of ICC Ex Parte Docket #293, "In Matter of Northeastern Railroad Investigation, Review of the Secretary of Transportation Rail Service Report, 1974."

III.189 Indexes to transcripts of public hearings, 1974-75 (1ft.)(MLR Entry 1, A1), for 1974 are arranged by year and thereunder by subject of index. There are two indexes for the year 1974. The first index lists witnesses who presented oral testimony during the public hearings on Ex Parte Docket #293 conducted by the Rail Services Planning Office of the ICC. The index is sorted by surname, occupational sector, and location of hearing. The second index lists the contributors who submitted written post-hearing material for the Rail Services Planning Office, either supplementary or in lieu of oral testimony on ICC Ex Parte Docket #293 (box 1). The 1975 index is arranged by subject of witness' testimony and thereunder by location of hearing. Some of the subjects in the index include three carrier system, Mid-Atlantic rail property, Conrail/East-West, other railroads, operations planning, routing, and improving service. The indexes are composed of computer printouts.