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[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2003]
[CITE: 49CFR225]

[Page 267-289]
 

TITLE 49--TRANSPORTATION
CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
PART 225--RAILROAD ACCIDENTS/INCIDENTS: REPORTS CLASSIFICATION, AND INVESTIGATIONS--Table of Contents


Sec.
225.1 Purpose.
225.3 Applicability.
225.5 Definitions.
225.7 Public examination and use of reports.
225.9 Telephonic reports of certain accidents/incidents and other 
          events.
225.11 Reporting of accidents/incidents.
225.12 Rail Equipment Accident/Incident Reports alleging employee human 
          factor as cause; Employee Human Factor Attachment; notice to 
          employee; employee supplement.
225.13 Late reports.
225.15 Accidents/incidents not to be reported.
225.17 Doubtful cases; alcohol or drug involvement.
225.19 Primary groups of accidents/incidents.
225.21 Forms.
225.23 Joint operations.
225.25 Recordkeeping.
225.27 Retention of records.
225.29 Penalties.
225.31 Investigations.
225.33 Internal Control Plans.
225.35 Access to records and reports.
225.37 Magnetic media transfer and electronic submission.
225.39 FRA policy on covered data.

Appendix A to Part 225--Schedule of Civil Penalties
Appendix B to Part 225--Procedure for Determining Reporting Threshold

    Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-02, 21301, 
21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49.

    Source: 39 FR 43224, Dec. 11, 1974, unless otherwise noted.

Sec. 225.1  Purpose.

    The purpose of this part is to provide the Federal Railroad 
Administration with accurate information concerning the hazards and 
risks that exist on the Nation's railroads. FRA needs this information 
to effectively carry out its regulatory responsibilities under 49 U.S.C. 
chapters 201-213. FRA also uses this information for determining 
comparative trends of railroad safety and to develop hazard elimination 
and risk reduction programs that focus on preventing railroad injuries 
and accidents. Issuance of these regulations under the federal railroad 
safety laws and regulations preempts States from prescribing accident/
incident reporting requirements. Any State may, however, require 
railroads to submit to it copies of accident/incident and injury/illness 
reports filed with FRA under this part, for accidents/incidents and 
injuries/illnesses which occur in that State.

[61 FR 30967, June 18, 1996]

Sec. 225.3  Applicability.

    (a) Except as provided in paragraphs (b), (c), and (d), this part 
applies to all railroads except--
    (1) A railroad that operates freight trains only on track inside an 
installation which is not part of the general railroad system of 
transportation or that owns no track except for track that is inside an 
installation that is not part of the general railroad system of 
transportation and used for freight operations.
    (2) Rail mass transit operations in an urban area that are not 
connected with the general railroad system of transportation.
    (3) A railroad that exclusively hauls passengers inside an 
installation that is insular or that owns no track except for track used 
exclusively for the hauling of passengers inside an installation that is 
insular. An operation is not considered insular if one or more of the 
following exists on its line:
    (i) A public highway-rail grade crossing that is in use;
    (ii) An at-grade rail crossing that is in use;
    (iii) A bridge over a public road or waters used for commercial 
navigation; or
    (iv) A common corridor with a railroad, i.e., its operations are 
within 30 feet of those of any railroad.
    (b) The Internal Control Plan requirements in Sec. 225.33(a)(3) 
through (10) do not apply to--
    (1) Railroads that operate or own track on the general railroad 
system of transportation that have 15 or fewer employees covered by the 
hours of service law (49 U.S.C. 21101-21107) and
    (2) Railroads that operate or own track exclusively off the general 
system.
    (c) The recordkeeping requirements regarding accountable injuries 
and illnesses and accountable rail equipment

[[Page 268]]

accidents/incidents found in Sec. 225.25(a) through (g) do not apply to-
-
    (1) Railroads that operate or own track on the general railroad 
system of transportation that have 15 or fewer employees covered by the 
hours of service law (49 U.S.C. 21101-21107) and
    (2) Railroads that operate or own track exclusively off the general 
system.
    (d) All requirements in this part to record or report an injury or 
illness incurred by any classification of person that results from a 
non-train incident do not apply to railroads that operate or own track 
exclusively off the general railroad system of transportation, unless 
the non-train incident involves in- service on-track equipment.

[61 FR 30967, June 18, 1996, as amended at 61 FR 67490, Dec. 23, 1996]

Sec. 225.5  Definitions.

    As used in this part--
    Accident/incident means:
    (1) Any impact between railroad on-track equipment and an 
automobile, bus, truck, motorcycle, bicycle, farm vehicle or pedestrian 
at a highway-rail grade crossing;
    (2) Any collision, derailment, fire, explosion, act of God, or other 
event involving operation of railroad on-track equipment (standing or 
moving) that results in reportable damages greater than the current 
reporting threshold to railroad on-track equipment, signals, track, 
track structures, and roadbed;
    (3) Any event or exposure arising from the operation of a railroad, 
if the event or exposure is a discernable cause of one or more of the 
following outcomes, and this outcome is a new case or a significant 
aggravation of a pre-existing injury or illness:
    (i) Death to any person;
    (ii) Injury to any person that results in medical treatment;
    (iii) Injury to a railroad employee that results in:
    (A) A day away from work;
    (B) Restricted work activity or job transfer; or
    (C) Loss of consciousness;
    (iv) Occupational illness of a railroad employee that results in any 
of the following:
    (A) A day away from work;
    (B) Restricted work activity or job transfer;
    (C) Loss of consciousness; or
    (D) Medical treatment;
    (v) Significant injury to or significant illness of a railroad 
employee diagnosed by a physician or other licensed health care 
professional even if it does not result in death, a day away from work, 
restricted work activity or job transfer, medical treatment, or loss of 
consciousness;
    (vi) Illness or injury that meets the application of any of the 
following specific case criteria:
    (A) Needlestick or sharps injury to a railroad employee;
    (B) Medical removal of a railroad employee;
    (C) Occupational hearing loss of a railroad employee;
    (D) Occupational tuberculosis of a railroad employee; or
    (E) Musculoskeletal disorder of a railroad employee if this disorder 
is independently reportable under one or more of the general reporting 
criteria.
    (4) Occupational illness.
    Accountable injury or illness means any condition, not otherwise 
reportable, of a railroad employee that is discernably caused by an 
event, exposure, or activity in the work environment which condition 
causes or requires the railroad employee to be examined or treated by a 
qualified health care professional.
    Accountable rail equipment accident/incident means any event not 
otherwise reportable, involving the operation of on-track equipment that 
causes physical damage to either the on-track equipment or the track 
upon which such equipment was operated and that requires the removal or 
repair of rail equipment from the track before any rail operations over 
the track can continue. An accountable rail equipment accident/incident, 
if not tended to, thus would disrupt railroad service. Examples of 
``disruption of service'' would include: loss of main track; one or more 
derailed wheels; any train failing to arrive or depart at its scheduled 
time; one or more cars or locomotives taken out of service; or rerouting 
trains due to a damaged car or locomotive.

[[Page 269]]

    Covered data means information that must be reported to FRA under 
this part concerning a railroad employee injury or illness case that is 
reportable exclusively because a physician or other licensed health care 
professional--
    (1) Recommended in writing that--
    (i) The employee take one or more days away from work when the 
employee instead reports to work (or would have reported had he or she 
been scheduled) and takes no days away from work in connection with the 
injury or illness,
    (ii) The employee work restricted duty for one or more days when the 
employee instead works unrestricted (or would have worked unrestricted 
had he or she been scheduled) and takes no days of restricted work 
activity in connection with the injury or illness, or
    (iii) The employee take over-the-counter medication at a dosage 
equal to or greater than the minimum prescription strength, whether or 
not the employee actually takes the medication; or
    (2) Made a one-time topical application of a prescription-strength 
medication to the employee's injury.
    Day away from work means a day away from work as described in 
paragraph (1) of this definition or, if paragraph (1) does not apply, a 
day away from work solely for reporting purposes as described in 
paragraph (2) of this definition. For purposes of this definition, the 
count of days includes all calendar days, regardless of whether the 
employee would normally be scheduled to work on those days (e.g., 
weekend days, holidays, rest days, and vacation days), and begins on the 
first calendar day after the railroad employee has been examined by a 
physician or other licensed health care professional (PLHCP) and 
diagnosed with a work-related injury or illness. In particular, the term 
means--
    (1) Each calendar day that the employee, for reasons associated with 
his or her condition, does not report to work (or would have been unable 
to report had he or she been scheduled) if not reporting results from:
    (i) A PLHCP's written recommendation not to work, or
    (ii) A railroad's instructions not to work, if the injury or illness 
is otherwise reportable; or
    (2) A minimum of one calendar day if a PLHCP, for reasons associated 
with the employee's condition, recommends in writing that the employee 
take one or more days away from work, but the employee instead reports 
to work (or would have reported had he or she been scheduled). This 
paragraph is intended to take into account ``covered data'' cases and 
also those non-covered data cases that are independently reportable for 
some other reason (e.g., ``medical treatment'' or ``day of restricted 
work activity''). The requirement to report ``a minimum of one calendar 
day'' is intended to give a railroad the discretion to report up to the 
total number of days recommended by the PLHCP.
    Day of restricted work activity means a day of restricted work 
activity as described in paragraph (1) of this definition or, if 
paragraph (1) does not apply, a day of restricted work activity solely 
for reporting purposes as described in paragraph (2) of this definition; 
in both cases, the work restriction must affect one or more of the 
employee's routine job functions (i.e., those work activities regularly 
performed at least once per week) or prevent the employee from working 
the full workday that he or she would otherwise have worked. For 
purposes of this definition, the count of days includes all calendar 
days, regardless of whether the employee would normally be scheduled to 
work on those days (e.g., weekend days, holidays, rest days, and 
vacation days), and begins on the first calendar day after the railroad 
employee has been examined by a physician or other licensed health care 
professional (PLHCP) and diagnosed with a work-related injury or 
illness. In particular, the term means--
    (1) Each calendar day that the employee, for reasons associated with 
his or her condition, works restricted duty (or would have worked 
restricted duty had he or she been scheduled) if the restriction results 
from:
    (i) A PLHCP's written recommendation to work restricted duty, or
    (ii) A railroad's instructions to work restricted duty, if the 
injury or illness is otherwise reportable; or

[[Page 270]]

    (2) A minimum of one calendar day if a PLHCP, for reasons associated 
with the employee's condition, recommends in writing that the employee 
work restricted duty for one or more days, but the employee instead 
works unrestricted (or would have worked unrestricted had he or she been 
scheduled). This paragraph is intended to take into account ``covered 
data'' cases and also those non-covered data cases that are 
independently reportable for some other reason (e.g., ``medical 
treatment'' or ``day of restricted work activity''). The requirement to 
report ``a minimum of one calendar day'' is intended to give a railroad 
the discretion to report up to the total number of days recommended by 
the PLHCP.
    Employee human factor includes any of the accident causes signified 
by the train accident cause codes listed under ``Train Operation--Human 
Factors'' in the current ``FRA Guide for Preparing Accidents/Incidents 
Reports,'' except for those train accident cause codes pertaining to 
non-railroad workers. For purposes of this definition ``employee'' 
includes the classifications of Worker on Duty--Employee, Employee not 
on Duty, Worker on Duty--Contractor, and Worker on Duty--Volunteer.
    Establishment means a single physical location where workers report 
to work, where railroad business is conducted, or where services or 
operations are performed. Examples are: a division office, general 
office, repair or maintenance facility, major switching yard or 
terminal. For employees who are engaged in dispersed operations, such as 
signal or track maintenance workers, an ``establishment'' is typically a 
location where work assignments are initially made and oversight 
responsibility exists, e.g., the establishment where the signal 
supervisor or roadmaster is located.
    Event or exposure arising from the operation of a railroad includes-
-
    (1) With respect to a person who is on property owned, leased, or 
maintained by the railroad, an activity of the railroad that is related 
to the performance of its rail transportation business or an exposure 
related to the activity;
    (2) With respect to an employee of the railroad (whether on or off 
property owned, leased, or maintained by the railroad), an activity of 
the railroad that is related to the performance of its rail 
transportation business or an exposure related to the activity; and
    (3) With respect to a person who is not an employee of the railroad 
and not on property owned, leased, or maintained by the railroad--an 
event or exposure directly resulting from one or more of the following 
railroad operations:
    (i) A train accident, a train incident, or a highway-rail crossing 
accident or incident involving the railroad; or
    (ii) A release of a hazardous material from a railcar in the 
possession of the railroad or of another dangerous commodity that is 
related to the performance of the railroad's rail transportation 
business.
    FRA representative means the Associate Administrator for Safety, 
FRA; the Associate Administrator's delegate (including a qualified State 
inspector acting under part 212 of this chapter); the Chief Counsel, 
FRA; or the Chief Counsel's delegate.
    General reporting criteria means the criteria listed in 
Sec. 225.19(d)(1), (2), (3), (4), and (5).
    Highway-rail grade crossing means a location where a public highway, 
road, street, or private roadway, including associated sidewalks and 
pathways, crosses one or more railroad tracks at grade.
    Joint operations means rail operations conducted on a track used 
jointly or in common by two or more railroads subject to this part or 
operation of a train, locomotive, car, or other on-track equipment by 
one railroad over the track of another railroad.
    Medical removal means medical removal under the medical surveillance 
requirements of the Occupational Safety and Health Administration 
standard in 29 CFR part 1910 in effect during calendar year 2002, even 
if the case does not meet one of the general reporting criteria.
    Medical treatment means any medical care or treatment beyond ``first 
aid'' regardless of who provides such treatment. Medical treatment does 
not include diagnostic procedures, such as X-

[[Page 271]]

rays and drawing blood samples. Medical treatment also does not include 
counseling.
    Musculoskeletal disorder (MSD) means a disorder of the muscles, 
nerves, tendons, ligaments, joints, cartilage, and spinal discs. The 
term does not include disorders caused by slips, trips, falls, motor 
vehicle accidents, or other similar accidents. Examples of MSDs include: 
Carpal tunnel syndrome, Rotator cuff syndrome, De Quervain's disease, 
Trigger finger, Tarsal tunnel syndrome, Sciatica, Epicondylitis, 
Tendinitis, Raynaud's phenomenon, Carpet layers knee, Herniated spinal 
disc, and Low back pain.
    Needlestick or sharps injury means a cut, laceration, puncture, or 
scratch from a needle or other sharp object that involves contamination 
with another person's blood or other potentially infectious material, 
even if the case does not meet one of the general reporting criteria.
    New case means a case in which either the employee has not 
previously experienced a reported injury or illness of the same type 
that affects the same part of the body, or the employee previously 
experienced a reported injury or illness of the same type that affected 
the same part of the body but had recovered completely (all signs had 
disappeared) from the previous injury or illness and an event or 
exposure in the work environment caused the signs or symptoms to 
reappear.
    Non-train incident means an event that results in a reportable 
casualty, but does not involve the movement of on-track equipment nor 
cause reportable damage above the threshold established for train 
accidents.
    Occupational hearing loss means a diagnosis of occupational hearing 
loss by a physician or other licensed health care professional, where 
the employee's audiogram reveals a work-related Standard Threshold Shift 
(STS) (i.e., at least a 10-decibel change in hearing threshold, relative 
to the baseline audiogram for that employee) in hearing in one or both 
ears, and the employee's total hearing level is 25 decibels or more 
above audiometric zero (averaged at 2000, 3000, and 4000 Hz) in the same 
ear(s) as the STS.
    Occupational illness means any abnormal condition or disorder, as 
diagnosed by a physician or other licensed health care professional, of 
any person who falls under the definition for the classification of 
Worker on Duty--Employee, other than one resulting from injury, 
discernably caused by an environmental factor associated with the 
person's railroad employment, including, but not limited to, acute or 
chronic illnesses or diseases that may be caused by inhalation, 
absorption, ingestion, or direct contact.
    Occupational tuberculosis means the occupational exposure of an 
employee to anyone with a known case of active tuberculosis if the 
employee subsequently develops a tuberculosis infection, as evidenced by 
a positive skin test or diagnosis by a physician or other licensed 
health care professional, even if the case does not meet one of the 
general reporting criteria.
    Privacy concern case is any occupational injury or illness in the 
following list:
    (1) Any injury or illness to an intimate body part or the 
reproductive system;
    (2) An injury or illness resulting from a sexual assault;
    (3) Mental illnesses;
    (4) HIV infection, hepatitis, or tuberculosis;
    (5) Needlestick and sharps injuries; and
    (6) Other injuries or illnesses, if the employee independently and 
voluntarily requests in writing to the railroad reporting officer that 
his or her injury or illness not be posted.
    Person includes all categories of entities covered under 1 U.S.C. 1, 
including, but not limited to, a railroad; any manager, supervisor, 
official, or other employee or agent of a railroad; any owner, 
manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any passenger; any trespasser or nontrespasser; any 
independent contractor providing goods or services to a railroad; any 
volunteer providing goods or services to a railroad; and any employee of 
such owner, manufacturer, lessor, lessee, or independent contractor.
    Qualified health care professional is a health care professional 
operating

[[Page 272]]

within the scope of his or her license, registration, or certification. 
For example, an otolaryngologist is qualified to diagnose a case of 
noise-induced hearing loss and identify potential causal factors, but 
may not be qualified to diagnose a case of repetitive motion injuries. 
In addition to licensed physicians, the term qualified health care 
professional includes members of other occupations associated with 
patient care and treatment such as chiropractors, podiatrists, 
physician's assistants, psychologists, and dentists.
    Railroad means a person providing railroad transportation.
    Railroad transportation means any form of non-highway ground 
transportation that run on rails or electro-magnetic guideways, 
including commuter or other short-haul railroad passenger service in a 
metropolitan or suburban area, as well as any commuter railroad service 
that was operated by the Consolidated Rail Corporation as of January 1, 
1979, and high speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads. Such term does not include 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.
    Significant change in the damage costs for reportable rail equipment 
accidents/incidents means at least a ten-percent variance between the 
damage amount reported to FRA and current cost figures.
    Significant change in the number of reportable days away from work 
or days restricted means at least a ten-percent variance in the number 
of actual reportable days away from work or days restricted compared to 
the number of days already reported.
    Significant illness means an illness involving cancer or a chronic 
irreversible disease such as byssinosis or silicosis, if the disease 
does not result in death, a day away from work, restricted work, job 
transfer, medical treatment, or loss of consciousness.
    Significant injury means an injury involving a fractured or cracked 
bone or a punctured eardrum, if the injury does not result in death, a 
day away from work, restricted work, job transfer, medical treatment, or 
loss of consciousness.
    Train accident means any collision, derailment, fire, explosion, act 
of God, or other event involving operation of railroad on-track 
equipment (standing or moving) that results in damages greater than the 
current reporting threshold to railroad on-track equipment, signals, 
track, track structures, and roadbed.
    Train incident means any event involving the movement of on-track 
equipment that results in a reportable casualty but does not cause 
reportable damage above the current threshold established for train 
accidents.
    Work environment is the physical location, equipment, materials 
processed or used, and activities of a railroad employee associated with 
his or her work, whether on or off the railroad's property.
    Work related means related to any incident, activity, exposure, or 
the like occurring within the work environment.

[61 FR 30968, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996; 
61 FR 67490, Dec. 23, 1996; 68 FR 10136, Mar. 3, 2003]

Sec. 225.7  Public examination and use of reports.

    (a) Accident/Incident reports made by railroads in compliance with 
these rules shall be available to the public in the manner prescribed by 
part 7 of this title. Accident/Incident reports may be inspected at the 
Office of Safety, Federal Railroad Administration, 400 Seventh Street, 
SW., Washington, DC 20590. Written requests for a copy of a report 
should be addressed to the Freedom of Information Officer, Office of 
Chief Counsel, FRA, 400 Seventh Street, SW., Washington, DC 20590, and 
be accompanied by the appropriate fee prescribed in part 7 of this 
title. To facilitate expedited handling, each request should be clearly 
marked ``Request for Accident/Incident Report.''
    (b) 49 U.S.C. 20903 provides that monthly reports filed by railroads 
under Sec. 225.11 may not be admitted as evidence or used for any 
purpose in any action for damages growing out of any matters mentioned 
in these monthly reports. The Employee Human Factor Attachment, Notice, 
and Employee

[[Page 273]]

Supplement under Sec. 225.12 are part of the reporting railroad's 
accident report to FRA pursuant to the 49 U.S.C. 20901 and, as such, 
shall not ``be admitted as evidence or used for any purpose in any suit 
or action for damages growing out of any matter mentioned in said report 
* * *.'' 49 U.S.C. 20903.

[39 FR 43224, Dec. 11, 1974, as amended at 51 FR 47019, Dec. 30, 1986; 
53 FR 28601, July 28, 1988; 55 FR 37827, Sept. 13, 1990; 55 FR 52487, 
Dec. 21, 1990; 61 FR 30969, June 18, 1996]

Sec. 225.9  Telephonic reports of certain accidents/incidents and other 
          events.

    (a) Types of accidents/incidents and other events to be reported--
(1) Certain deaths or injuries. Each railroad must report immediately, 
as prescribed in paragraphs (b) through (d) of this section, whenever it 
learns of the occurrence of an accident/incident arising from the 
operation of the railroad, or an event or exposure that may have arisen 
from the operation of the railroad, that results in the--
    (i) Death of a rail passenger or a railroad employee;
    (ii) Death of an employee of a contractor to a railroad performing 
work for the railroad on property owned, leased, or maintained by the 
contracting railroad; or
    (iii) Death or injury of five or more persons.
    (2) Certain train accidents or train incidents. Each railroad must 
report immediately, as prescribed in paragraphs (b) through (d) of this 
section, whenever it learns of the occurrence of any of the following 
events that arose from the operation of the railroad:
    (i) A train accident that results in serious injury to two or more 
train crewmembers or passengers requiring their admission to a hospital;
    (ii) A train accident resulting in evacuation of a passenger train;
    (iii) A fatality at a highway-rail grade crossing as a result of a 
train accident or train incident;
    (iv) A train accident resulting in damage (based on a preliminary 
gross estimate) of $150,000, to railroad and nonrailroad property; or
    (v) A train accident resulting in damage of $25,000 or more to a 
passenger train, including railroad and nonrailroad property.
    (3) Train accidents on or fouling passenger service main lines. The 
dispatching railroad must report immediately, as prescribed in 
paragraphs (b) through (d) of this section, whenever it learns of the 
occurrence of any train accident reportable as a rail equipment 
accident/incident under Secs. 225.11 and 225.19(c)--
    (i) That involves a collision or derailment on a main line that is 
used for scheduled passenger service; or
    (ii) That fouls a main line used for scheduled passenger service.
    (b) Method of reporting. (1) Telephonic reports required by this 
section shall be made by toll-free telephone to the National Response 
Center, Area Code 800-424-8802 or 800-424-0201.
    (2) Through one of the same telephone numbers (800-424-0201), the 
National Response Center (NRC) also receives notifications of rail 
accidents for the National Transportation Safety Board (49 CFR part 840) 
and the Research and Special Programs Administration of the U.S. 
Department of Transportation (Hazardous Materials Regulations, 49 CFR 
171.15). FRA Locomotive Safety Standards require certain locomotive 
accidents to be reported by telephone to the NRC at the same toll-free 
number (800-424-0201). 49 CFR 229.17.
    (c) Contents of report. Each report must state the:
    (1) Name of the railroad;
    (2) Name, title, and telephone number of the individual making the 
report;
    (3) Time, date, and location of the accident/incident;
    (4) Circumstances of the accident/incident;
    (5) Number of persons killed or injured; and
    (6) Available estimates of railroad and non-railroad property 
damage.
    (d) Timing of report. (1) To the extent that the necessity to report 
an accident/incident depends upon a determination of fact or an estimate 
of property damage, a report will be considered immediate if made as 
soon as possible following the time that the determination or estimate 
is made, or could reasonably have been made,

[[Page 274]]

whichever comes first, taking into consideration the health and safety 
of those affected by the accident/incident, including actions to protect 
the environment.
    (2) NTSB has other specific requirements regarding the timeliness of 
reporting. See 49 CFR part 840.

[68 FR 10138, Mar. 3, 2003]

Sec. 225.11  Reporting of accidents/incidents.

    Each railroad subject to this part shall submit to FRA a monthly 
report of all railroad accidents/incidents described in Sec. 225.19. The 
report shall be made on the forms prescribed in Sec. 225.21 in hard copy 
or, alternatively, by means of magnetic media or electronic submission, 
as prescribed in Sec. 225.37, and shall be submitted within 30 days 
after expiration of the month during which the accidents/incidents 
occurred. Reports shall be completed as required by the current ``FRA 
Guide for Preparing Accidents/Incidents Reports.'' A copy of this guide 
may be obtained from the Office of Safety, RRS-22, Federal Railroad 
Administration, 400 Seventh Street, S.W., Washington, D.C. 20590.

[61 FR 30969, June 18, 1996]

Sec. 225.12  Rail Equipment Accident/Incident Reports alleging employee 
          human factor as cause; Employee Human Factor Attachment; 
          notice to employee; employee supplement.

    (a) Rail Equipment Accident/Incident Report alleging employee human 
factor as cause; completion of Employee Human Factor Attachment. If, in 
reporting a rail equipment accident/incident to FRA, a railroad cites an 
employee human factor as the primary cause or a contributing cause of 
the accident; then the railroad that cited such employee human factor 
must complete, in accordance with instructions on the form and in the 
current ``FRA Guide for Preparing Accident/Incident Reports,'' an 
Employee Human Factor Attachment form on the accident. For purposes of 
this section, ``employee'' is defined as a Worker on Duty--Employee, 
Employee not on Duty, Worker on Duty--Contractor, or Worker on Duty--
Volunteer.
    (b) Notice to identified implicated employees. Except as provided in 
paragraphs (e) and (f) of this section, for each employee whose act, 
omission, or physical condition was alleged by the railroad as the 
employee human factor that was the primary cause or a contributing cause 
of a rail equipment accident/incident and whose name was listed in the 
Employee Human Factor Attachment for the accident and for each such 
railroad employee of whose identity the railroad has actual knowledge, 
the alleging railroad shall--
    (1) Complete part I, ``Notice to Railroad Employee Involved in Rail 
Equipment Accident/Incident Attributed to Employee Human Factor,'' of 
Form FRA F 6180.78 with information regarding the accident, in 
accordance with instructions on the form and in the current ``FRA Guide 
for Preparing Accident/Incident Reports''; and
    (2) Hand deliver or send by first class mail (postage prepaid) to 
that employee, within 45 days after the end of the month in which the 
rail equipment accident/incident occurred--
    (i) A copy of Form FRA F 6180.78, ``Notice to Railroad Employee 
Involved in Rail Equipment Accident/Incident Attributed to Employee 
Human Factor; Employee Statement Supplementing Railroad Accident 
Report,'' with part I completed as to the applicable employee and 
accident;
    (ii) A copy of the railroad's Rail Equipment Accident/Incident 
Report and Employee Human Factor Attachment on the rail equipment 
accident/incident involved; and
    (iii) If the accident was also reportable as a highway-rail grade 
crossing accident/incident, a copy of the railroad's Highway-Rail Grade 
Crossing Accident/Incident Report on that accident.
    (c) Joint operations. If a reporting railroad makes allegations 
under paragraph (a) of this section concerning the employee of another 
railroad, the employing railroad must promptly provide the name, job 
title, address, and medical status of any employee reasonably identified 
by the alleging railroad, if requested by the alleging railroad.
    (d) Late identification. Except as provided in paragraphs (e) and 
(f) of this section, if a railroad is initially unable

[[Page 275]]

to identify a particular railroad employee whose act, omission, or 
physical condition was cited by the railroad as a primary or 
contributing cause of the accident, but subsequently makes such 
identification, the railroad shall submit a revised Employee Human 
Factor Attachment to FRA immediately, and shall submit the Notice 
described in paragraph (b) of this section to that employee within 15 
days of when the revised report is to be submitted.
    (e) Deferred notification on medical grounds. The reporting railroad 
has reasonable discretion to defer notification of implicated employees 
on medical grounds.
    (f) Implicated employees who have died by the time that the Notice 
is ready to be sent. (1) If an implicated employee has died as a result 
of the accident, a Notice under paragraph (b) addressed to that employee 
must not be sent to any person.
    (2) If an implicated employee has died of whatever causes by the 
time that the Notice is ready to be sent, no Notice addressed to that 
employee is required.
    (g) Employee Statement Supplementing Railroad Accident Report 
(Supplements or Employee Supplements). (1) Employee Statements 
Supplementing Railroad Accident Reports are voluntary, not mandatory; 
nonsubmission of a Supplement does not imply that the employee admits or 
endorses the railroad's conclusions as to cause or any other 
allegations.
    (2) Although a Supplement is completely optional and not required, 
if an employee wishes to submit a Supplement and assure that, after 
receipt, it will be properly placed by FRA in a file with the railroad's 
Rail Equipment Accident/Incident Report and that it will be required to 
be reviewed by the railroad that issued the Notice, the Supplement must 
be made on part II of Form FRA F 6180.78 (entitled ``Notice to Railroad 
Employee Involved in Rail Equipment Accident/Incident Attributed to 
Employee Human Factor; Employee Statement Supplementing Railroad 
Accident Report''), following the instructions printed on the form. 
These instructions require that, within 35 days of the date that the 
Notice was hand delivered or sent by first class mail (postage prepaid) 
to the employee (except for good cause shown), the original of the 
Supplement be filed with FRA and a copy be hand delivered or sent by 
first class mail (postage prepaid) to the railroad that issued the 
Notice so that the railroad will have an opportunity to reassess its 
reports to FRA concerning the accident.
    (3) Information that the employee wishes to withhold from the 
railroad must not be included in this Supplement. If an employee wishes 
to provide confidential information to FRA, the employee should not use 
the Supplement form (part II of Form FRA F 6180.78), but rather provide 
such confidential information by other means, such as a letter to the 
employee's collective bargaining representative, or to the Federal 
Railroad Administration, Office of Safety Assurance and Compliance, RRS-
11, 400 Seventh Street, SW., Washington, DC 20590. The letter should 
include the name of the railroad making the allegations, the date and 
place of the accident, and the rail equipment accident/incident number.
    (h) Willful false statements; penalties. If an employee chooses to 
submit a Supplement to FRA, all of the employee's assertions in the 
Supplement must be true and correct to the best of the employee's 
knowledge and belief.
    (1) Under 49 U.S.C. 21301, 21302, and 21304, any person who 
willfully files a false Supplement with FRA is subject to a civil 
penalty. See appendix A to this part.
    (2) Any person who knowingly and willfully files a false Supplement 
is subject to a $5,000 fine, or up to two years'' imprisonment, or both, 
under 49 U.S.C. 21311.

[55 FR 37827, Sept. 13, 1990; 55 FR 39538, Sept. 27, 1990, as amended at 
61 FR 30969, 30973, June 18, 1996]

Sec. 225.13  Late reports.

    Whenever a railroad discovers that a report of an accident/incident, 
through mistake or otherwise, has been improperly omitted from or 
improperly reported on its regular monthly accident/incident report, a 
report covering this accident/incident together with a letter of 
explanation must be submitted immediately. Whenever a railroad receives 
a partially or fully completed

[[Page 276]]

Employee Statement Supplementing Railroad Accident Report (part II of 
Form FRA F 6180.78), in response to a Notice to Railroad Employee (part 
I of Form FRA F 6180.78) issued by the railroad and mailed or hand 
delivered to the employee, the railroad must promptly review that 
Supplement; based on that review, reassess the accuracy and validity of 
the railroad's Rail Equipment Accident/Incident Report and of any other 
reports and records required by this part concerning the same accident, 
including the Employee Human Factor Attachment; make all justified 
revisions to each of those reports and records; submit any amended 
reports to FRA; and submit a copy of any amended Rail Equipment 
Accident/Incident Report, Employee Human Factor Attachment, and Highway-
Rail Grade Crossing Accident/Incident Report on the accident to the 
employee. A second notice under Sec. 225.12 is not required for the 
employee. If an employee who was never sent a notice under Sec. 225.12 
for that accident is implicated in the revised Employee Human Factor 
Attachment, the railroad must follow the procedures of Sec. 225.12(d).

[39 FR 43224, Dec. 11, 1974, as amended at 55 FR 37828, Sept. 13, 1990; 
61 FR 30973, June 18, 1996]

Sec. 225.15  Accidents/incidents not to be reported.

    A railroad need not report:
    (a) Casualties which occur at highway-rail grade crossings that do 
not involve the presence or operation of on-track equipment, or the 
presence of railroad employees then engaged in the operation of a 
railroad;
    (b) Casualties in or about living quarters not arising from the 
operation of a railroad;
    (c) Suicides as determined by a coroner or other public authority; 
or
    (d) Attempted suicides.

[39 FR 43224, Dec. 11, 1974, as amended at 61 FR 30973, June 18, 1996]

Sec. 225.17  Doubtful cases; alcohol or drug involvement.

    (a) The reporting officer f a railroad will ordinarily determine the 
reportability or nonreportability of an accident/incident after 
examining all evidence available. The FRA, however, cannot delegate 
authority to decide matters of judgment when facts are in dispute. In 
all such cases the decision shall be that of the FRA.
    (b) Even though there may be no witness to an accident/incident, if 
there is evidence indicating that a reportable accident/incident may 
have occurred, a report of that accident/incident must be made.
    (c) All accidents/incidents reported as ``claimed but not admitted 
by the railroad'' are given special examination by the FRA, and further 
inquiry may be ordered. Accidents/incidents accepted as reportable are 
tabulated and included in the various statistical statements issued by 
the FRA. The denial of any knowledge or refusal to admit responsibility 
by the railroad does not exclude those accidents/incidents from monthly 
and annual figures. Facts stated by a railroad that tend to refute the 
claim of an injured person are given consideration, and when the facts 
seem sufficient to support the railroad's position, the case is not 
allocated to the reporting railroad.
    (d)(1) In preparing a Rail Equipment Accident/Incident Report under 
this part, the railroad shall make such specific inquiry as may be 
reasonable under the circumstances into the possible involvement of 
alcohol or drug use or impairment in such accident or incident. If the 
railroad comes into possession of any information whatsoever, whether or 
not confirmed, concerning alleged alcohol or drug use or impairment by 
an employee who was involved in, or arguably could be said to have been 
involved in, the accident/incident, the railroad shall report such 
alleged use or impairment as provided in the current FRA Guide for 
Preparing Accident/Incident Reports. If the railroad is in possession of 
such information but does not believe that alcohol or drug impairment 
was the primary or contributing cause of the accident/incident, then the 
railroad shall include in the narrative statement of such report a brief 
explanation of the basis of such determination.
    (2) For any train accident within the requirement for post-accident 
testing under Sec. 219.201 of this title, the railroad

[[Page 277]]

shall append to the Rail Equipment Accident/Incident Report any report 
required by Sec. 219.209(b) (pertaining to failure to obtain samples for 
post-accident toxicological testing).
    (3) For any train or non-train incident, the railroad shall provide 
any available information concerning the possible involvement of alcohol 
or drug use or impairment in such accident or incident.
    (4) In providing information required by this paragraph, a railroad 
shall not disclose any information concerning use of controlled 
substances determined by the railroad's Medical Review Officer to have 
been consistent with 49 CFR 219.103.

[39 FR 43224, Dec. 11, 1974, as amended at 50 FR 31579, Aug. 2, 1985; 54 
FR 53279, Dec. 27, 1989]

Sec. 225.19  Primary groups of accidents/incidents.

    (a) For reporting purposes reportable railroad accidents/incidents 
are divided into three groups:

Group I--Highway-Rail Grade Crossing;
Group II--Rail Equipment;
Group III--Death, Injury and Occupational Illness.

    (b) Group I--Highway-rail grade crossing. Each highway-rail grade 
crossing accident/incident must be reported to the FRA on Form FRA F 
6180.57, regardless of the extent of damages or whether a casualty 
occurred. In addition, whenever a highway-rail grade crossing accident/
incident results in damages greater than the current reporting threshold 
to railroad on-track equipment, signals, track, track structures, or 
roadbed, that accident/incident shall be reported to the FRA on Form FRA 
F 6180.54. For reporting purposes, damages include labor costs and all 
other costs to repair or replace in kind damaged on-track equipment, 
signals, track, track structures, or roadbed, but do not include the 
cost of clearing a wreck.
    (c) Group II--Rail equipment. Rail equipment accidents/incidents are 
collisions, derailments, fires, explosions, acts of God, and other 
events involving the operation of on-track equipment (standing or 
moving) that result in damages higher than the current reporting 
threshold (i.e., $6,300 for calendar years 1991 through 1966, $6,500 for 
calendar year 1997, and $6,700 for calendar years 2002 and 2003 and, 
until further notice, for calendar years thereafter) to railroad on-
track equipment, signals, tracks, track structures, or roadbed, 
including labor costs and the costs for acquiring new equipment and 
material. Each rail equipment accident/incident must be reported to the 
FRA on Form FRA F 6180.54. If the property of more than one railroad is 
involved in an accident/incident, the reporting threshold is calculated 
by including the damages suffered by all of the railroads involved. See 
Sec. 225.23, Joint Operations. The reporting threshold will be reviewed 
periodically, and, if necessary, will be adjusted every year.
    (d) Group III--Death, injury, or occupational illness. Each event or 
exposure arising from the operation of a railroad shall be reported on 
Form FRA F 6180.55a if the event or exposure is a discernable cause of 
one or more of the following outcomes, and this outcome is a new case or 
a significant aggravation of a pre-existing injury or illness:
    (1) Death to any person;
    (2) Injury to any person that results in medical treatment;
    (3) Injury to a railroad employee that results in:
    (i) A day away from work;
    (ii) Restricted work activity or job transfer; or
    (iii) Loss of consciousness;
    (4) Occupational illness of a railroad employee that results in any 
of the following:
    (i) A day away from work;
    (ii) Restricted work activity or job transfer;
    (iii) Loss of consciousness; or
    (iv) Medical treatment;
    (5) Significant injury to or significant illness of a railroad 
employee diagnosed by a physician or other licensed health care 
professional even if it does not result in death, a day away from work, 
restricted work activity or job transfer, medical treatment, or loss of 
consciousness;
    (6) Illness or injury that meets the application of any of the 
following specific case criteria:

[[Page 278]]

    (i) Needlestick or sharps injury to a railroad employee;
    (ii) Medical removal of a railroad employee;
    (iii) Occupational hearing loss of a railroad employee;
    (iv) Occupational tuberculosis of a railroad employee; or
    (v) Musculoskeletal disorder of a railroad employee if this disorder 
is independently reportable under one or more of the general reporting 
criteria.
    (e) The reporting threshold is $6,300 for calendar years 1991 
through 1996. The reporting threshold is $6,500 for calendar year 1997, 
$6,600 for calendar years 1998 through 2001, and $6,700 for calendar 
years 2002 and 2003 and, until further notice, for calendar years 
thereafter. The procedure for determining the reporting threshold for 
calendar years 1997 through 2002 appears as paragraphs 1-9 of appendix B 
to part 225. The primary rationale for the reporting threshold 
established for calendar year 2003 and, until further notice, for 
subsequent calendar years, appears as paragraph 10 of appendix B to part 
225.

(Secs. 11144 and 11145, Subtitle IV of Title 49 (49 U.S.C. 11144 and 
11145); secs. 1 and 6, Accident Reports Act (45 U.S.C. 431 and 437); 
sec. 6(e) and (f), Department of Transportation Act (49 U.S.C. 1655(e) 
and (f)); sec. 1.49(g) and (m), regulations of the Office of the 
Secretary of Transportation (49 CFR 1.49(g) and (m))

[39 FR 43224, Dec. 11, 1974, as amended at 41 FR 50691, Nov. 17, 1976; 
42 FR 1221, Jan. 6, 1977; 47 FR 56358, Dec. 16, 1982; 51 FR 47019, Dec. 
30, 1986; 53 FR 48548, Dec. 1, 1988; 55 FR 52847, Dec. 21, 1990; 61 FR 
30969, 30973, June 18, 1996; 61 FR 60634, Nov. 29, 1996; 61 FR 67490, 
Dec. 23, 1996; 63 FR 63676, Dec. 2, 1997; 63 FR 71791, Dec. 30, 1998; 64 
FR 69195, Dec. 10, 1999; 65 FR 69886, Nov. 21, 2000; 66 FR 66348, Dec. 
26, 2001; 67 FR 79536, Dec. 30, 2002; 68 FR 10138, Mar. 3, 2003]

Sec. 225.21  Forms.

    The following forms and copies of the FRA Guide for Preparing 
Accident/Incident Reports may be obtained from the Office of Safety, 
FRA, 400 Seventh Street, SW., Washington, DC 20590.
    (a) Form FRA F 6180.54--Rail Equipment Accident/Incident Report. 
Form FRA F 6180.54 shall be used to report each reportable rail 
equipment accident/incident which occurred during the preceding month.
    (b) Form FRA F 6180.55--Railroad Injury and Illness Summary. Form 
FRA F 6180.55 must be filed each month, even though no reportable 
accident/incident occurred during the month covered. Each report must 
include an oath or verification, made by the proper officer of the 
reporting railroad, as provided for attestation on the form. If no 
reportable accident/incident occurred during the month, that fact must 
be stated on this form. All railroads subject to this part, shall show 
on this form the total number of freight train miles, passenger train 
miles, yard switching train miles, and other train miles run during the 
month.
    (c) Form FRA 6180.55a--Railroad Injury and Illness (Continuation 
Sheet). Form FRA 6180.55a shall be used to report all reportable 
fatalities, injuries and occupational illnesses that occurred during the 
preceding month.
    (d) Form FRA 6180.56--Annual Railroad Report of Manhours by State. 
Form FRA 6180.56 shall be submitted as part of the monthly Railroad 
Injury and Illness Summary (Form FRA F 6180.55) for the month of 
December of each year.
    (e) Form FRA F 6180.57--Highway-Rail Grade Crossing Accident/
Incident Report. Form FRA F 6180.57 shall be used to report each 
highway-rail grade crossing accident/incident which occurred during the 
preceding month.
    (f) Form FRA F 6180.81--Employee Human Factor Attachment. Form FRA F 
6180.81 shall be used by railroads, as a supplement to the Rail 
Equipment Accident/Incident Report (Form FRA F 6180.54), in reporting 
rail equipment accidents/incidents that they attribute to an employee 
human factor. This form shall be completed in accordance with 
instructions printed on the form and in the current ``FRA Guide for 
Preparing Accident/Incident Reports.'' The form shall be attached to the 
Rail Equipment Accident/Incident Report and shall be submitted within 30 
days after expiration of the month in which the accident/incident 
occurred.
    (g) Form FRA F 6180.78--Notice to Railroad Employee Involved in Rail 
Equipment Accident/Incident Attributed to Employee Human Factor; 
Employee Statement Supplementing Railroad Accident

[[Page 279]]

Report. When a railroad alleges, in the Employee Human Factor Attachment 
to a Rail Equipment Accident/Incident Report, that the act, omission, or 
physical condition of a specific employee was a primary or contributing 
cause of the rail equipment accident/incident, the railroad shall 
complete part I of Form FRA F 6180.78 to notify each such employee 
identified that the railroad has made such allegation and that the 
employee has the right to submit a statement to FRA. The railroad shall 
then submit the entire form, parts I and II, to the employee. The 
Employee Statement Supplementing Railroad Accident Report (Employee 
Supplement) is completely at the option of the employee; however, if the 
employee desires to make a statement about the accident that will become 
part of the railroad's Rail Equipment Accident/Incident Report, the 
employee shall complete the Employee Supplement form (part II of Form 
FRA F 6180.78) and shall then submit the original of the entire form, 
parts I and II, and any attachments, to FRA and submit a copy of the 
same to the railroad that issued the Notice in part I.
    (h) Form FRA F 6180.98--Railroad Employee Injury and/or Illness 
Record. Form FRA F 6180.98 or an alternative railroad-designed record 
shall be used by the railroads to record all reportable and accountable 
injuries and illnesses to railroad employees for each establishment. 
This record shall be completed and maintained in accordance with the 
requirements set forth in Sec. 225.25.
    (i) Form FRA F 6180.97--Initial Rail Equipment Accident/Incident 
Record. Form FRA F 6180.97 or an alternative railroad-designed record 
shall be used by the railroads to record all reportable and accountable 
rail equipment accidents/incidents for each establishment. This record 
shall be completed and maintained in accordance with the requirements 
set forth in Sec. 225.25.
    (j) Form FRA 6180.107--Alternative Record for Illnesses Claimed to 
Be Work-Related. (1) Form FRA F 6180.107 shall be used by a railroad to 
record each illness claimed to be work-related that is reported to the 
railroad--
    (i) For which there is insufficient information to determine whether 
the illness is work-related;
    (ii) For which the railroad has made a preliminary determination 
that the illness is not work-related; or
    (iii) For which the railroad has made a final determination that the 
illness is not work-related.
    (2) For any case determined to be reportable, the designation 
``illness claimed to be work-related'' shall be removed, and the record 
shall be transferred to the reporting officer for retention and 
reporting in the normal manner.
    (3) In the event the narrative block (similar to Form FRA F 6180.98, 
block 39) indicates that the case is not reportable, the explanation 
contained on that block shall record the reasons the railroad determined 
that the case is not reportable, making reference to the most 
authoritative information relied upon.
    (4) Although the Form FRA F 6180.107 may not include all supporting 
documentation, such as medical records, the Form FRA F 6180.107 shall 
note the name, title, and address of the custodian of those documents 
and where the supporting documents are located so that they are readily 
accessible to FRA upon request.

[39 FR 43224, Dec. 11, 1974, as amended at 42 FR 1221, Jan. 6, 1977; 49 
FR 48939, Dec. 17, 1984; 55 FR 37828, Sept. 13, 1990; 61 FR 30969, 
30973, June 18, 1996; 68 FR 10138, Mar. 3, 2003]

Sec. 225.23  Joint operations.

    (a) Any reportable death, injury, or illness of an employee arising 
from an accident/incident involving joint operations must be reported on 
Form FRA F 6180.55a by the employing railroad.
    (b) In all cases involving joint operations, each railroad must 
report on Form FRA F 6180.55a the casualties to all persons on its train 
or other on-track equipment. Casualties to railroad employees must be 
reported by the employing railroad regardless of whether the employees 
were on or off duty. Casualties to all other persons not on trains or 
on-track equipment must be reported on Form FRA F 6180.55a by the 
railroad whose train or equipment is involved. Any person found 
unconscious or dead, if such condition arose

[[Page 280]]

from the operation of a railroad, on or adjacent to the premises or 
right-of-way of the railroad having track maintenance responsibility 
must be reported by that railroad on Form FRA F 6180.55a.
    (c) In rail equipment accident/incident cases involving joint 
operations, the railroad responsible for carrying out repairs to, and 
maintenance of, the track on which the accident/incident occurred, and 
any other railroad directly involved in the accident/incident, each must 
report the accident/incident on Form FRA F 6180.54.

[39 FR 43224, Dec. 11, 1974, as amended at 42 FR 1221, Jan. 6, 1977; 68 
FR 10138, Mar. 3, 2003]

Sec. 225.25  Recordkeeping.

    (a) Each railroad shall maintain either the Railroad Employee Injury 
and/or Illness Record (Form FRA F 6180.98) or an alternative railroad-
designed record as described in paragraph (b) of this section of all 
reportable and accountable injuries and illnesses of its employees that 
arise from the operation of the railroad for each railroad establishment 
where such employees report to work, including, but not limited to, an 
operating division, general office, and major installation such as a 
locomotive or car repair or construction facility.
    (b) The alternative railroad-designed record may be used in lieu of 
the Railroad Employee Injury and/or Illness Record (Form FRA F 6180.98) 
described in paragraph (a) of this section. Any such alternative record 
shall contain all of the information required on the Railroad Employee 
Injury and/or Illness Record. Although this information may be displayed 
in a different order from that on the Railroad Employee Injury and/or 
Illness Record, the order of the information shall be consistent from 
one such record to another such record. The order chosen by the railroad 
shall be consistent for each of the railroad''s reporting 
establishments. Railroads may list additional information on the 
alternative record beyond the information required on the Railroad 
Employee Injury and/or Illness Record. The alternative record shall 
contain, at a minimum, the following information:
    (1) Name of railroad;
    (2) Case/incident number;
    (3) Full name of railroad employee;
    (4) Date of birth of railroad employee;
    (5) Gender of railroad employee;
    (6) Employee identification number or, in the alternative, Social 
Security Number of railroad employee;
    (7) Date the railroad employee was hired;
    (8) Home address of railroad employee; include the street address, 
city, State, ZIP code, and home telephone number with area code;
    (9) Name of facility where railroad employee normally reports to 
work;
    (10) Address of facility where railroad employee normally reports to 
work; include the street address, city, State, and ZIP code;
    (11) Job title of railroad employee;
    (12) Department assigned;
    (13) Specific site where accident/incident/exposure occurred; 
include the city, county, State, and ZIP code;
    (14) Date and time of occurrence; military time or AM/PM;
    (15) Time employee's shift began; military time or AM/PM;
    (16) Whether employee was on premises when injury, illness, or 
condition occurred;
    (17) Whether employee was on or off duty;
    (18) Date and time when employee notified company personnel of 
condition; military time or AM/PM;
    (19) Name and title of railroad official notified;
    (20) Description of the general activity this employee was engaged 
in prior to the injury/illness/condition;
    (21) Description of all factors associated with the case that are 
pertinent to an understanding of how it occurred. Include a discussion 
of the sequence of events leading up to it; and the tools, machinery, 
processes, material, environmental conditions, etc., involved;
    (22) Description, in detail, of the injury/illness/condition that 
the employee sustained, including the body parts affected. If a 
recurrence, list the date of the last occurrence;
    (23) Identification of all persons and organizations used to 
evaluate or treat the condition, or both. Include the facility, provider 
and complete address;

[[Page 281]]

    (24) Description of all procedures, medications, therapy, etc., used 
or recommended for the treatment of the condition.
    (25) Extent and outcome of injury or illness to show the following 
as applicable:
    (i) Fatality--enter date of death;
    (ii) Restricted work; number of days; beginning date;
    (iii) Occupational illness; date of initial diagnosis;
    (iv) Instructions to obtain prescription medication, or receipt of 
prescription medication;
    (v) If one or more days away from work, provide the number of days 
away and the beginning date;
    (vi) Medical treatment beyond ``first aid'';
    (vii) Hospitalization for treatment as an inpatient;
    (viii) Multiple treatments or therapy sessions;
    (ix) Loss of consciousness;
    (x) Transfer to another job or termination of employment;
    (xi) Significant injury or illness of a railroad employee;
    (xii) Needlestick or sharps injury to a railroad employee, medical 
removal of a railroad employee, occupational hearing loss of a railroad 
employee, occupational tuberculosis of a railroad employee, or 
musculoskeletal disorder of a railroad employee which musculoskeletal 
disorder is reportable under one or more of the general reporting 
criteria.
    (26) Each railroad shall indicate if the Railroad Injury and Illness 
Summary (Continuation Sheet) (FRA Form F 6180.55a) has been filed with 
FRA for the injury or illness. If FRA Form F 6180.55a was not filed with 
FRA, then the railroad shall provide an explanation of the basis for its 
decision.
    (27) The reporting railroad shall indicate if the injured or ill 
railroad employee was provided an opportunity to review his or her file; 
and
    (28) The reporting railroad shall identify the preparer's name; 
title; telephone number with area code; and the date the log entry was 
completed.
    (c) Each railroad shall provide the employee, upon request, a copy 
of either the completed Railroad Employee Injury and/or Illness Record 
(Form FRA F 6180.98) or the alternative railroad-designed record as 
described in paragraphs (a) and (b) of this section as well as a copy of 
forms or reports required to be maintained or filed under this part 
pertaining to that employee's own work-related injury or illness.
    (d) Each railroad shall maintain the Initial Rail Equipment 
Accident/Incident Record (Form FRA F 6180.97) or an alternative 
railroad-designed record as described in paragraph (e) of this section 
of reportable and accountable collisions, derailments, fires, 
explosions, acts of God, or other events involving the operation of 
railroad on-track equipment, signals, track, or track equipment 
(standing or moving) that result in damages to railroad on-track 
equipment, signals, tracks, track structures, or roadbed, including 
labor costs and all other costs for repairs or replacement in kind for 
each railroad establishment where workers report to work, including, but 
not limited to, an operating division, general office, and major 
installation such as a locomotive or car repair or construction 
facility.
    (e) The alternative railroad-designed record may be used in lieu of 
the Initial Rail Equipment Accident/Incident Record (Form FRA F 
6180.97). Any such alternative record shall contain all of the 
information required on the Initial Rail Equipment Accident/Incident 
Record. Although this information may be displayed in a different order 
from that on the Initial Rail Equipment Accident/Incident Record, the 
order of the information shall be consistent from one such record to 
another such record. The order chosen by the railroad shall be 
consistent for each of the railroad's reporting establishments. 
Railroads may list additional information in the alternative record 
beyond the information required on the Initial Rail Equipment Accident/
Incident Record. The alternative record shall contain, at a minimum, the 
following information:
    (1) Date and time of accident;
    (2) Reporting railroad, and accident/incident number;
    (3) Other railroad, if applicable, and other railroad's accident/
incident number;

[[Page 282]]

    (4) Railroad responsible for track maintenance, and that railroad's 
incident number;
    (5) Type of accident/incident (derailment, collision, etc.);
    (6) Number of cars carrying hazardous materials that derailed or 
were damaged; and number of cars carrying hazardous materials that 
released product;
    (7) Division;
    (8) County and nearest city or town;
    (9) State;
    (10) Milepost (to the nearest tenth);
    (11) Specific site;
    (12) Speed (indicate if actual or estimate);
    (13) Train number or job number;
    (14) Type of equipment (freight, passenger, yard switching, etc.);
    (15) Type of track (main, yard, siding, industry);
    (16) Total number of locomotives in train;
    (17) Total number of locomotives that derailed;
    (18) Total number of cars in train;
    (19) Total number of cars that derailed;
    (20) Total amount of damage in dollars to equipment based on 
computations as described in the ``FRA Guide for Preparing Accidents/
Incidents Reports'';
    (21) Total amount of damage in dollars to track, signal, way and 
structures based on computations as described in the ``FRA Guide for 
Preparing Accidents/Incidents Reports'';
    (22) Primary cause;
    (23) Contributing cause;
    (24) Persons injured, persons killed, and employees with an 
occupational illness, broken down into the following classifications: 
worker on duty--employee; employee not on duty; passenger on train; 
nontrespasser--on railroad property; trespasser; worker on duty--
contractor; contractor--other; worker on duty--volunteer; volunteer--
other; and nontrespasser-off railroad property;
    (25) Narrative description of the accident;
    (26) Whether the accident/incident was reported to FRA;
    (27) Preparer's name, title, telephone number with area code, and 
signature; and
    (28) Date the report was completed.
    (f) Each railroad shall enter each reportable and accountable injury 
and illness and each reportable and accountable rail equipment accident/
incident on the appropriate record, as required by paragraphs (a) 
through (e) of this section, as early as practicable but no later than 
seven working days after receiving information or acquiring knowledge 
that an injury or illness or rail equipment accident/incident has 
occurred.
    (g) The records required under paragraphs (a) through (e) of this 
section may be maintained at the local establishment or, alternatively, 
at a centralized location. If the records are maintained at a 
centralized location, but not through electronic means, then a paper 
copy of the records that is current within 35 days of the month to which 
it applies shall be available for that establishment. If the records are 
maintained at a centralized location through electronic means, then the 
records for that establishment shall be available for review in a hard 
copy format within four business hours of FRA's request. FRA recognizes 
that circumstances outside the railroad's control may preclude it from 
fulfilling the four-business-hour time limit. In these circumstances, 
FRA will not assess a monetary penalty against the railroad for its 
failure to provide the requested documentation provided the railroad 
made a reasonable effort to correct the problem.
    (h) Except as provided in paragraph(h)(15) of this section, a 
listing of all injuries and occupational illnesses reported to FRA as 
having occurred at an establishment shall be posted in a conspicuous 
location at that establishment, within 30 days after the expiration of 
the month during which the injuries and illnesses occurred, if the 
establishment has been in continual operation for a minimum of 90 
calendar days. If the establishment has not been in continual operation 
for a minimum of 90 calendar days, the listing of all injuries and 
occupational illnesses reported to FRA as having occurred at the 
establishment shall be posted, within 30 days after the expiration of 
the month during which the injuries and illnesses occurred, in a 
conspicuous

[[Page 283]]

location at the next higher organizational level establishment, such as 
one of the following: an operating division headquarters; a major 
classification yard or terminal headquarters; a major equipment 
maintenance or repair installation, e.g., a locomotive or rail car 
repair or construction facility; a railroad signal and maintenance-of-
way division headquarters; or a central location where track or signal 
maintenance employees are assigned as a headquarters or receive work 
assignments. These examples include facilities that are generally major 
facilities of a permanent nature where the railroad generally posts or 
disseminates company informational notices and policies, e.g., the 
policy statement in the internal control plan required by Sec. 225.33 
concerning harassment and intimidation. At a minimum, ``establishment'' 
posting is required and shall include locations where a railroad 
reasonably expects its employees to report during a 12-month period and 
to have the opportunity to observe the posted list containing any 
reportable injuries or illnesses they have suffered during the 
applicable period. This listing shall be posted and shall remain 
continuously displayed for the next twelve consecutive months. Incidents 
reported for employees at that establishment shall be displayed in date 
sequence. The listing shall contain, at a minimum, the information 
specified in paragraphs (h)(1) through (14) of this section.
    (1) Name and address of the establishment;
    (2) Calendar year of the cases being displayed;
    (3) Incident number used to report case;
    (4) Date of the injury or illness;
    (5) Location of incident;
    (6) Regular job title of employee injured or ill;
    (7) Description of the injury or condition;
    (8) Number of days employee absent from work at time of posting;
    (9) Number of days of work restriction for employee at time of 
posting;
    (10) If fatality--enter date of death;
    (11) Annual average number of railroad employees reporting to this 
establishment;
    (12) Preparer's name, title, telephone number with area code, and 
signature (or, in lieu of signing each establishment's list of 
reportable injuries and illnesses, the railroad's preparer of this 
monthly list may sign a cover sheet or memorandum which contains a list 
of each railroad establishment for which a monthly list of reportable 
injuries and illnesses has been prepared. This cover memorandum shall be 
signed by the preparer and shall have attached to it a duplicate copy of 
each establishment's list of monthly reportable injuries and illnesses. 
The preparer of the monthly lists of reportable injuries and illnesses 
shall mail or send by facsimile each establishment's list to the 
establishment in the time frame prescribed in paragraph (h) of this 
section.); and
    (13) Date the record was completed.
    (14) When there are no reportable injuries or occupational illnesses 
associated with an establishment for that month, the listing shall make 
reference to this fact.
    (15) The railroad is permitted not to post information on an 
occupational injury or illness that is a privacy concern case.
    (i) Claimed Occupational Illnesses. (1) Each railroad shall maintain 
either the Form FRA F 6180.107, to the extent that the information is 
reasonably available, or an alternate railroad-designed record 
containing the same information as called for on the Form FRA F 
6180.107, to the extent that the information is reasonably available, 
for each illness claimed to be work-related--
    (i) For which there is insufficient information to determine whether 
the illness is work-related;
    (ii) For which the railroad has made a preliminary determination 
that the illness is not work-related; or
    (iii) For which the railroad has made a final determination that the 
illness is not work-related.
    (2) For any case determined to be reportable, the designation 
``illness claimed to be work-related'' shall be removed, and the record 
shall be transferred to the reporting officer for retention and 
reporting in the normal manner.

[[Page 284]]

    (3) In the event the narrative block (similar to Form FRA F 6180.98, 
block 39) indicates that the case is not reportable, the explanation 
contained on that block shall record the reasons the railroad determined 
that the case is not reportable, making reference to the most 
authoritative information relied upon.
    (4) In the event the railroad must amend the record with new or 
additional information, the railroad shall have up until December 1 of 
the next calendar year for reporting accidents/incidents to make the 
update.
    (5) Although the Alternative Record for Illnesses Claimed to be 
Work-Related (or the alternate railroad-designed form) may not include 
all supporting documentation, such as medical records, the alternative 
record shall note the custodian of those documents and where the 
supporting documents are located so that they are readily accessible to 
FRA upon request.

[61 FR 30970, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996; 
61 FR 67491, Dec. 23, 1996; 68 FR 10139, Mar. 3, 2003]

Sec. 225.27  Retention of records.

    (a) Each railroad shall retain the Railroad Employee Injury and/or 
Illness Record and the Monthly List of Injuries and Illnesses required 
by Sec. 225.25 for at least five years after the end of the calendar 
year to which they relate. Each railroad shall retain the Initial Rail 
Equipment Accident/Incident Record required by Sec. 225.25 for at least 
two years after the end of the calendar year to which it relates. Each 
railroad must retain the Employee Human Factor Attachments required by 
Sec. 225.12, the written notices to employees required by Sec. 225.12, 
and the Employee Statements Supplementing Railroad Accident Reports 
described in Sec. 225.12(g) that have been received by the railroad for 
at least 2 years after the end of the calendar year to which they 
relate.
    (b) Each railroad must retain a duplicate of each form it submits to 
FRA under Sec. 225.21, for at least 2 years after the calendar year to 
which it relates.

[39 FR 43224, Dec. 11, 1974, as amended at 55 FR 37828, Sept. 13, 1990; 
61 FR 30971, June 18, 1996; 61 FR 67491, Dec. 23, 1996]

Sec. 225.29  Penalties.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A to this part for a 
statement of agency civil penalty policy. A person may also be subject 
to the criminal penalties provided for in 49 U.S.C. 21311.

[53 FR 28601, July 28, 1988, as amended at 53 FR 52931, Dec. 29, 1988; 
61 FR 30971, June 18, 1996; 63 FR 11622, Mar. 10, 1998]

Sec. 225.31  Investigations.

    (a) It is the policy of the FRA to investigate rail transportation 
accidents/incidents which result in the death of a railroad employee or 
the injury of five or more persons. Other accidents/incidents are 
investigated when it appears that an investigation would substantially 
serve to promote railroad safety.
    (b) FRA representatives are authorized to investigate accidents/
incidents and have been issued credentials authorizing them to inspect 
railroad records and properties. They are authorized to obtain all 
relevant information concerning accidents/incidents under investigation, 
to make inquiries of persons having knowledge of the facts, conduct 
interviews and inquiries, and attend as an observer, hearings conducted 
by railroads. When necessary to carry out an investigation,

[[Page 285]]

the FRA may authorize the issuance of subpoenas to require the 
production of records and the giving of testimony.
    (c) Whenever necessary, the FRA will schedule a public hearing 
before an authorized hearing officer, in which event testimony will be 
taken under oath, a record made, and opportunity provided to question 
witnesses.
    (d) When necessary in the conduct of an investigation, the Federal 
Railroad Administrator may require autopsies and other tests of the 
remains of railroad employees who die as a result of an accident/
incident.
    (e) Information obtained through FRA accident investigations may be 
published in public reports or used for other purposes FRA deems to be 
appropriate.
    (f) Section 20903 of title 49 of the United States Code provides 
that no part of a report of an accident investigation under section 
20902 of title 49 of the United States Code may be admitted as evidence 
or used for any purpose in any suit or action for damages growing out of 
any matter mentioned in the accident investigation report.

[39 FR 43224, Dec. 11, 1974, as amended at 61 FR 30971, June 18, 1996]

Sec. 225.33  Internal Control Plans.

    (a) Each railroad shall adopt and comply with a written Internal 
Control Plan that shall be maintained at the office where the railroad's 
reporting officer conducts his or her official business. Each railroad 
shall amend its Internal Control Plan, as necessary, to reflect any 
significant changes to the railroad's internal reporting procedures. The 
Internal Control Plan shall be designed to maintain absolute accuracy 
and shall include, at a minimum, each of the following components:
    (1) A policy statement declaring the railroad's commitment to 
complete and accurate reporting of all accidents, incidents, injuries, 
and occupational illnesses arising from the operation of the railroad, 
to full compliance with the letter and spirit of FRA's accident 
reporting regulations, and to the principle, in absolute terms, that 
harassment or intimidation of any person that is calculated to 
discourage or prevent such person from receiving proper medical 
treatment or from reporting such accident, incident, injury or illness 
will not be permitted or tolerated and will result in some stated 
disciplinary action against any employee, supervisor, manager, or 
officer of the railroad committing such harassment or intimidation.
    (2) The dissemination of the policy statement; complaint procedures. 
Each railroad shall provide to all employees, supervisory personnel, and 
management the policy statement described in paragraph (a)(1). Each 
railroad shall have procedures to process complaints from any person 
about the policy stated in paragraph (a)(1) being violated, and to 
impose the appropriate prescribed disciplinary actions on each employee, 
supervisor, manager, or officer of the railroad found to have violated 
the policy. These procedures shall be disclosed to railroad employees, 
supervisors, managers, and officers. The railroad shall provide 
``whistle blower'' protection to any person subject to this policy, and 
such policy shall be disclosed to all railroad employees, supervisors 
and management.
    (3) Copies of internal forms and/or a description of the internal 
computer reporting system used for the collection and internal recording 
of accident and incident information.
    (4) A description of the internal procedures used by the railroad 
for the processing of forms and/or computerized data regarding accident 
and incident information.
    (5) A description of the internal review procedures applicable to 
accident and incident information collected, and reports prepared by, 
the railroad's safety, claims, medical and/or other departments engaged 
in collecting and reporting accident and incident information.
    (6) A description of the internal procedures used for collecting 
cost data and compiling costs with respect to accident and incident 
information.
    (7) A description of applicable internal procedures for ensuring 
adequate communication between the railroad department responsible for 
submitting accident and incident reports to FRA and any other department 
within the railroad responsible for collecting, receiving, processing 
and reporting accidents and incidents.

[[Page 286]]

    (8) A statement of applicable procedures providing for the updating 
of accident and incident information prior to reporting to FRA and a 
statement of applicable procedures providing for the amendment of 
accident and incident information as specified in the ``FRA Guide for 
Preparing Accidents/Incidents Reports.''
    (9) A statement that specifies the name and title of the railroad 
officer responsible for auditing the performance of the reporting 
function; a statement of the frequency (not less than once per calendar 
year) with which audits are conducted; and identification of the site 
where the most recent audit report may be found for inspection and 
photocopying.
    (10)(i) A brief description of the railroad organization, including 
identification of:
    (A) All components that regularly come into possession of 
information pertinent to the preparation of reports under this part 
(e.g., medical, claims, and legal departments; operating, mechanical, 
and track and structures departments; payroll, accounting, and personnel 
departments);
    (B) The title of each railroad reporting officer;
    (C) The title of each manager of such components, by component; and
    (D) All officers to whom managers of such components are 
responsible, by component.
    (ii) A current organization chart satisfies paragraphs (a)(10)(i) 
(B), (C), and (D) of this section.
    (11) In the case of the Form FRA F 6180.107 or the alternate 
railroad-designed form, a statement that specifies the name, title, and 
address of the custodian of these records, all supporting documentation, 
such as medical records, and where the documents are located.
    (b) [Reserved]

[61 FR 30972, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996; 
61 FR 67491, Dec. 23, 1996; 68 FR 10139, Mar. 3, 2003]

Sec. 225.35  Access to records and reports.

    (a) Each railroad subject to this part shall have at least one 
location, and shall identify each location, where any representative of 
the Federal Railroad Administration or of a State agency participating 
in investigative and surveillance activities under part 212 of this 
chapter or any other authorized representative, has centralized access 
to a copy of any record and report required under this part, for 
examination and photocopying in a reasonable manner during normal 
business hours.
    (b) Each railroad subject to this part shall also provide to any 
representative of the Federal Railroad Administration or of a State 
agency participating in investigative or and surveillance activities 
under part 212 of this chapter or any other authorized representative 
access to relevant medical and claims records for examination and 
photocopying in a reasonable manner during normal business hours. Such 
representatives shall display proper credentials when requested. Each 
railroad shall identify the locations where a copy of any record and 
report required under this part is accessible for inspection and 
photocopying by maintaining a list of such establishment locations at 
the office where the railroad's reporting officer conducts his or her 
official business. A copy of any record and report required under this 
part shall be accessible within four business hours after the request. 
The Form FRA F 6180.107 or the alternate railroad-designed form need not 
be provided at any railroad establishment within 4 hours of a request. 
Rather, the Form FRA F 6180.107 or the alternate railroad-designed form 
must be provided upon request, within five business days, and may be 
kept at a central location, in either paper or electronic format. FRA 
will not assess a monetary penalty against the railroad for its failure 
to provide the requested documentation when circumstances outside the 
railroad's control preclude it from fulfilling the four-business-hour 
time limit and the railroad has made a reasonable effort to correct the 
problem. Should a railroad assert a legal privilege with respect to 
certain claims and medical records, failure to provide FRA access to 
such records would not constitute a violation of this section. FRA 
retains the right to issue a subpoena to obtain such records under 49 
U.S.C. Secs. 20107 and 20902 and Secs. 209.7(a)

[[Page 287]]

and 225.31(b) of this title, and the railroad may contest that subpoena.

[61 FR 30972, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996; 
68 FR 10139, Mar. 3, 2003]

Sec. 225.37  Magnetic media transfer and electronic submission.

    (a) A railroad has the option of submitting the following reports, 
updates, and amendments by way of magnetic media (computer diskette or 
magnetic tape), or by means of electronic submission over telephone 
lines or other means:
    (1) The Rail Equipment Accident/Incident Report (Form FRA F 
6180.54);
    (2) the Railroad Injury and Illness Summary (Form FRA F 6180.55);
    (3) the Railroad Injury and Illness Summary (Continuation Sheet) 
(Form FRA F 6180.55a);
    (4) the Highway-Rail Grade Crossing Accident/Incident Report (Form 
FRA F 6180.57); and
    (5) the Batch Control Form (Form FRA F 6180.99).
    (b) Each railroad utilizing the magnetic media option shall submit 
to FRA the following:
    (1) the computer diskette or magnetic tape;
    (2) the Batch Control Form (Form FRA F 6180.99); and
    (3) a notarized hard copy of the Railroad Injury and Illness Summary 
(Form FRA F 6180.55), signed by the railroad's reporting officer.
    (c) Each railroad utilizing the electronic submission option shall 
submit to FRA the following:
    (1) the Batch Control Form (Form FRA F 6180.99) which is submitted 
to an FRA-designated computer; and
    (2) a notarized hard copy of the Railroad Injury and Illness Summary 
(Form FRA F 6180.55), signed by the railroad's reporting officer.
    (d) Each railroad employing either the magnetic media or electronic 
submission option, shall submit its monthly reporting data for the 
reports identified in paragraph (a) of this section in a year-to-date 
file format as described in the ``FRA Guide for Preparing Accidents/
Incidents Reports.''
    (e) In addition to fulfilling the requirements stated in paragraph 
(b) through (d) of this section, each railroad initially utilizing 
either the magnetic media or electronic submission option, shall submit 
the hard copy report(s) for each accident/incident it reports by such 
means. FRA will continually review the railroad``s submitted hard copy 
reports against the data it has submitted electronically, or by means of 
magnetic media. Once the magnetic media or electronic submission is in 
total agreement with the submitted hard copies of the reports for three 
consecutive reporting months, FRA will notify the railroad, in writing, 
that submission of the hard copy reports, except for the notarized 
Railroad Injury and Illness Summary, is no longer required.

[61 FR 30972, June 18, 1996]

Sec. 225.39  FRA policy on covered data.

    FRA will not include covered data (as defined in Sec. 225.5) in its 
periodic summaries of data on the number of occupational injuries and 
illnesses.

[68 FR 10139, Mar. 3, 2003]

[[Page 288]]

         Appendix A to Part 225--Schedule of Civil Penalties \1\

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

    \1\ A penalty may be assessed against an individual only for a 
willful violation. The Administrator reserves the right to assess a 
penalty of up to $22,000 for any violation where circumstances warrant. 
See 49 CFR part 209, appendix A. A failure to comply with Sec. 225.23 
constitutes a violation of Sec. 225.11. For purposes of Secs. 225.25 and 
225.27 of this part, each of the following constitutes a single act of 
noncompliance: (1) a missing or incomplete log entry for a particular 
employee's injury or illness; or (2) a missing or incomplete log record 
for a particular rail equipment accident or incident. Each day a 
violation continues is a separate offense.

------------------------------------------------------------------------
     Section (including computer code, if                      Willful
                  applicable)                    Violation    violation
------------------------------------------------------------------------
225.9 Telephonic reports of certain accidents/       $1,000       $2,000
 incidents....................................
225.11 Reports of accidents/ incidents........        2,500        5,000
225.12(a):
    Failure to file Railroad Employee Human
     Factor Attachment properly...............
        (1) Employee identified...............        2,500        5,000
        (2) No employee identified............        1,000        2,000
225.12(b):
    (1) Failure to notify employee properly...        2,500        5,000
    (2) Notification of employee not involved         2,500        5,000
     in accident..............................
225.12(c):
    Failure of employing railroad to provide          1,000        2,000
     requested information properly...........
225.12(d):
    (1) Failure to revise report when identity        2,500        5,000
     becomes known............................
    (2) Failure to notify after late                  2,500        5,000
     identification...........................
225.12(f)(1):
    Submission of notice if employee dies as          2,500        5,000
     result of the reported accident..........
225.12(g):
    Willfully false accident statement by       ...........        5,000
     employee.................................
    225.13 Late reports.......................        2,500        5,000
    225.17(d) Alcohol or drug involvement.....        2,500        5,000
    225.23 Joint operations...................        (\1\)        (\1\)
    225.25 Recordkeeping......................        2,500        5,000
    225.27 Retention of records...............        1,000        2,000
    225.33:
        (1) Failure to adopt the Internal             2,500        5,000
         Control Plan.........................
        (2) Inaccurate reporting due to               2,500        5,000
         failure to comply with the Internal
         Control Plan.........................
        (3) Failure to comply with the                2,500        5,000
         intimidation/harassment policy in the
         Internal Control Plan................
    225.35 Access to records and reports......        2,500        5,000
------------------------------------------------------------------------


[61 FR 30973, June 18, 1996, as amended at 63 FR 11622, Mar. 10, 1998]

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

    1. Data from the U.S. Department of Labor, Bureau of Labor 
Statistics (BLS), LABSTAT Series Reports are used in the calculation. 
The equation used to adjust the reporting threshold uses the average 
hourly earnings reported for Class I railroads and Amtrak and an overall 
railroad equipment cost index determined by the BLS. The two factors are 
weighted equally.
    2. For the wage component, LABSTAT Series Report, Standard 
Industrial Classification (SIC) code 4011 for Class I Railroad Average 
Hourly Earnings is used.
    3. For the equipment component, LABSTAT Series Report, Producer 
Price Index (PPI) Series WPU 144 for Railroad Equipment is used.
    4. In the month of October, final data covering the 12-month period 
ending with the month of June are obtained from BLS. The 12 monthly 
figures are totaled and divided by 12 to produce monthly averages to be 
used in computing the projected annual (12-month) average for the next 
calendar year.
    5. The wage data are reported in terms of dollars earned per hour, 
while the equipment cost data are indexed to a base year of 1982.
    6. The procedure for adjusting the reporting threshold is shown in 
the formula below. The wage component appears as a fractional change 
relative to the prior year, while the equipment component is a 
difference of two percentages which must be divided by 100 to present it 
in a consistent fractional form. After performing the calculation, the 
result is rounded to the nearest $100.
    7. The current weightings represent the general assumption that 
damage repair costs, at levels at or near the threshold, are split 
approximately evenly between labor and materials.
    8. Formula:

[[Page 289]]

[GRAPHIC] [TIFF OMITTED] TR26DE01.152

Where:

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

    9. The result of these calculations is $6,682.254777. Since the 
result is rounded to the nearest $100, the reporting threshold for rail 
equipment accidents/incidents that occur during calendar year 2002 is 
$6,700.
    10. In the absence of data necessary to compute the reporting 
threshold for calendar year 2003 according to the procedure described in 
paragraphs 1-9 of this appendix B, the calendar year 2002 threshold of 
$6,700 remains in effect for calendar year 2003 and, until further 
notice, for all subsequent years.

[62 FR 63676, Dec. 2, 1997, as amended at 63 FR 71791, Dec. 30, 1998; 64 
FR 69195, Dec. 10, 1999; 65 FR 69886, Nov. 21, 2000; 66 FR 66348, Dec. 
26, 2001; 67 FR 79536, Dec. 30, 2002]




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