[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR225.33]

[Page 272-273]
 
                        TITLE 49--TRANSPORTATION
 
       CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF 
                             TRANSPORTATION
 
PART 225--RAILROAD ACCIDENTS/INCIDENTS: REPORTS CLASSIFICATION, AND INVESTIGATIONS--Table of Contents
 
Sec. 225.33  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.
    (8) A statement of applicable procedures providing for the updating 
of accident and incident information prior

[[Page 273]]

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.
    (b) [Reserved]

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