[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: 49CFR225.37] [Page 273-275] TITLE 49--TRANSPORTATION CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION PART 225--RAILROAD ACCIDENTS/INCIDENTS: REPORTS CLASSIFICATION, AND INVESTIGATIONS--Table of Contents Sec. 225.37 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); [[Page 274]] (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] 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........................... [[Page 275]] 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: [GRAPHIC] [TIFF OMITTED] TR26DE01.152 Where: Prior Threshold = $6,600 (for rail equipment accidents/incidents that occur during calendar year 2001); Wn = New average hourly wage rate ($) = 18.188333; Wp = Prior average hourly wage rate ($) = 17.763333; En = New equipment average PPI value ($) =135.733333; Ep = Prior equipment average PPI value ($) = 135.633333. 9. The result of these calculations is $6,682.254777. Since the result is rounded to the nearest $100, the new reporting threshold for rail equipment accidents/incidents that occur during calendar year 2002 is $6,700, which represents an $100 increase from the monetary threshold for calendar years 1998 through 2001. [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] [[Page 276]]