[Code of Federal Regulations]

[Title 49, Volume 4]

[Revised as of October 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 49CFR225.33]



[Page 362-363]

 

                        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.



[[Page 363]]



    (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]