[Code of Federal Regulations] [Title 49, Volume 4] [Revised as of October 1, 2007] From the U.S. Government Printing Office via GPO Access [CITE: 49CFR225.39] [Page 383-385] TITLE 49--TRANSPORTATION CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION PART 225_RAILROAD ACCIDENTS/INCIDENTS: REPORTS CLASSIFICATION, AND 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 384]] 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 $27,000 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 Sec. Sec. 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; 69 FR 30594, May 28, 2004] Appendix B to Part 225--Procedure for Determining Reporting Threshold 1. Wage data used in the calculation are collected from railroads by the Surface Transportation Board (STB) on Form A--STB Wage Statistics. Rail equipment 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 has two components: (a) The average hourly earnings of certain railroad maintenance employees as reported to the STB by the Class I railroads and Amtrak; and (b) an overall rail equipment cost index determined by the BLS. The wage component is weighted by 40% and the equipment component by 60%. 2. For the wage component, the average of the data from Form A--STB Wage Statistics for Group No. 300 (Maintenance of Way and Structures) and Group No. 400 (Maintenance of Equipment and Stores) employees 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, second-quarter wage data are obtained from the STB. For equipment costs, the corresponding BLS railroad equipment indices for the second quarter are obtained. As the equipment index is reported monthly rather than quarterly, the average for the months of April, May and June is used for the threshold calculation. 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 [[Page 385]] 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 $100. 7. The weightings result from using STB wage data and BLS equipment cost data to produce a reasonable estimation of the reporting threshold that was calculated using the threshold formula in effect immediately before calendar year 2006, a formula that assumed damage repair costs, at levels at or near the threshold, were split approximately evenly between labor and materials. 8. Formula: New Threshold = Prior Threshold x [1 + 0.4(Wnew--Wprior)/Wprior + 0.6(Enew - Eprior)/100] Where: Wnew = New average hourly wage rate ($). Wprior = Prior average hourly wage rate ($). Enew = New equipment average PPI value. Eprior = Prior equipment average PPI value. [70 FR 75417, Dec. 20, 2005]