Orami01/Test3 · Datasets at Hugging Face

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(a)
(1) Five-year retention period. Each railroad shall retain the following forms for at least five years after the
end of the calendar year to which they relate:
(i) Form FRA F 6180.98, “Railroad Employee Injury and/or Illness Record;”
(ii) Form FRA F 6180.107, “Alternative Record for Illnesses Claimed to be Work-Related;”
(iii) Monthly List of Injuries and Illnesses required by § 225.25; and
(iv) Form FRA F 6180.150, “Highway User Injury Inquiry Form.”
(2) Two-year retention period. Each railroad shall retain the following forms for at least two years after the
end of the calendar year to which they relate:
(i) Form FRA F 6180.97, “Initial Rail Equipment Accident/Incident Record,” required by § 225.25;
(ii) The Employee Human Factor Attachments (Form FRA F 6180.81, “Employee Human Factor
Attachment”) required by § 225.12, that have been received by the railroad;
(iii) The written notices to employees required by § 225.12 (Part I 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”), that
have been received by the railroad; and
(iv) The Employee Statements Supplementing Railroad Accident Reports described in § 225.12(g)
(Part II 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”), that have been received by the railroad.
(b) Each railroad must retain a duplicate of each form it submits to FRA under § 225.21, for at least 2 years after
the calendar year to which it relates.
(c) Each railroad must retain the original hard copy of each completed and signed Form FRA F 6180.55 that the
railroad submits to FRA on optical media (CD-ROM) or electronically via the Internet to [email protected]
for at least five years after the calendar year to which it relates. If the railroad opts to submit the report to FRA
electronically via the Internet, the railroad must also retain a hard copy print out of FRA’s electronic notice
22
acknowledging receipt of the railroad’s submission for a period of at least five years after the calendar year to
which the report acknowledged relates.

(d) Railroads may retain accident/incident records as required by paragraphs (a) and (b) of this section in hard copy
format or in electronic format. After October 31, 2011, accident/incident records, retained by railroads as required
by paragraphs (a) and (b) of this section, in hard copy format or electronic format are subject to the following
system requirements:
(1) Design Requirements. Any electronic record keeping system used to retain a record required to be
retained by this part shall meet the following design parameters:
(i) The electronic record system shall be designed such that the integrity of each record is retained
through appropriate levels of security such as recognition of an electronic signature, or other
means, which uniquely identify the initiating person as the author of that record. No two persons
shall have the same electronic identity;
(ii) The electronic system shall ensure that each record cannot be modified, or replaced, once the
record is submitted to FRA;
(iii) Any amendment to a record shall be electronically stored apart from the record which it
amends. Each amendment to a record shall uniquely identify the person making the amendment
and the date the amendment was made;
(iv) The electronic system shall provide for the maintenance of reports as originally submitted to
FRA without corruption or loss of data; and
(v) Policies and procedures must be in place to prevent persons from altering electronic records, or
otherwise interfering with the electronic system.
(2) Accessibility and availability. Any electronic record system used to create, maintain, or transfer a
record required to be maintained by this part shall meet the following access and availability parameters:
(i) Paper copies of electronic records and amendments to those records that may be necessary to
document compliance with this part shall be provided to any representative of the FRA or of a State
agency participating in investigative and/or surveillance activities under part 212 of this chapter or
any other authorized representative for inspection and photocopying upon request in accordance
with § 225.35; and
(ii) Paper copies provided to FRA or of a State agency participating in investigative and/or
surveillance activities under part 212 of this chapter or any other authorized representative shall be
produced in a readable text format and all data shall be identified by narrative descriptions (e.g.,
“accident/incident number,” “number of days away from work,” “date of occurrence,” etc.).
§ 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 $650 and not more
than $25,000 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 $27,000 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.
§ 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.
23
(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, 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.
§ 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

(a)

(1) Five-year retention period. Each railroad shall retain the following forms for at least five years after the

end of the calendar year to which they relate:

(i) Form FRA F 6180.98, “Railroad Employee Injury and/or Illness Record;”

(ii) Form FRA F 6180.107, “Alternative Record for Illnesses Claimed to be Work-Related;”

(iii) Monthly List of Injuries and Illnesses required by § 225.25; and

(iv) Form FRA F 6180.150, “Highway User Injury Inquiry Form.”

(2) Two-year retention period. Each railroad shall retain the following forms for at least two years after the

end of the calendar year to which they relate:

(i) Form FRA F 6180.97, “Initial Rail Equipment Accident/Incident Record,” required by § 225.25;

(ii) The Employee Human Factor Attachments (Form FRA F 6180.81, “Employee Human Factor

Attachment”) required by § 225.12, that have been received by the railroad;

(iii) The written notices to employees required by § 225.12 (Part I 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”), that

have been received by the railroad; and

(iv) The Employee Statements Supplementing Railroad Accident Reports described in § 225.12(g)

(Part II 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”), that have been received by the railroad.

(b) Each railroad must retain a duplicate of each form it submits to FRA under § 225.21, for at least 2 years after

the calendar year to which it relates.

(c) Each railroad must retain the original hard copy of each completed and signed Form FRA F 6180.55 that the

railroad submits to FRA on optical media (CD-ROM) or electronically via the Internet to [email protected]

for at least five years after the calendar year to which it relates. If the railroad opts to submit the report to FRA

electronically via the Internet, the railroad must also retain a hard copy print out of FRA’s electronic notice

22

acknowledging receipt of the railroad’s submission for a period of at least five years after the calendar year to

which the report acknowledged relates.

(d) Railroads may retain accident/incident records as required by paragraphs (a) and (b) of this section in hard copy

format or in electronic format. After October 31, 2011, accident/incident records, retained by railroads as required

by paragraphs (a) and (b) of this section, in hard copy format or electronic format are subject to the following

system requirements:

(1) Design Requirements. Any electronic record keeping system used to retain a record required to be

retained by this part shall meet the following design parameters:

(i) The electronic record system shall be designed such that the integrity of each record is retained

through appropriate levels of security such as recognition of an electronic signature, or other

means, which uniquely identify the initiating person as the author of that record. No two persons

shall have the same electronic identity;

(ii) The electronic system shall ensure that each record cannot be modified, or replaced, once the

record is submitted to FRA;

(iii) Any amendment to a record shall be electronically stored apart from the record which it

amends. Each amendment to a record shall uniquely identify the person making the amendment

and the date the amendment was made;

(iv) The electronic system shall provide for the maintenance of reports as originally submitted to

FRA without corruption or loss of data; and

(v) Policies and procedures must be in place to prevent persons from altering electronic records, or

otherwise interfering with the electronic system.

(2) Accessibility and availability. Any electronic record system used to create, maintain, or transfer a

record required to be maintained by this part shall meet the following access and availability parameters:

(i) Paper copies of electronic records and amendments to those records that may be necessary to

document compliance with this part shall be provided to any representative of the FRA or of a State

agency participating in investigative and/or surveillance activities under part 212 of this chapter or

any other authorized representative for inspection and photocopying upon request in accordance

with § 225.35; and

(ii) Paper copies provided to FRA or of a State agency participating in investigative and/or

surveillance activities under part 212 of this chapter or any other authorized representative shall be

produced in a readable text format and all data shall be identified by narrative descriptions (e.g.,

“accident/incident number,” “number of days away from work,” “date of occurrence,” etc.).

§ 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 $650 and not more

than $25,000 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 $27,000 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.

§ 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.

23

(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, 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.

§ 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