DOT 49 CFR PART 225-2010 RAILROAD ACCIDENTS INCIDENTS REPORTS CLASSIFICATION AND INVESTIGATIONS.pdf

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1、376 49 CFR Ch. II (10110 Edition) Pt. 225 PART 225RAILROAD ACCIDENTS/ INCIDENTS: REPORTS CLASSI-FICATION, AND INVESTIGA-TIONS Sec. 225.1 Purpose. 225.3 Applicability. 225.5 Definitions. 225.7 Public examination and use of reports. 225.9 Telephonic reports of certain acci-dents/incidents. 225.11 Repo

2、rting of accidents/incidents. 225.12 Rail Equipment Accident/Incident Reports alleging employee human factor as cause; Employee Human Factor At-tachment; notice to employee; employee supplement. 225.13 Late reports. 225.15 Accidents/incidents not to be re-ported. 225.17 Doubtful cases; alcohol or dr

3、ug in-volvement. 225.19 Primary groups of accidents/inci-dents. 225.21 Forms. 225.23 Joint operations. 225.25 Recordkeeping. 225.27 Retention of records. 225.29 Penalties. 225.31 Investigations. 225.33 Internal control plans. 225.35 Access to records and reports. 225.37 Magnetic media transfer and e

4、lec-tronic submission. 225.39 FRA policy on covered data. APPENDIX A TO PART 225SCHEDULE OF CIVIL PENALTIES APPENDIX B TO PART 225PROCEDURE FOR DE-TERMINING REPORTING THRESHOLD AUTHORITY: 49 U.S.C. 103, 322(a), 20103, 20107, 2090120902, 21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49. SOU

5、RCE: 39 FR 43224, Dec. 11, 1974, unless otherwise noted. 225.1 Purpose. The purpose of this part is to provide the Federal Railroad Administration with accurate information concerning the hazards and risks that exist on the Nations railroads. FRA needs this in-formation to effectively carry out its

6、regulatory responsibilities under 49 U.S.C. chapters 201213. FRA also uses this information for determining com-parative trends of railroad safety and to develop hazard elimination and risk reduction programs that focus on pre-venting railroad injuries and accidents. Issuance of these regulations un

7、der the federal railroad safety laws and regula-tions preempts States from prescribing accident/incident reporting require-ments. Any State may, however, re-quire railroads to submit to it copies of accident/incident and injury/illness re-ports filed with FRA under this part, for accidents/incidents

8、 and injuries/ill-nesses which occur in that State. 61 FR 30967, June 18, 1996 225.3 Applicability. (a) Except as provided in paragraphs (b), (c), and (d), this part applies to all railroads except (1) A railroad that operates freight trains only on track inside an installa-tion which is not part of

9、 the general railroad system of transportation or that owns no track except for track that is inside an installation that is not part of the general railroad system of transportation and used for freight operations. (2) Rail mass transit operations in an urban area that are not connected with the ge

10、neral railroad system of trans-portation. (3) A railroad that exclusively hauls passengers inside an installation that is insular or that owns no track except for track used exclusively for the haul-ing of passengers inside an installation that is insular. An operation is not considered insular if o

11、ne or more of the following exists on its line: (i) A public highway-rail grade cross-ing that is in use; (ii) An at-grade rail crossing that is in use; (iii) A bridge over a public road or waters used for commercial navigation; or (iv) A common corridor with a rail-road, i.e., its operations are wi

12、thin 30 feet of those of any railroad. (b) The Internal Control Plan re-quirements in 225.33(a)(3) through (10) do not apply to (1) Railroads that operate or own track on the general railroad system of transportation that have 15 or fewer employees covered by the hours of service law (49 U.S.C. 2110

13、121107) and (2) Railroads that operate or own track exclusively off the general sys-tem. (c) The recordkeeping requirements regarding accountable injuries and ill-nesses and accountable rail equipment VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00386 Fmt 8010 Sfmt 8010 Y:SGML220215.XX

14、X 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-377 Federal Railroad Administration, DOT 225.5 accidents/incidents found in 225.25(a) through (g) do not apply to (1) Railroads that operate or own track on the

15、 general railroad system of transportation that have 15 or fewer employees covered by the hours of service law (49 U.S.C. 2110121107) and (2) Railroads that operate or own track exclusively off the general sys-tem. (d) All requirements in this part to record or report an injury or illness in-curred

16、by any classification of person that results from a non-train incident do not apply to railroads that operate or own track exclusively off the gen-eral railroad system of transportation, unless the non-train incident involves in- service on-track equipment. 61 FR 30967, June 18, 1996, as amended at

17、61 FR 67490, Dec. 23, 1996 225.5 Definitions. As used in this part Accident/incident means: (1) Any impact between railroad on- track equipment and an automobile, bus, truck, motorcycle, bicycle, farm vehicle or pedestrian at a highway-rail grade crossing; (2) Any collision, derailment, fire, ex-plo

18、sion, act of God, or other event in-volving operation of railroad on-track equipment (standing or moving) that results in reportable damages greater than the current reporting threshold to railroad on-track equipment, signals, track, track structures, and roadbed; (3) Any event or exposure arising f

19、rom the operation of a railroad, if the event or exposure is a discernable cause of one or more of the following outcomes, and this outcome is a new case or a significant aggravation of a pre-existing injury or illness: (i) Death to any person; (ii) Injury to any person that results in medical treat

20、ment; (iii) Injury to a railroad employee that results in: (A) A day away from work; (B) Restricted work activity or job transfer; or (C) Loss of consciousness; (iv) Occupational illness of a railroad employee that results in any of the fol-lowing: (A) A day away from work; (B) Restricted work activ

21、ity or job transfer; (C) Loss of consciousness; or (D) Medical treatment; (v) Significant injury to or signifi-cant illness of a railroad employee di-agnosed by a physician or other li-censed health care professional even if it does not result in death, a day away from work, restricted work activity

22、 or job transfer, medical treatment, or loss of consciousness; (vi) Illness or injury that meets the application of any of the following spe-cific case criteria: (A) Needlestick or sharps injury to a railroad employee; (B) Medical removal of a railroad em-ployee; (C) Occupational hearing loss of a r

23、ailroad employee; (D) Occupational tuberculosis of a railroad employee; or (E) Musculoskeletal disorder of a railroad employee if this disorder is independently reportable under one or more of the general reporting criteria. (4) Occupational illness. Accountable injury or illness means any condition

24、, not otherwise report-able, of a railroad employee that is discernably caused by an event, expo-sure, or activity in the work environ-ment which condition causes or re-quires the railroad employee to be ex-amined or treated by a qualified health care professional. Accountable rail equipment acciden

25、t/in-cident means any event not otherwise reportable, involving the operation of on-track equipment that causes phys-ical damage to either the on-track equipment or the track upon which such equipment was operated and that requires the removal or repair of rail equipment from the track before any ra

26、il operations over the track can con-tinue. An accountable rail equipment accident/incident, if not tended to, thus would disrupt railroad service. Exam-ples of disruption of service would include: loss of main track; one or more derailed wheels; any train failing to arrive or depart at its schedule

27、d time; one or more cars or locomotives taken out of service; or rerouting trains due to a damaged car or loco-motive. VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00387 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduc

28、tion or networking permitted without license from IHS-,-,-378 49 CFR Ch. II (10110 Edition) 225.5 Covered data means information that must be reported to FRA under this part concerning a railroad employee injury or illness case that is reportable exclusively because a physician or other licensed hea

29、lth care profes-sional (1) Recommended in writing that (i) The employee take one or more days away from work when the em-ployee instead reports to work (or would have reported had he or she been scheduled) and takes no days away from work in connection with the in-jury or illness, (ii) The employee

30、work restricted duty for one or more days when the employee instead works unrestricted (or would have worked unrestricted had he or she been scheduled) and takes no days of restricted work activ-ity in connection with the injury or ill-ness, or (iii) The employee take over-the- counter medication at

31、 a dosage equal to or greater than the minimum pre-scription strength, whether or not the employee actually takes the medica-tion; or (2) Made a one-time topical applica-tion of a prescription-strength medica-tion to the employees injury. Day away from work means a day away from work as described in

32、 para-graph (1) of this definition or, if para-graph (1) does not apply, a day away from work solely for reporting pur-poses as described in paragraph (2) of this definition. For purposes of this definition, the count of days includes all calendar days, regardless of whether the employee would norma

33、lly be sched-uled to work on those days (e.g., week-end days, holidays, rest days, and vaca-tion days), and begins on the first cal-endar day after the railroad employee has been examined by a physician or other licensed health care professional (PLHCP) and diagnosed with a work-re-lated injury or i

34、llness. In particular, the term means (1) Each calendar day that the em-ployee, for reasons associated with his or her condition, does not report to work (or would have been unable to re-port had he or she been scheduled) if not reporting results from: (i) A PLHCPs written recommenda-tion not to wor

35、k, or (ii) A railroads instructions not to work, if the injury or illness is other-wise reportable; or (2) A minimum of one calendar day if a PLHCP, for reasons associated with the employees condition, recommends in writing that the employee take one or more days away from work, but the employee ins

36、tead reports to work (or would have reported had he or she been scheduled). This paragraph is intended to take into account covered data cases and also those non-covered data cases that are independently reportable for some other reason (e.g., medical treatment or day of restricted work activity). T

37、he requirement to report a minimum of one calendar day is intended to give a railroad the discre-tion to report up to the total number of days recommended by the PLHCP. Day of restricted work activity means a day of restricted work activity as de-scribed in paragraph (1) of this defini-tion or, if p

38、aragraph (1) does not apply, a day of restricted work activity solely for reporting purposes as described in paragraph (2) of this definition; in both cases, the work restriction must affect one or more of the employees routine job functions (i.e., those work activi-ties regularly performed at least

39、 once per week) or prevent the employee from working the full workday that he or she would otherwise have worked. For purposes of this definition, the count of days includes all calendar days, regardless of whether the em-ployee would normally be scheduled to work on those days (e.g., weekend days,

40、holidays, rest days, and vacation days), and begins on the first calendar day after the railroad employee has been examined by a physician or other li-censed health care professional (PLHCP) and diagnosed with a work-re-lated injury or illness. In particular, the term means (1) Each calendar day tha

41、t the em-ployee, for reasons associated with his or her condition, works restricted duty (or would have worked restricted duty had he or she been scheduled) if the re-striction results from: (i) A PLHCPs written recommenda-tion to work restricted duty, or (ii) A railroads instructions to work restri

42、cted duty, if the injury or illness is otherwise reportable; or VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00388 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,

43、-,-379 Federal Railroad Administration, DOT 225.5 (2) A minimum of one calendar day if a PLHCP, for reasons associated with the employees condition, recommends in writing that the employee work re-stricted duty for one or more days, but the employee instead works unre-stricted (or would have worked

44、unre-stricted had he or she been scheduled). This paragraph is intended to take into account covered data cases and also those non-covered data cases that are independently reportable for some other reason (e.g., medical treatment or day of restricted work activity). The requirement to report a min-

45、imum of one calendar day is intended to give a railroad the discretion to re-port up to the total number of days recommended by the PLHCP. Employee human factor includes any of the accident causes signified by the train accident cause codes listed under Train OperationHuman Factors in the current FR

46、A Guide for Preparing Accidents/Incidents Reports, except for those train accident cause codes pertaining to non-railroad workers. For purposes of this definition em-ployee includes the classifications of Worker on DutyEmployee, Employee not on Duty, Worker on DutyCon-tractor, and Worker on DutyVolu

47、n-teer. Establishment means a single physical location where workers report to work, where railroad business is conducted, or where services or operations are per-formed. Examples are: a division office, general office, repair or maintenance facility, major switching yard or ter-minal. For employees

48、 who are engaged in dispersed operations, such as signal or track maintenance workers, an es-tablishment is typically a location where work assignments are initially made and oversight responsibility ex-ists, e.g., the establishment where the signal supervisor or roadmaster is lo-cated. Event or exp

49、osure arising from the oper-ation of a railroad includes (1) With respect to a person who is on property owned, leased, or maintained by the railroad, an activity of the rail-road that is related to the performance of its rail transportation business or an exposure related to the activity; (2) With respect to an employee of the railroad (whether on or off prop-erty owned, leased, or maintained by the