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FRA Guide for Preparing Accident/Incident Reports

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FRA Guide for Preparing Accident/Incident Reports FRA Guide for Preparing Accident/Incident Reports U.S. Department of Transportation Federal Railroad Administration Office of Safety DOT/FRA/RRS-22 MAIL MONTHLY ACCIDENT/INCIDENT REPORTING SUBMISSIONS TO: Federal Railroad Administration FRA Project Office/CITI 4601 North Fairfax Drive, Suite 1100 Arlington, VA 22203-1547 Please refer to http://safetydata.fra.dot.gov/OfficeofSafety, and click on “Changes in Railroad Accident/Incident Recordkeeping and Reporting Info” for updated information. Preface The Federal Railroad Administration’s (FRA) regulations on reporting railroad accidents/incidents are found primarily in Title 49 of the Code of Federal Regulations (CFR), 1 Part 225. The purpose of the regulations in Part 225 is to provide FRA with accurate information concerning the hazards and risks that exist on the Nation’s railroads. See § 225.1. FRA needs this information to effectively carry out its regulatory and enforcement responsibilities under the Federal railroad safety statutes.2 FRA also uses this information for determining comparative trends of railroad safety and to develop hazard elimination and risk reduction programs that focus on preventing railroad injuries and accidents. Issuance of these regulations preempts States from prescribing accident/incident reporting requirements. Any State may, however, require railroads to submit to it copies of reports filed with FRA under Part 225 for accidents/incidents that occur in that State. 1 For brevity, further references in the Guide to sections in 49 CFR Part 225 will omit “49 CFR” and include only the section, e.g., § 225.9. 2 Title 49 United States Code Chapters 51, 201-213. iii iv Table of Contents Executive Summary ........................................................................................................................ 1 1. Overview of Railroad Accident/Incident Recordkeeping and Reporting Requirements and Miscellaneous Provisions and Information .......................................................................... 4 1.1 General ............................................................................................................................ 4 1.1.1 Purpose of the FRA Guide for Preparing Accident/Incident Reports ..................... 4 1.1.2 Applicability ........................................................................................................... 4 1.1.3 Consolidated Reporting .......................................................................................... 4 1.2 Major Recordkeeping and Reporting Requirements Under Part 225 ............................. 4 1.2.1 Telephonic Reporting.............................................................................................. 4 1.2.2 Annual Reports to FRA .......................................................................................... 5 1.2.3 Monthly Reports to FRA ........................................................................................ 5 1.2.4 Late, Amended and Updated Reports ....................................................................... 7 1.2.5 Recordkeeping ........................................................................................................ 9 Form FRA F 6180.98 or the Alternative Railroad-Designed Record of Each Accountable and Each Employee Reportable Injury/Illness .................................................................... 9 Form FRA F 6180.97 or the Alternative Railroad-Designed Record of Each On-Track Accident/Incident ................................................................................................................ 9 1.3 Miscellaneous Provisions and Information ................................................................... 11 1.3.1 Assistance and Guidance ...................................................................................... 11 1.3.2 Copies of the Regulations ..................................................................................... 11 1.3.3 Reporting Decisions .............................................................................................. 11 1.3.4 Claimed But Not Admitted Submissions .............................................................. 12 1.3.5 Penalties ................................................................................................................ 12 1.3.6 Public Examination and Use of Reports ............................................................... 12 1.4 Questions and Answers ................................................................................................. 13 2. Definitions .......................................................................................................................... 16 3. Form FRA F 6180.55 - Railroad Injury and Illness Summary ........................................... 29 3.1 Requirement .................................................................................................................. 29 3.2 General Instructions and Interpretations ....................................................................... 29 3.3 Instructions for Completing Form FRA F 6180.55 ...................................................... 29 3.4 Common Reporting Errors ............................................................................................ 33 3.5 Submission and Retention............................................................................................. 34 4. Form FRA F 6180.98 - Railroad Employee Injury and/or Illness Record ......................... 35 4.1 Requirement .................................................................................................................. 35 5. Form FRA F 6180.97 - Initial Rail Equipment Accident/Incident Record ........................ 39 5.1 Requirement .................................................................................................................. 39 5.2 Questions and Answers ................................................................................................. 43 6. Form FRA F 6180.55a - Railroad Injury and Illness Summary (Continuation Sheet) ....... 45 6.1 Requirement .................................................................................................................. 45 6.2 Reporting Exceptions .................................................................................................... 46 6.3 Suicide Data .................................................................................................................. 47 6.4 Covered Data ................................................................................................................ 48 6.5 Employee On Duty Injury/Illness Reporting ................................................................ 49 6.5.1 Questions and Answers on Employee on Duty Injury/Illness Reporting ............. 49 v 6.6 Determination of Work-Relatedness ............................................................................. 52 6.6.1 Interpretations on Work-Relatedness .................................................................... 53 6.6.2 Questions and Answers on Employees—Determination of Work-Relatedness ... 58 6.7 Determination of New Cases ........................................................................................ 63 6.7.1 Questions and Answers on New Cases ................................................................. 63 6.8 General Reporting Criteria ............................................................................................ 65 6.8.1 Questions and Answers on General Reporting Criteria ........................................ 65 6.8.2 Questions and Answers on Days Away from Work ............................................. 65 6.9 Restricted Work ............................................................................................................ 70 6.9.1 Questions and Answers on Restricted Work ........................................................ 70 6.9.2 Counting Days Away from Work and Days of Restriction .................................. 75 6.10 Exceptions to Medical Treatment (First Aid) ............................................................... 76 6.10.1 Questions and Answers on First Aid .................................................................... 78 6.11 Reporting Requirements for Significant Injury or Illness to Railroad Employees ....... 85 6.12 Reporting Requirements for Specific Case Criteria ...................................................... 85 6.12.1 Reporting Criteria for Needlestick and Sharps Injuries ........................................ 86 6.12.2 Reporting Criteria for Cases Involving Medical Removal ................................... 87 6.12.3 Reporting Criteria for Cases Involving Occupational Hearing Loss .................... 88 6.12.4 Reporting Criteria for Work-Related Tuberculosis Cases. ................................... 89 6.12.5 Reporting Criteria for Cases Involving Work-Related Musculoskeletal Disorders 89 6.12.6 Miscellaneous Questions and Answers ................................................................. 91 6.13 Reporting of Injuries to Persons Other Than Railroad Employees ............................... 97 6.13.1 Questions and Answers on Injuries to Persons Other Than Railroad Employees 98 6.14 Miscellaneous Guidance ............................................................................................. 101 6.15 Instructions for Completing Form FRA F 6180.55a (Continuation) .......................... 104 7. Form FRA F 6180.54 - Rail Equipment Accident/Incident
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