Federal Railroad Fiscal Year Administration 2009 Enforcement Report Federal Railroad Administration Fiscal Year 2009 Enforcement Report Federal Railroad Administration Fiscal Year 2009 Enforcement Report The Federal Railroad Administration (FRA) has for the past 24 years compiled an Annual Civil Penalty Report that summarized the disposition of all cases about which FRA assessed a fine for violations of Federal railroad safety statutes, regulations and orders. By law, FRA is required to enter into negotiated settlements with railroads and other entities subject to its jurisdiction, in order to reach agreement on the collection of civil penalties imposed for failures to comply with specific requirements designed to promote and ensure the safety of the Nation’s freight and passenger railroad operations. This year, FRA is increasing the amount of information available about enforcement activities, and its accessibility to interested parties by posting it on FRA’s website (http://www.fra.dot.gov).1 This safety enforcement information will be available annually by December 31 for the preceding fiscal year (FY), October 1 through September 30. The following information is included in this year’s report: • Summary of all enforcement actions taken by FRA; • Enforcement actions sorted by type of alleged violation, railroad classification, hazardous materials shippers, and individuals; • Discussion of the relationship between inspections and enforcement actions, and the number and rate of reportable accidents and incidents, and railroad safety; • Analysis of locomotive engineer certification cases brought before FRA; • Administrative hearing cases involving hazardous materials (HAZMAT) violations or enforcement actions against individuals; and • Line-item listing of all civil penalty cases closed by FRA – Appendix A. 1 Consistent with Sections 303 and 307 of the Rail Safety Improvement Act of 2008 (RSIA), Public Law No. 110-432, Division A (122 Stat.4848), enacted October 16, 2008. These sections are codified at 49 U.S.C. 20120 and 103, note, respectively. 2 Federal Railroad Administration Fiscal Year 2009 Enforcement Report SUMMARY OF ENFORCEMENT ACTIONS IN FY 2009 All Railroads and HAZMAT Shippers Number of Inspection Reports: 73,302 Defects: 283,111 Units: 3,575,008 Number of Observations: 306,269 Number of Reports with a Recommended Violation: 4,565 Number of Recommended Violation Defects: 10,044 Number of Inspection Days: 53,515 Railroads Only Number of Inspection Reports: 67,984 Defects: 270,189 Units: 3,453,609 Number of Observations: 283,048 Number of Reports with a Recommended Violation: 3,822 Number of Recommended Violation Defects: 8,679 Number of Inspection Days: 51,018 SUMMARY OF RAILROAD SAFETY VIOLATIONS BY REGULATORY OVERSIGHT DISCIPLINE Accident/Incident Reporting Number of Violation Type Recommended Violations Accident Reports Regulations 447 All 447 Grade Crossing Signal System Safety Number of Violation Type Recommended Violations Grade Crossing Signal Safety 354 All 354 3 Federal Railroad Administration Fiscal Year 2009 Enforcement Report Hazardous Materials Number of Violation Type Recommended Violations Hazardous Materials Regulations 2,259 All 2,259 Motive Power and Equipment Number of Violation Type Recommended Violations Freight Car Safety Standards 395 Locomotive Safety Standards 647 Passenger Equipment Safety Standards 144 Passenger Train Emergency Preparedness 23 Rear End Marking Devices 6 Safety Appliance Statutes and Regulations 1,780 Safety Glazing Standards 10 All 3,005 4 Federal Railroad Administration Fiscal Year 2009 Enforcement Report Railroad Operating Practices Number of Violation Type Recommended Violations Alcohol and Drug Use 71 Engineer Qualifications 264 FRA Emergency Order No. 24/26 32 Hours of Service Laws and Regulations 1,079 Railroad Communications 69 Railroad Operating Practices 218 Railroad Operating Rules 352 Railroad Safety Enforcement Procedures 29 Train Horn/Quiet Zone 4 All 2,118 Signal System Safety Number of Violation Type Recommended Violations Signal Inspection Regulations 245 All 245 Other Number of Violation Type Recommended Violations U.S. Code 4 All 4 5 Federal Railroad Administration Fiscal Year 2009 Enforcement Report Track Number of Violation Type Recommended Violations Roadway Worker Protection 123 Track Safety Standards 1,389 All 1,512 FRA INSPECTIONS BY RAILROAD TYPE Class I Number of Violation Reports: 50,735 Defects: 201,963 Units: 2,832,313 Number of Observations: 217,534 Number of Reports with a Recommended Violation: 2,907 Number of Recommended Violation Defects: 5,817 Number of Inspection Days: 39,123 Class II Number of Violation Reports: 5,487 Defects: 16,510 Units: 207,581 Number of Observations: 20,313 Number of Reports with a Recommended Violation: 479 Number of Recommended Violation Defects: 911 Number of Inspection days: 4,344 Class III Number of Violation Reports: 17,080 Defects: 64,638 Units: 535,114 Number of Observations: 68,422 Number of Reports with a Recommended Violation: 1,179 Number of Recommended Violation Defects: 3,316 Number of Inspection Days: 13,727 6 Federal Railroad Administration Fiscal Year 2009 Enforcement Report INSPECTION AND ENFORCEMENT ACTIONS INDIVIDUAL CLASS I RAILROADS National Railroad Passenger Corporation Number of Violation Reports: 2,207 Defects: 3,429 Units: 45,251 Number of Observations: 9,192 Number of Reports with a Recommended Violation: 132 Number of Recommended Violation Defects: 381 Number of Inspection Days: 1,714 BNSF Railway Company Number of Violation Reports: 9,483 Defects: 36,458 Units: 495,410 Number of Observations: 39,605 Number of Reports with a Recommended Violation: 576 Number of Recommended Violation Defects: 1,166 Number of Inspection Days: 7,743 Canadian National Railway/Grand Trunk Corporation Number of Violation Reports: 2,651 Defects: 10,176 Units: 147,339 Number of Observations: 10,619 Number of Reports with a Recommended Violation: 217 Number of Recommended Violation Defects: 477 Number of Inspection Days: 2,147 Canadian Pacific Railway/Soo Line Railroad Company Number of Violation Reports: 1,352 Defects: 5,726 Units: 88,507 Number of Observations: 5,641 Number of Reports with a Recommended Violation: 114 Number of Recommended Violation Defects: 160 Number of Inspection Days: 1,070 7 Federal Railroad Administration Fiscal Year 2009 Enforcement Report CSX Transportation, Inc. Number of Violation Reports: 11,659 Defects: 48,359 Units: 630,006 Number of Observations: 50,442 Number of Reports with a Recommended Violation: 514 Number of Recommended Violation Defects: 979 Number of Inspection Days: 9,519 The Kansas City Southern Railway Company Number of Violation Reports: 1,184 Defects: 6,071 Units: 64,522 Number of Observations: 5,209 Number of Reports with a Recommended Violation: 69 Number of Recommended Violation Defects: 133 Number of Inspection Days: 964 Norfolk Southern Railway Company Number of Violation Reports: 8,232 Defects: 33,943 Units: 596,153 Number of Observations: 36,391 Number of Reports with a Recommended Violation: 338 Number of Recommended Violation Defects: 745 Number of Inspection Days: 7,048 Union Pacific Railroad Company Number of Violation Reports: 13,967 Defects: 57,801 Units: 765,125 Number of Observations: 60,435 Number of Reports with a Recommended Violation: 947 Number of Recommended Violation Defects: 1,776 Number of Inspection Days: 10,935 During the past fiscal year FRA increased evening, night, and weekend safety inspections by approximately 25 percent. These inspections outside of normal shift (8am-4:30pm) reflect the 24-hour railroad operating environment and provide increased FRA presence during these hours. 8 Federal Railroad Administration Fiscal Year 2009 Enforcement Report ASSESSMENT AND SETTLEMENT SUMMARIES – FY 2009 Summary 1 Assessment and Settlement Summary 1 below reflects the actual number of civil penalties assessed, the initial amount of civil penalties assessed, the number of civil penalty cases settled, and the final amount of civil penalties assessed during Fiscal Year 2009. However, because in many cases a civil penalty is assessed during one fiscal year but settled and closed in the subsequent fiscal year, the assessment and settlement figures in Summary 1, while providing an indication of the enforcement work product during the year, do not correspond. The settlement figures in Summary 1 do not represent settlements of cases assessed during that fiscal year, but instead are settlements of cases transmitted and assessed during that year or earlier. Summary 2 To provide more transparency, Assessment and Settlement Summary 2, below, reflects assessment information for those cases closed during Fiscal Year 2009. All numbers in Summary 2 reflect the assessments which resulted in Fiscal Year 2009 settlements even though the assessments may have occurred in a prior fiscal year. This summary will provide the reader with (1) the difference between the initial amount of civil penalties assessed and the settlement amount and (2) the difference between the revised assessment and the final assessment amount. Note: The number of violations contained in an individual “case” can range from one violation to five or more, depending on a number of factors. The number of cases assessed or settled during a specific period does not provide a platform for realistic comparison. Thus the number of assessments or transmittals is expressed in terms of the number of “violations,” which provides an opportunity for standardized review. Assessment and Settlement SUMMARY