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Monthly Reporting Obligation: Group III Accident/Incident and Recordkeeping

Learn about the general reporting requirements and classifications for casualties to persons (death, injury, or occupational illness) in the railroad industry. Understand the reporting forms and responsibilities for making determinations.

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Monthly Reporting Obligation: Group III Accident/Incident and Recordkeeping

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  1. Presentation to Railroad Accident Reporting PersonnelTraining Module III (Group III) FRA Form F 6180.55aRailroad Injury & Illness Summary (Continuation Sheet), andFRA Form F 6180.150Highway User Injury Inquiry Report Self Instruction - Part 225 Training Based on the FRA Guide for Preparing Accident/Incident Reports, and Related Reporting and Record Keeping Forms FRA Guide Revision of June 1, 2011 Federal Railroad Administration Washington, D.C. Last Revision: August 1, 2017 _______________________________________

  2. Training Module GROUP III Accident/Incident Reporting and Recordkeeping Casualties to Persons (Death, Injury or Occupational Illness)

  3. Monthly Reporting Obligation • MONTHLY REPORTING OBLIGATION (Continued) • GROUP III – CASUALTIES TO PERSONS • General Reporting Requirements • Type of Person Classifications • Important Definitions • FRA Form F 6180.55a – Railroad Injury and Illness Summary (Continuation Sheet) • Responsibility for Making Determination of Manner of Death – Trespasser Suicides • Responsibility for use of FRA Form F 6180.150 – Highway User Injury Inquiry Form

  4. Monthly Reporting Obligation What is to be Reported? • Group III – Death, Injury and Occupational Illnesses REQUIREMENT: “Anyevent or exposure arising from the operation of a railroad, if the event or exposure is a discernable cause of one or more outcomes, and the outcome is a new case or a significant aggravation of a pre-existing injury or illness.”

  5. Monthly Reporting Obligation What is to be Reported? • Group III – (Death, Injury and Occupational Illness) patio Illnesses. TYPES OF PERSONS SUBJECT TO FRA REPORTING: • Worker on duty-Employee (Class A) • Employee NOT on duty (Class B) • Passengers on Trains (Class C) • Nontrespasser (Class D) • Trespasser – On Railroad Property (Class E) • Worker on duty-Contract Employee (Class F) • Contractor-Other (Class G) • Worker on duty-Volunteer (Class H) • Volunteer-Other (Class I) • Nontrespasser - Off Railroad Property (Class J)

  6. Monthly Reporting Obligation • General Reporting Criteria – All Types of Persons: • Group III – (Death, Injury and Occupational Illness) • gpation\ Illnesses. • (1) Death to any person; • (2) Injury to any person that results in: • (i) Medical treatment; • (ii) Significant injury diagnosed by a physician or other licensed health care professional even if it does not result in death, medical treatment or loss of consciousness of any person; or • (iii) Loss of consciousness

  7. Monthly Reporting Obligation • General Reporting Criteria – Employees Only: • Group III – (Death, Injury and Occupational Illness) • (3) INJURY to a railroad employee that results in: (i) A day away from work; (ii) Restricted work activity or job transfer; or (iii) Significant injury diagnosed by a physician or other licensed health care professional even if it does not result in death, medical treatment, loss of consciousness, a day away from work, restricted work activity or job transfer of a railroad employee

  8. Monthly Reporting Obligation General Reporting Criteria -- Question to Audience? What constitutes a “Significant INJURY?”

  9. Monthly Reporting Obligation General Reporting Criteria – “What constitutes a “Significant Injury?” THE CORRECT ANSWER IS… (From 49 CFR 225.5, “Definitions”): • Significant INJURY means an injury involving a fractured or cracked bone or a punctured eardrum, if the injury does not result in death, a day away from work, restricted work, job transfer, medical treatment, or loss of consciousness.

  10. Monthly Reporting Obligation • General Reporting Criteria – Employees Only: • Group III – (Death, Injury and Occupational Illness) • (4) Occupational illness of a railroad employee that results in: • (i) A day away from work; • (ii) Restricted work activity or job transfer; • (iii) Loss of consciousness; or • (iv) Medical treatment; • (5) Significant illness of a railroad employee diagnosed by a physician or other licensed health care professional even if it does not result in death, a day away from work, restricted work activity or job transfer, medical treatment, or loss of consciousness.

  11. Monthly Reporting Obligation General Reporting Criteria -- Question to Audience? What constitutes a “Significant ILLNESS?”

  12. Monthly Reporting Obligation General Reporting Criteria – “What constitutes a “Significant ILLNESS?” THE CORRECT ANSWER IS… (From 49 CFR 225.5, “Definitions”): • Significant ILLNESS means an illness involving cancer or a chronic irreversible disease such as byssinosis or silicosis, if the disease does not result in death, a day away from work, restricted work, job transfer, medical treatment, or loss of consciousness.

  13. Monthly Reporting Obligation • General Reporting Criteria – Employees Only: • Group III – (Death, Injury and Occupational Illness) • (6) Illness or injury that: (i) Meets the application of any of the following specific case criteria: (A) Needlestick or sharps injury to a railroad employee; (B) Medical removal of a railroad employee; (C) Occupational hearing loss of a railroad employee; (D) Occupational tuberculosis of a railroad employee; (E) Musculoskeletal disorder of a railroad employee if this disorder is reportable under one or more of the general reporting criteria; or (ii) Is a covered data case.

  14. Covered Data Cases • Covered Data means information concerning a case that is reportable exclusively because a physician or other licensed health care professional recommended in writing that: • An employee take one or more days away from work, when the employee instead reports to work (or would have reported), • An employee works restricted duty for one or more days when the employee instead works unrestricted (or would have worked unrestricted), or • An employee is to take over-the-counter (OTC) medication at a prescription strength dosage. (Continued to next slide)

  15. Covered Data (Continued) • Additionally, a Covered Data case occurs when a physician or other licensed health care professional administers a one-time topical application of a prescription strength medication to an employee’s injury. Note:For any case initially reported to the FRA as a “covered data case,” and subsequently involves other FRA reporting criteria, Form 6180.55a is to be amended to FRA to reflect the employee’s current reporting status.

  16. Monthly Reporting ObligationInstructions in FRA Guide for entry in Item 5r, “Special Case Code,” FRA Form F 6180.55a • Item 5r – “Special Case Codes” – Entry of Special Case Codes for Certain Injuries and Illnesses for FRA and OSHA Purposes (Continued to next slide)

  17. Monthly Reporting ObligationInstructions in FRA Guide for entry in Item 5r, “Special Case Code,” FRA Form F 6180.55a • Item 5r – “Special Case Codes” – Entry of Special Case Codes for Certain Injuries and Illnesses for FRA and OSHA Purposes remain unchanged in the revised FRA Guide, effective June 1, 2011. • These previous valid codes for entry are: • If the only reason a nonfatal condition is being reported is due to it being a covered data case, enter: • A – PLHCP prescribed time off, but no days were actually taken • R – PLHCP prescribes restriction of routine work duties, but restriction of routine work did not occur. • P – PLHCP prescribed over-the-counter medication at prescription strength, or if there was a single external (topical) application of prescribed medication. • For employee transfer or termination cases, enter: “Y”.

  18. FRA Reporting CriteriaForm F6180.55a • A report must be made of each railroad employee fatality, injury and illness that: • Is work-related • Is a new case, or a significant aggravation of a pre-existing condition; and • Meets one or more of the general reporting criteria or application to specific cases.

  19. Reportability • The following do not affect reportability if there is evidence an employee was harmed while in the work environment: • The event was not witnessed • The employee did not immediately notify a supervisor • The employee did not require medical treatment at the time of the condition • The condition was the result of an employee’s error • The condition was caused by outside factors (e.g. an assault on an employee, insect or animal bites, act of nature, etc.) • The condition did not meet all the necessary conditions for reporting at the time of the initial event, activity, or exposure • The condition was the culmination of a series of activities

  20. First Aid • The following is an all-inclusive list of First Aid Treatments. If the treatment given is not on this list, it is considered to be Medical Treatment. For the purpose of Part 225, first aid means the following: • Using non-prescription medication at non-prescription strength • Tetanus Immunizations • Cleaning, flushing or soaking wounds on the surface of the skin • Using wound coverings such as bandages, band-aids, gauze pads, etc.; -or- using butterfly bandages or steri-strips • Using hot or cold therapy • Use of any non-rigid means of support, such a elastic bandages, wraps, non-rigid back belts, etc. (continued on next slide)

  21. First Aid (Continued) • Using temporary immobilization devices while transporting an accident victim (e.g. splints, slings, neck collars, back boards, etc) • Drilling of a fingernail or toenail to relieve pressure, or draining fluid from a blister • Using eye patches • Removing foreign bodies from the eye using only irrigation or a cotton swab • Removing splinters or foreign material from areas other than the eye by irrigation, tweezers, cotton swabs, or other means (Continued to next slide)

  22. First Aid (Continued) • Using finger guards • Using massages • Drinking non-prescription fluids for relief of heat related conditions • Pre-hospital protocol Note:A case involving first aid treatment must be further evaluated to determine if any of the other reporting criteria are met. For example, for some employees the application of an eye patch may restrict the employee’s ability to perform their routine job function. The case then becomes reportable on the basis of restriction of work or transfer to another job.

  23. Monthly Reporting Obligation Comments about Form FRA F 6180.55a, “Railroad Injury and Illness Summary (Continuation Sheet)” Inter Image requested that we advise the following: Item 5c, “Time of Day” • Do not use military time! See instructions for entry in Item 5c on page 106, Chapter 6 of FRA Guide: “Enter the time of the accident/incident, including “a.m.” or “p.m.” Do not use military time.”

  24. Monthly Reporting Obligation Comments about Form FRA F 6180.55a, “Railroad Injury and Illness Summary (Continuation Sheet)” • Inter Image advises they receive many errors with regard to Part Body coding, such as only one digit for the “Major” part of body injured, without the necessary second code that would provide knowledge of the “specific” part of body code. • Part Body coding should always be entered as a two part code, such as the following example: • A “Major” Part body one digit code, example: 5 (Head or Face) • A “Specific” Part body one alpha code, example: A (Eye)

  25. State of Railroad SafetyWorker On Duty-Employee (Class A) Number of Deaths Years 1975 through 2016 Source: FRA’s Safety Data Website 10 Employee Fatal Cases in 2014 Lowest Year Ever

  26. Casualties to PersonsSuicide Data • Background. 49 CFR 225.15, “Accidents/Incidents not to be reported” had previously indicated, in part: “A railroad need not report: (c) Suicides as determined by a coroner or other public authority; or (d) Attempted suicides.” • However, in recent years, there has been increasing interest in collection of suicide data for use in developing suicide prevention programs.

  27. Casualties to PersonsBackground: Suicide Data • The Notice of Proposed Rulemaking, published September 9, 2008, requested comments and suggestions on whether FRA should require railroads to report suicides and attempted suicides to FRA on Form FRA F 6180.55a, otherwise referred to as ‘‘suicide data’’, and on concerns regarding State access to such reports. • Following the comment period, FRA subsequently made the decision to remove suicide and attempted suicide from its current 49 CFR 225.15 reporting exceptions; add a definition for ‘‘Suicide data” in 49 CFR 225.5, and begin the collection of suicide related data on June 1, 2011, the effective date of the final rule.

  28. The Reporting of Suicides/Attempted Suicides • Prior to June 1, 2011, 49 CFR 225 excluded the reporting of fatalities and reportable injuries that were confirmed by a coroner or other public authority to be a suicide or attempted suicide. • On June 1, 2011, a major change became effective when the 49 CFR 225 regulation, for the first time, required the reporting by railroads of fatalities and reportable injuries confirmed by a coroner or other public authority to be due to a suicide or attempted suicide.

  29. Casualties to PersonsDefinition - Suicide Data (49 CFR 225.5, “Definitions”) • Suicide Data: Suicide data covers data regarding the death of an individual due to the individual’s commission of suicide, or an injury to an individual due to that individual’s attempted commission of suicide, as determined by a coroner, public police officer, or other public authority. • Only the death of, or injury to, the individual who committed the suicidal act is suicide data. Therefore, casualties to persons caused by the suicidal act of another person are not considered suicide data.

  30. Casualties to Persons49 CFR 225.41 – Suicide Data • 49 CFR 225.41, Suicide Data. FRA does not include suicide data (as defined in 49 CFR 225.5) in its periodic summaries of data on the number of injuries and illnesses associated with railroad operations. FRA will maintain suicide data in a database that is NOT publicly accessible. Suicide data will NOT be available on FRA’s web site for individual reports or downloads. Suicide data will be available to the public in aggregate format on FRA’s web site and via requests under the Freedom of Information Act (FOIA).

  31. The Reporting of Suicides/Attempted Suicides 49 CFR 225, effective June 1, 2011, required railroads to report fatalities resulting from confirmed suicides and non-fatal injuries from confirmed attempted suicides for all Types of Persons, e.g., Worker on duty-Employee; Non-trespassers; Trespassers. As the vast majority of Fatalities and Non-Fatal Reportable Injuries resulting from Suicides and Attempted Suicides involve Trespassers, FRA established a new obligation for railroads: “Determination of Manner of Death for Trespassers”.

  32. Monthly Reporting ObligationDetermination of Manner of Death for Trespassers (Pages 99 and 100, Chapter 6, FRA Guide) “In order to fulfill its responsibilities in determining the nature of a trespasser fatality (to include non-fatal reportable injuries) and to accurately report such fatality, a railroad must try to obtain documentation indicating the cause of death by contacting a coroner, public police officer or other public official by telephone and, if unsuccessful in obtaining the needed information, in writing.” (Continued on next slide)

  33. Monthly Reporting ObligationDetermination of Manner of Death for Trespassers Continued from previous slide – “The railroad must continue its efforts to obtain this documentation for a period of 6 months following the month in which the fatality occurred. The railroad must keep a record of its efforts to obtain such documentation. This record and any documentation obtained must be available for review and copying by an FRA representative under the same criteria as set forth in § 225.35(b).” (Pages 99 and 100, Chapter 6, FRA Guide)

  34. Monthly Reporting Obligation • Again, we emphasize what the railroad must do: • The railroad must TRY to obtain documentation indicating the cause of death by contacting a coroner, public police officer or other public official by telephone and, if unsuccessful in obtaining the needed information, in writing. • The railroad must continue its efforts to obtain this documentation for a period of six months following the month in which the fatality occurred. • The railroad must keep a record of its efforts to obtain such documentation. This record and any documentation obtained must be available for review and copying by an FRA representative under the same criteria as set forth in 49 CFR 225.35(b). Determination of Manner of Death for Trespassers

  35. Monthly Reporting Obligation • Again, we emphasize what the railroad must do: • “The railroad must TRY to obtain documentation indicating the cause of death by contacting a coroner, public police officer or other public official by telephone and, if unsuccessful in obtaining the needed information, in writing.” • EXPLANATION – • The railroad must contact the applicable public official by telephone. (If the railroad is able to obtain “manner of death/injury information by “verbal confirmation’” or in writing, this obligation is satisfied.) • However, if the railroad is unsuccessful in obtaining the information, the railroad must communicate with the applicable public authority in writing. Determination of Manner of Death for Trespassers

  36. Monthly Reporting Obligation Page 48, Chapter 6 of the current FRA Guide: A railroad may accept verbal confirmation from the coroner, public police officer, or other public authority of the cause of the fatality or injury. Where a railroad receives verbal confirmation, it must document that confirmation in writing and create an audit trail so the FRA may confirm the cause of the casualty at a later time. The audit trail should include, but is not limited to, documentation of the name of the public police officer, coroner, or other public authority determining cause of death, his or her title, the date of confirmation, for whom the individual works, and the individual’s telephone number and mailing address. Determination of Manner of Death for Trespassers

  37. Monthly Reporting Obligation • Again, what must you document in order to accept Verbal Confirmation? • The name of the public police officer, coroner, or other public authority determining cause of death, • His or her title, • The date of confirmation, • For whom the individual works, and • The individual’s telephone number and mailing address. Determination of Manner of Death for Trespassers

  38. Monthly Reporting Obligation • Again, we emphasize what the railroad must do: • The railroad must continue its efforts to obtain this documentation for a period of six months following the month in which the fatality occurred. • EXPLANATION. • If at the time the report is due to be filed, you have tried to contact the applicable public authority, but have not been able to determine the “manner of death/non-fatal reportable injury,” you must report the case to FRA with no entry into Item 5r, “Special Case Code,” Form FRA F 6180.55a. • After submitting the report to FRA, you still have the obligation of continuing efforts to secure the “manner of death/non fatal injury” for six months. Determination of Manner of Death for Trespassers

  39. Monthly Reporting ObligationInstructions in FRA Guide for entry in Item 5r, “Special Case Code,” FRA Form F 6180.55a • Item 5r – “Special Case Codes” – Also used for the Entry of Special Case Codes to indicate the reporting of a “Confirmed Suicide” or “Confirmed Attempted Suicide.” Enter an “X” in Item 5r, “Special Case Code,” to indicate the reporting of a “confirmed suicide” or “confirmed attempted suicide.” X

  40. Monthly Reporting Obligation • Again, we emphasize what the railroad must do: • The railroad must keep a record of its efforts to obtain such documentation. This record and any documentation obtained must be available for review and copying by an FRA representative under the same criteria set forth in 49 CFR 225.35(b). Determination of Manner of Death for Trespassers

  41. Monthly Reporting Obligation The railroad must keep a record of its efforts to obtain such documentation. This record and any documentation obtained must be available for review and copying by an FRA representative under the same criteria set forth in 49 CFR 225.35(b). Determination of Manner of Death for Trespassers FRA Asked…. Railroad Responded I am here to inspect your record or log for determining manner of death for trespassers. Well, I do not have a record or log. Our claims office contacts the coroner.

  42. Monthly Reporting Obligation • Again, we emphasize what the railroad must do: • FRA suggests that railroads maintain a spreadsheet “log” to record the important data elements that will indicate the railroad’s attempts to determine trespasser “manner of death/non-fatal reportable injuries.” Data elements to be recorded would be: • Date of Trespasser Casualty • Location (City, County, State) • Name of Trespasser Fatality/Non-fatal reportable injury • Date of Initial Attempt to Telephone Coroner or other public authority • Name and title of Coroner or other public authority contacted • Outcome of Initial Attempt (Obtained verbal confirmation; Obtained Coroner’s Report; Unable to determine manner of death/non-fatal injury at this time • If manner of death/non-fatal injury information not received, date of second, third, etc., attempt(s) to telephone coroner or other public authority • If manner of death/non-fatal injury information not received, date that written request was made Determination of Manner of Death for Trespassers

  43. State of Railroad SafetyNumber of Trespasser Fatalities (Not at Grade Crossings) Manner of Death due to Accidental or Undermined CauseReported to the Federal Railroad Administration 1975 through 2016 Source: FRA’s Safety Data Website

  44. The Reporting of ConfirmedSuicidesandAttempted SuicidesType Person E - Trespassers From June 1, 2011 through December 31, 2016 Jun 1 – Dec 31, 2011 = 183 Fatal – 23 Non Fatal Jan 1 – Dec 31, 2012 = 269 Fatal – 46 Non Fatal Jan 1 – Dec 31, 2013 = 313 Fatal – 27 Non Fatal Jan 1 – Dec 31, 2014 = 273 Fatal – 39 Non Fatal Jan 1 – Dec 31, 2015 = 318 Fatal - 31 Non Fatal Jan 1 – Dec 31, 2016 = 202 Fatal - 32 Non Fatal Total = 1,558 Fatal – 198 Non Fatal

  45. State of Railroad SafetyNumber of Trespasser Fatalities (Not at Grade Crossings) Manner of Death due to “Confirmed Suicide”Reported to the Federal Railroad Administration June 1, 2011 through 2016 Source: FRA’s Secure Website

  46. PRESUMPTION of Reportable Injury Occupant(s) of Vehicles involved in Highway-Rail Grade Crossing Accidents/Incidents • Effective June 1, 2011, FRA revised Chapter 6 of the FRA Guide to instruct railroads that they must presume a highway user who is involved in a highway-rail grade crossing accident/incident, and is transported from the scene of a highway-rail grade crossing accident/incident to a medical facility via ambulance or other form of medical conveyance, did, more likely than not, sustain an FRA reportable injury (i.e., an injury meeting the general reporting criteria set forth at 49 CFR 225.19(d)(1) through (d)(6)).

  47. PRESUMPTION of Reportable Injury Occupant(s) of Vehicles involved in Highway-Rail Grade Crossing Accidents/Incidents • Absent evidence to rebut this presumption, the railroad must report the injury to FRA on Form FRA F 6180.55a, and include the casualty on Form FRA F 6180.57. If the railroad later discovers after having reported the case to FRA that the highway user did not sustain a reportable injury, the railroad may request deletion of the case from their monthly report submission.

  48. Question and Answer Q4 & A4 – Presumption of Reportable Injury of Highway User involved in Highway-Rail Grade Crossing Accidents/Incidents – (Question and Answer, Q4 and A4 - See page 159, Chapter 10, FRA Guide) Question for Audience Q4. There was a collision between a train and an automobile at a highway-rail grade crossing. The driver was injured and taken by ambulance to a local hospital. Neither the hospital nor driver would reveal the injuries to the railroad. Without knowing the injuries, the railroad cannot determine if the injury met the FRA’s reportability criteria. Is this injury reportable to FRA?(Continued to next slide)

  49. Question and Answer Q4 & A4 -Presumption of Reportable Injury of Highway User involved in Highway-Rail Grade Crossing Accidents/Incidents (Question and Answer, Q4 and A4 - See page 159, Chapter 10, FRA Guide) A4. FRA realizes that this type of case is difficult to report under these circumstances. However, when an injury occurs at a highway-rail grade crossing, due to a collision with a highway user and on track equipment, and the injured highway-user is taken from the accident scene by an ambulance, then the injury is reportable unless there is documentation to prove that the injury did not meet the FRA’s reportability criteria. (Answer continues on next slide.)

  50. Question and Answer Q4 & A4 -Presumption of Reportable Injury of Highway User involved in Highway-Rail Grade Crossing Accidents/Incidents (Question and Answer, Q4 and A4 - See page 159, Chapter 10, FRA Guide) A4. Continued: The injury must be shown on the Highway-Rail Grade Crossing Accident/Incident Report Form FRA F 6180.57 and an injury report must be reported on the Railroad Injury and Illness Summary (Continuation Sheet) Form FRA F 6180.55a. If no injury information is available then the code “999” should be placed in block 5i – Injury-Illness Code. The railroad would still be required to contact the highway user in writing (Form FRA F 6180.150) and by phone.

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