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Self Instruction - Part 225 Training

Presentation to Railroad Accident Reporting Personnel Training Module IV – Record Keeping FRA Form F 6180.97, FRA Form F 6180.98, FRA Form F 6180.107, and Monthly Posting Requirement. Self Instruction - Part 225 Training

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Self Instruction - Part 225 Training

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  1. Presentation to Railroad Accident Reporting PersonnelTraining Module IV – Record Keeping FRA Form F 6180.97,FRA Form F 6180.98,FRA Form F 6180.107, andMonthly Posting Requirement Self Instruction - Part 225 Training Based on the FRA Guide for Preparing Accident/Incident Reports and Related Reporting and Recordkeeping Forms FRA Guide Revision of June 1, 2011 _______________________________________ Federal Railroad Administration Washington, DC Last Revision: August 1, 2017

  2. Training Module IV - Record KeepingRecord keeping Obligation • FRA Form F 6180.97 - Initial Rail Equipment Accident/Incident Record • FRA Form F 6180.98 – Railroad Employee Injury and/or Illness Record • FRA Form F 6180.107 - Alternative Record for Illnesses Claimed to be Work-Related

  3. Basic Reporting and Recordkeeping Concept QUESTION FOR AUDIENCE “REPORTING” versus “RECORDKEEPING” In 49 CFR 225, it is important to have a clear understanding of the difference that exists between the terms “Reporting” versus “Recordkeeping,” and the standard forms used for these separate regulatory purposes. A. Reporting means: “A duty for Railroads to file a report with FRA” B. Record keeping means,:“A duty for Railroads to create and maintain a record as required by FRA” C. Both A and B above statements are TRUE D.Both A and B above are FALSE

  4. Basic Reporting and Recordkeeping Concept • “Reporting” versus “Recordkeeping” And the Correct Answer is……… C. Both the A and B statements above are TRUE “Reporting does mean: “A duty for Railroads to file a report with FRA,” and “Recordkeeping means: “A duty for Railroads to create and maintain a record as required by FRA.”

  5. FRA Recordkeeping Requirements QUESTION FOR AUDIENCE WHEN DID FRA’S RECORDKEEPING REQUIREMENTS AND FORMS, AS REQUIRED BY 49 CFR 225, BECOME EFFECTIVE? • F6180.97* – Initial Rail Equipment Accident/Incident Record (Hint: January 1, 1997) • F6180.98* – Railroad Employee Injury and/or Illness Record (Hint: January 1, 1997) • F6180.107 – Alternative Record for Illnesses Claimed to be Work-Related (Hint: May 1, 2003)

  6. FRA Recordkeeping Requirements WHY DID FRA’S RECORDKEEPING REQUIREMENTS AND FORM FRA F 6180.97 BECOME EFFECTIVE? Before 1997, FRA Asked Railroad Responded We don’t have any Non- Reportable Train Accident Records. May I inspect your Non-Reportable Train Accident Records?

  7. FRA Form F 6180.97 Initial Rail Equipment Accident/Incident Record TWO year retention period for Form FRA F 6180.97 – See 49 CFR 225.27, Retention of Records.

  8. FRA Recordkeeping Requirements WHY DID FRA’S RECORDKEEPING REQUIREMENTS AND FORM FRA F 6180.98 BECOME EFFECTIVE? Before 1997, FRA Asked Railroad Responded FRA doesn’t have a regulation that would require us to show our non-reportable cases. May I inspect your Non-Reportable Employee Records?

  9. FRA Form F 6180.98 Railroad Employee Injury and/or Illness Record Five year retention period for Form FRA F 6180.98 - See§ 225.27 Retention of records.

  10. FRA Recordkeeping Requirements WHY DID FRA’S RECORDKEEPING REQUIREMENTS AND FORM FRA F 6180.107 BECOME EFFECTIVE? Before 2003, FRA Asked Railroads Responded Most are received in letters of representation from attorneys and contain very little information. Why are you not recording any employee ILLNESSES on FRA Form F 6180.98?

  11. FRA Form F 6180.107 Alternative Record for Illnesses Claimed to be Work-Related Five year retention period for Form FRA F 6180.107 - See 49 CFR 225.27, Retention of Records.

  12. FRA Recordkeeping Forms • F6180.97* – Initial Rail Equipment Accident/Incident Record • F6180.98* – Railroad Employee Injury and/or Illness Record • F6180.107 – Alternative Record for Illnesses Claimed to be Work-Related *The recordkeeping requirements regarding accountable injuries and illnesses and accountable rail equipment accidents/incidents do not apply to 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, and railroads that operate or own track exclusively off the general system.

  13. FRA Record Keeping Requirements Form FRA F 6180.97, or the Alternative Railroad-Designed Record of Each On-Track Accident/Incident Railroads must maintain a record (Form FRA F 6180.97 or the alternative railroad designed record) of each accountable and reportable on-track accident/incident. See 49 CFR 225.25(d) and (e). The railroad shall enter each reportable and accountable rail equipment accident/incident on the appropriate record as early as practicable, but no later than seven working days after receiving information or acquiring knowledge that a rail equipment accident/incident has occurred. See 49 CFR 225.25(f).

  14. FRA Record Keeping Requirements Form FRA F 6180.97, or the Alternative Railroad-Designed Record of Each On-Track Accident/Incident During FRA’s audits, we compare the date of the accident to the Date Prepared to determine if the record has been completed within the seven working day requirement, and thus compliant with § 225.25(f). . 15/07/25 In this example, the Form FRA F 6180.97 was completed in three calendar days – thus this record was compliant with Section 225.25(f) as it was completed within the seven working day requirement. 15/07/28

  15. FRA Record Keeping Requirements Form FRA F 6180.97, or the Alternative Railroad-Designed Record of Each On-Track Accident/Incident An accountable rail equipment accident/incident means, “(1) any derailment regardless of whether it causes any damage, or (2) any collision, highway-rail grade crossing accident/incident, obstruction accident, other impact, fire or violent rupture, explosion-detonation, act of God, or other accident/incident involving the operation of railroad on-track equipment (standing or moving) that results in damage to the railroad on-track equipment (standing or moving), signals, track, track structures or roadbed and that damage impairs the functioning or safety of the railroad on-track equipment (standing or moving), signals, track, track structures or roadbed.”

  16. FRA Record Keeping Requirements Form FRA F 6180.98 or the Alternative Railroad-Designed Record of Each Accountable and Each Employee-Reportable Injury/Illness Railroads must maintain a record (Form FRA F 6180.98 or the alternative railroad-designed record) of each accountable and each employee reportableinjury/illness. See 49 CFR 225.25(a) and (b). Each railroad shall enter each reportable and accountable injury/illness on the appropriate record as early as practicable, but no later than seven working days after receiving information or acquiring knowledge that an employee injury or illness has occurred. See 49 CFR 225.25(f).

  17. FRA Record Keeping Requirements Form FRA F 6180.98 or the Alternative Railroad-Designed Record of Each Accountable and Each Employee-Reportable Injury/Illness Accountable injury or illness means, “any abnormal condition or disorder of a railroad employee regardless of whether it meets the general reporting criteria listed in § 225.119(d)(1) through (d)(6), when such injury or illness causes or requires the railroad employee to be examined or treated by a qualified healthcare professional, and the railroad employee claims that, or the railroad otherwise has knowledge that, the abnormal condition or disorder is work-related.”

  18. FRA Record Keeping Requirements FRA Form F6180.107 • Form F6180.107 is to be used only when a railroad employee claimed occupationalillness and the work relationship is under dispute, or the illness has been determined not to be work related. • Form F6180.107 is to be used for: • All employee claimed occupational illnesses - • For which there is insufficient information to determine whether the illness is work-related • For which the railroad has made a preliminary determination that the illness is not work-related; or • For which the railroad has made a final determination that the illness is not work-related (Continued to next slide)

  19. FRA Record Keeping Requirements FRA Form F6180.107 (Continued) • Form F6180.107 is not to be used for: • Illnesses of worker-on-duty (Class A) that have already been reported on Form F6180.98 or Form F6180.55a. • Form F6180.107 was created to allow for partial record keeping of claimed occupational illnesses by employees that are reported outside of normal reporting channels, e.g., “blind lawsuits”.

  20. FRA Record Keeping RequirementsMonthly Posting of Employee Casualties 49 CFR 225.25(h), requires all railroads to post: • … a listing of all injuries and occupational illnesses reported to FRA as having occurred at an establishment shall be posted in a conspicuous location at that establishment, within 30 days after the expiration of the month during which the injuries and illnesses occurred. • The posting shall reflect Injuries and Occupational Illnesses reported to the FRA for the past 12 consecutive months. • When there are no reportable injuries or occupational illnesses associated with an establishment for a particular month, the listingshall make reference to this fact.

  21. FRA Record Keeping RequirementsMonthly Posting of Employee Casualties • The posting shall contain, at a minimum, the following information: • Name and address of the establishment • Calendar year of the cases being displayed • Incident number used to report case • Date of the injury or illness • Location of incident • Regular job title of employee injured or ill • Description of injury or condition • Number of days absent from work at time of posting • Number of days of work restriction at time of posting • If fatality, date of death • Annual average number of railroad employees reporting to this establishment • Preparer’s name, title, phone number (with area code), signature • Date report was completed

  22. FRA Record Keeping RequirementsMonthly Posting of Employee Casualties • 49 CFR 225.25(h)(15): • A railroad is permitted to NOT post information on an injury or illness only if the employee who incurred the injury or illness makes a request, in writing, to the railroad’s reporting officer that his or her particular injury or illness not be posted, or if an occupational injury or illness is a privacy concern case (49 CFR 225.5 for Privacy Concern Case information). See 49 CFR 225.25(h)(15).

  23. FRA Record Keeping RequirementsMonthly Posting of Employee Casualties 49 CFR 225.5, “Definitions”: • Privacy Concern Caseis any occupational injury or illness in the following list: • (1) Any injury or illness to an intimate body part or the reproductive system; • (2) An injury or illness resulting from a sexual assault; • (3) Mental illnesses; • (4) HIV infection, hepatitis, or tuberculosis; • (5) Needlestick and sharps injuries; and • (6) Other injuries or illnesses, if the employee independently and voluntarily requests in writing to the railroad reporting officer that his or her injury or illness not be posted.

  24. Summary of Audit ProcedureRecord keeping Requirements FRA Forms F 6180.97; F 6180.98, F 6180.107 andMonthly Posting Requirement ARE THERE ANY QUESTIONS OR COMMENTS? Please contact Bob Portsche at robert.portsche@dot.gov, or Michael Wissman at michael.wissman@dot.gov

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