Appendix A to Part 225

Section² Violation Willful Violation 225.6: Failure to comply with consolidated reporting requirements$2,500$5,000 225.9: (1) Failure to report2,5005,000 (2) Failure to immediately report1,0002,000 (3) Failure to accurately report1,0002,000 225.11: (1) Failure to report accident/incident2,5005,000 (a) Highway-rail grade crossing (b) Rail Equipment (c) Death, Injury, or occupational illness (2) Report is incomplete1,0002,000 225.12: Failure to file Railroad Employee Human Factor form2,5005,000 (a) Failure to file Railroad Employee Human Factor Attachment correctly: (1) Employee identified2,5005,000 (2) No employee identified1,0002,000 (b) (1) Failure to notify employee properly2,5005,000 (2) Notification of employee not involved in accident2,5005,000 (c) Failure of employing railroad to provide requested information properly1,0002,000 (d) (1) Failure to revise report2,5005,000 (2) Failure to notify after late identification2,5005,000 (f) Submission of notice if employee dies as result of the reported accident2,5005,000 (g) Willfully false accident statement by employee5,000 225.13: (1) Failure to Late reports2,5005,000 (2) Failure to Review Employee Statement2,5005,000 (3) Failure to Amend Report1,0002,000 225.18: Alcohol or drug involvement2,5005,000 225.23: Joint operations(¹)(¹) 225.25: (1) Recordkeeping2,5005,000 (2) Failure to post list1,0002,000 (3) Posting Prohibited Information1,0002,000 (4) Missing fields1,0002,000 225.27: (1) Failure to retain records1,0002,000 (2) Failure to retain electronic receipt1,0002,000 (3) Failure to comply with electronic recordkeeping requirements1,0002,000 (4) Failure to provide access to records1,0002,000 225.33: (1) Failure to adopt Internal Control Plan or more than two missing/outdated/incorrect components2,5005,000 (2) Internal Control Plan with less than three missing/outdated/incorrect components1,0002,000 (3) Failure to comply with Internal Control Plan2,5005,000 (4) Failure to comply with the intimidation/harassment policy in Internal Control Plan2,5005,000 (5) Failure to comply with requirements associated with Form FRA F 6180.1502,5005,000 225.35: Access to records and reports2,5005,000

¹ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to the statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A. A failure to comply with § 225.23 constitutes a violation of § 225.11. For purposes of §§ 225.25 and 225.27 of this part, each of the following constitutes a single act of noncompliance: (1) A missing or incomplete log entry for a particular employee's injury or illness; or (2) a missing or incomplete log record for a particular rail equipment accident or incident. Each day a violation continues is a separate offense.

² The penalty schedule uses section numbers from 49 CFR part 225. If more than one item is listed as a type of violation of a given section, each item is also designated by a “penalty code,” which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.

[75 FR 68909, Nov. 9, 2010, as amended at 77 FR 24421, Apr. 24, 2012; 81 FR 43110, July 1, 2016; 83 FR 60748, Nov. 27, 2018[Reserved]