diff --git "a/Work.txt" "b/Work.txt" new file mode 100644--- /dev/null +++ "b/Work.txt" @@ -0,0 +1,19120 @@ +FEDERAL RAILROAD ADMINISTRATION +GUIDE FOR PREPARING +U.S. DOT CROSSING INVENTORY FORMS +U.S. Department of Transportation +Federal Railroad Administration +Office of Railroad Safety +July 2016 +DOT/FRA/RRS-23 +Initial Publication: January 6, 2015 +Second Revision: July 19, 2016 + +Revision Index + Insertion of OMB-approved Inventory Form (Appendix A, U.S. DOT Crossing Inventory Form) - +Insertion date: March 5, 2015. + Updated e-mail address for the submission of scanned Inventory Forms. (Appendix E, Question +10) - Revision date: March 5, 2015. + Updated e-mail address for Inventory Number requests. (Appendix A, U.S. DOT Crossing +Inventory Form) – Insertion date: July 19, 2016. + Updated e-mail address for Inventory Number requests. (Appendix E, Question 4) – Revision +date: July 19, 2016. + +Table of Contents +I. INTRODUCTION ..............................................................................................................1 +II. INSTRUCTIONS FOR COMPLETING THE U.S. DOT CROSSING INVENTORY +FORM .................................................................................................................................3 +1. Header Information ........................................................................................................3 +2. Part I – Location and Classification Information ...........................................................8 +3. Part II – Railroad Information ......................................................................................23 +4. Part III – Highway or Pathway Traffic Control Device Information ...........................28 +5. Part IV – Physical Characteristics ................................................................................40 +6. Part V – Public Highway Information .........................................................................46 +APPENDIX A – U.S. DOT Crossing Inventory Form ...................................................... A-1 +APPENDIX B – Responsibility Table for Periodic Updates to the Crossing Inventory ....B-1 +APPENDIX C – Reporting Crossings That Have Multiple Operating Railroads ..............C-1 +APPENDIX D – Definitions .............................................................................................. D-1 +APPENDIX E – Frequently Asked Questions (FAQs) ...................................................... E-1 +APPENDIX F – High-Speed Rail ID Corridor Designations and Codes ........................... F-1 +Highway-Rail Crossing Inventory Instruction and Procedures Manual +1 +Instructions for Completing the U.S. DOT Crossing Inventory Form +I. INTRODUCTION +This Guide for Preparing U.S. DOT Crossing Inventory Forms (Guide) is intended to +provide guidance to operating railroads and States on completing the U.S. DOT +Crossing Inventory Form (Inventory Form) for highway-rail and pathway crossings. +The type of crossing will dictate which parts of the Inventory Form must be completed +by operating railroads for the initial reporting of new and previously unreported highwayrail and pathway crossings. The Inventory Form will be considered “completed” if the +following parts are completed: + Public Highway-Rail Grade Crossing: Complete entire Inventory Form (with the +exception of I.20 and III.2.K.); + Private Highway-Rail Grade Crossing: Complete Header, plus Parts I, II, and +III.2.K. of the Inventory Form and the Submission Information section; + Public Pathway Grade Crossing: Complete Header, plus Parts I and II of the +Inventory Form (with the exception of I.20) and the Submission Information +section; + Private Pathway Grade Crossing: Complete Header, plus Parts I, II, and III.2.K. +of the Inventory Form and Submission Information section; + Pedestrian Station Grade Crossing (pedestrian station.): Complete Header, plus +Parts I and II of the Inventory Form (with the exception of I.20) and Submission +Information section; + Grade-separated Crossing (highway-rail, pathway, and pedestrian station): +Complete Header, plus Part I of the Inventory Form (with the exception of I.20) +and the Submission Information section. +Please refer to the Crossing Inventory Responsibility Table in Appendix B for +detailed instructions regarding which data fields must be verified or updated at +least every 3 years by the primary operating railroad, as part of the periodic +updating process. +When there has been a change in crossing characteristics (such as a change in +the crossing surface or a change in the crossing warning devices) at a public +highway-rail grade crossing, as required by Title 49 Code of Federal Regulations +(CFR) Section 234.411(c), complete all of the data fields in the Header of the +Inventory Form, check the “Change in Data” box in “Reason for Update” field and +update all data fields in Parts II and III on the Inventory Form. If a hardcopy +Highway-Rail Crossing Inventory Instruction and Procedures Manual +2 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Inventory Form update will be submitted to the Crossing Inventory, complete the +Submission Information section of the Inventory Form as well. +Hardcopy Submission +Please see FRA’s Web site for the correct mailing address for hardcopy +U.S. DOT Crossing Inventory (Crossing Inventory) Submissions. +Electronic Submission +Completed Inventory Forms may also be submitted electronically to the +Crossing Inventory. Detailed instructions for the electronic submission of +Inventory Forms can be found in the Electronic Submission Instructions, which is +a separate document. +Updates to this Guide +Please refer to FRA’s Web site for updates to this Guide. + +Highway-Rail Crossing Inventory Instruction and Procedures Manual +3 +Instructions for Completing the U.S. DOT Crossing Inventory Form +II. INSTRUCTIONS FOR COMPLETING THE U.S. DOT CROSSING +INVENTORY FORM +1. Header Information +All Header data must be entered by the reporting agency +Figure 2-1: U.S. DOT-FRA Crossing Inventory Form Heading +Instructions +A brief set of instructions is provided at the top of the form. +A. Revision Date: +Figure 2-2: U.S. DOT-FRA Crossing Inventory Form Heading, Item A +Enter the date that the revision is being submitted in MM/DD/YYYY format. +Example: July 23, 2010, would be entered as 07/23/2010. +For hardcopy Inventory Form submissions, the revision date should be the certified +mailing date. +B. Reporting Agency: +Figure 2-3: U.S. DOT-FRA Crossing Inventory Form Heading, Item B +Enter a check in the appropriate box to indicate the type of agency that is submitting the +update or the establishment of a new crossing. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +4 +Instructions for Completing the U.S. DOT Crossing Inventory Form +The “Transit” box should be checked by urban rapid transit operators who submit +crossing data to the Crossing Inventory, including: + Urban rapid transit operators who operate through highway-rail grade crossings +and pathway grade crossings located on the same track used by railroads that +are part of the general railroad system of transportation. + Urban rapid transit operators who operate through highway-rail grade crossings +and pathway grade crossings that are located within a shared corridor or right-ofway, and shared crossing warning devices, with railroads that are part of the +general railroad system of transportation. + Urban rapid transit operators who do not have one of the above-listed +connections to the general railroad system of transportation, yet operate through +highway-rail crossings and pathway crossings. (Urban rapid transit operators in +this last category are encouraged, but not required, to submit crossing data to the +Crossing Inventory.) +The “Other” box should be checked by public authorities who submit crossing data to +the Crossing Inventory for quiet zone-related purposes. The “Other” box should not be +checked by delegated users or third-party entities who are submitting crossing data on +behalf of a railroad or State user. Delegated users are instructed to check the box that +applies to the entity on whose behalf the crossing data is being submitted. +Public authorities who submit crossing data to the Crossing Inventory have been +instructed to use hardcopy Inventory Forms for this purpose. Therefore, crossing data +submitted electronically will not be accepted by the Grade Crossing Inventory System +(GCIS) if the “Other” box has been checked. +C. Reason for Update: +Figure 2-4: U.S. DOT-FRA Crossing Inventory Form Heading, Item C +Check only one box to indicate the primary reason for the change. +The nine checkbox selections account for the various reasons for submitting an update. +These include the following: + Change in Data – Submission of crossing data associated with an actual change +in crossing characteristics that is not reflected by any of the other box selections +below. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +5 +Instructions for Completing the U.S. DOT Crossing Inventory Form +This includes cases where crossing type is changed from “Private” to “Public” for +a highway-rail grade crossing; the entire Inventory Form (or its electronic +equivalent) must be completed. Please reference Part I, Box 17. + New Crossing – An open crossing that is not currently in the Crossing Inventory. +This could be either a new crossing or one that was previously unreported. + Closed – A location where a previous crossing no longer exists because either +the railroad tracks have been physically removed, or each pathway or roadway +approach to the crossing has been physically removed, leaving behind no +intersection of railroad tracks with either a pathway or roadway. A gradeseparated highway-rail or pathway crossing that has been physically removed is +also considered a closed crossing. + No Train Traffic – A crossing through which trains no longer operate. +Note: The primary operating railroad is responsible for updating the Crossing +Inventory to reflect that a highway-rail grade crossing or pathway grade crossing +is no longer subject to train traffic. This update should be made as soon as +possible, but must be made no later than the next required periodic update. +When the Crossing Inventory is updated to reflect a change to No Train Traffic +status, Parts II.1 and II.3 must be changed to reflect all zeros and the Part II.2 +must reflect the current year the update is made. + Re-Open – A closed crossing or crossing that was not previously subject to train +traffic which has been placed into active service. + Note: The primary operating railroad is responsible for updating the Crossing +Inventory to reflect that a highway-rail grade crossing or pathway grade crossing +has been placed into active service. This update should be made as soon as +possible, but must be made no later than the next required periodic update. + Date Change Only – An update to indicate that crossing data has not changed +since the last update to the Crossing Inventory. If this box is checked, the GCIS +will not allow changes to be made to any other data fields in the Crossing +Inventory prior to submission. + Change in Primary Operating RR – A change in primary operating railroad. + Admin. Correction – A correction to data that is currently contained in the +Crossing Inventory. This box should be checked for corrections of data +previously submitted in error. (This box should not be checked to report a +previously unreported crossing.) +Highway-Rail Crossing Inventory Instruction and Procedures Manual +6 +Instructions for Completing the U.S. DOT Crossing Inventory Form + Quiet Zone Update – Any change to the quiet zone status for that crossing. +Note: This box is reserved for FRA use only. +Depending on the reporting agency, only certain values apply. New Crossing, No +Traffic, Re-Open, and Change in Primary Operating RR are limited to railroads. Closed, +Change in Data, Date Change Only, and Admin. Correction may apply to all reporting +entities. As noted above, Quiet Zone Update will only apply to FRA use +(Part I, Box 25). +D. DOT Crossing Inventory Number +Figure 2-5: U.S. DOT-FRA Crossing Inventory Form Heading, Item D +Enter a valid Inventory Number (6-digits followed by an alpha character). Please refer +to Appendix A for an explanation about how to obtain Inventory Numbers for new and +previously unreported crossings. +For new or previously unreported crossings, the assignment of an Inventory Number +occurs when the number is placed on a completed Inventory Form by the responsible +railroad and the completed Inventory Form is submitted for inclusion in the U.S. DOT +National Highway-Rail Crossing Inventory. More than one crossing number may be +assigned to multiple pathway crossings within a station or yard facility. +Note: Once assigned, the Inventory Number stays with that location forever. If the +crossing is eventually closed, the Inventory Number and data at the time of closure +remains in the file. If the crossing is reopened at the same location, the same Inventory +Number must be used again. +Inventory Number Assignment: Only one Inventory Number may be assigned to a +crossing even if the individual tracks belong to more than one Railroad Company or +track owner. +Crossing on Multi-lane Roads: A crossing on a multi-lane roadway shall be reported +as a single crossing and there shall only be one Inventory Number assigned even if a +railroad track moves diagonally across a highway-highway intersection. +Crossings on Private Company or Railroad Property: Where there is more than one +crossing in a railroad yard or an area belonging to a private company, a port, or a dock, +one Inventory Number may be assigned to include all crossings within the private +property limits. In addition, one Inventory Number may be used for multiple pathway +crossings contained within a railway station. When one Inventory Number has been +Highway-Rail Crossing Inventory Instruction and Procedures Manual +7 +Instructions for Completing the U.S. DOT Crossing Inventory Form +assigned to multiple crossings, the primary operating railroad may determine the best +method for selecting latitude and longitude coordinates for the purpose of submitting +data to the Crossing Inventory. However, when more than one railroad owns track that +leads into a private company, port, or dock area, each railroad will be considered to be +a primary operating railroad and must assign its own Inventory Number to the +crossing(s) within the private company. +If the railroad would like to extract one or more crossings that have been grouped +together under the same Inventory Number, the railroad may request a new Inventory +Number for each extracted crossing. However, the original Inventory Number must +continue to be assigned to at least one of the crossings that were previously grouped +together. In order to maintain a link between the new Inventory Number and the original +Inventory Number, the primary operating railroad must also include a note in the +“Narrative (Railroad Use)” data field in Part I of the Inventory Form that references the +original Inventory Number for each crossing that has been assigned a new Inventory +Number. +Diagonal Crossing through a Highway-Highway Intersection: When the railroad +tracks run diagonally through a highway-highway intersection, thus bisecting the two +roadways, only one Crossing Inventory Number is to be assigned and the names of +both roadways are to be identified in the Street/Road Name data field. +Highway Bridge Grade-Separated Crossings: When roadways have highway bridge +structures that are grade-separated crossings (usually two separate bridges each used +for highway traffic in opposite directions), assign one number to each structure if the +bridge structures are separated by 100 feet or more. If the bridge structures are less +than 100 feet apart, one or two numbers may be assigned in accordance with State +policy. Assign only one Crossing Inventory Number for bridge structures that are +connected or considered to be one structure for both directions of highway traffic. +Conversion of an At-Grade Crossing to a Grade-Separated Crossing: When an atgrade crossing is replaced with a grade separation, the at-grade crossing shall be +closed and a new crossing inventory number assigned to the grade separation. In the +Narrative, it is advisable to indicate something like “replaces at-grade crossing with DOT +Number ######X.” + +Highway-Rail Crossing Inventory Instruction and Procedures Manual +8 +Instructions for Completing the U.S. DOT Crossing Inventory Form +2. Part I – Location and Classification Information +Figure 2-6: U.S. DOT-FRA Crossing Inventory Form Part I, Location and Classification Information +1. Primary Operating Railroad +Figure 2-7: U.S. DOT-FRA Crossing Inventory Form Part I, Item 1 +Enter the valid, railroad code (up to four letters) for the “Primary Operating Railroad” +company. + +Highway-Rail Crossing Inventory Instruction and Procedures Manual +9 +Instructions for Completing the U.S. DOT Crossing Inventory Form +The primary operating railroad may or may not own and maintain the roadbed, tracks, +and signal system controlling the crossing. If the primary operating railroad company is +not the owner of the track, enter the owner's name in Item 16, “Crossing Owner.” +However, an operating railroad that contracts out its train operations, such as some +commuter railroads, should identify itself as the primary operating railroad, if the +operating railroad qualifies for primary operating railroad status. The contract railroad +operator should not be identified as the primary operating railroad. +Entities who are not subject to the reporting and updating requirements contained in +Title 49 Code of Federal Regulations (CFR) Part 234, Subpart F, such as plant railroads +and urban rapid transit operators who do not operate through highway-rail or pathway +crossings located on track shared with general system railroads or crossings located +within a common right-of-way or corridor with a general system railroad, are invited to +submit crossing data to the Crossing Inventory on a voluntary basis. For this limited +purpose, any railroad-related entity that submits crossing data to the Crossing Inventory +should identify itself as the primary operating railroad when submitting crossing data to +the Crossing Inventory. +Where multiple railroads or urban rapid transit operators operate trains on separate +tracks through the same crossing, each railroad or urban rapid transit operator must +submit crossing data to the Crossing Inventory (see Part I, Item 7 below), and each +must place its name in the field titled “Primary Operating Railroad” (this links each +railroad to the data it has submitted). +Note: FRA assigns valid railroad codes. If the valid railroad or company code is not +known, the initiator should contact FRA to obtain the correct code, or to have a new +code assigned for a new railroad or company. In the latter case, the complete railroad +company name, address, telephone number, and a contact person are required. To +contact FRA about railroad or company codes, send an email to: +FRARailCodes@dot.gov. +2. State +Figure 2-8: U.S. DOT-FRA Crossing Inventory Form Part I, Item 2 +Enter the two-character U.S. Postal Service (USPS) abbreviation for the State where +the crossing is located. +If the crossing is on a State boundary so that parts of the crossing lie in two or more +States, the agreement must be made between the two States as to which will claim the +crossing for inventory record purposes and that State’s abbreviation must be shown. +When a crossing is located on a State line, it is suggested that the crossing be +inventoried by, and shown as in, the State that is geographically south or east of the +Highway-Rail Crossing Inventory Instruction and Procedures Manual +10 +Instructions for Completing the U.S. DOT Crossing Inventory Form +crossing. FRA suggests that when a crossing lies on the border of a State that this be +noted in the appropriate comment boxes at the end of Part I, giving the name of the +other entity. +3. County +Figure 2-9: U.S. DOT-FRA Crossing Inventory Form Part I, Item 3 +Enter the name of the county (or parish) where the crossing is located. The county +must be in the State identified in Part I, Item 2. +If the crossing is on a county line so that parts of the crossing lie in two or more +counties, a decision must be made to place it in only one county. When a crossing is +located on a county line, it is suggested that the crossing be shown as in the county that +is geographically south or east of the crossing. FRA suggests that when a crossing lies +on the border of a county that this be noted in the appropriate comment boxes at the +end of Part I, giving the name of the other entity. +4. City/Municipality +Figure 2-10: U.S. DOT-FRA Crossing Inventory Form Part I, Item 4 + +Enter a check to indicate if the crossing is located “In” or “Near” the specified +“City/Municipality.” +If the crossing is not within the boundaries of a city, town, or village, enter a check in the +box for “Near.” If “Near” is checked, enter the name of the city or municipality along the +rail line that is closest to the crossing. The city must be in the State identified in Item 2, +but it does not have to be in the county identified in Item 3, “County.” +If the crossing is located within the boundaries of a city, town, or village, enter a check +in the box for “In” and enter the name of the city, town, or village in which the crossing is +located. The city must be in the county identified in Part I, Item 3. +If parts of the crossing lie in two or more cities, towns, or villages, identify only one city +or municipality. FRA suggests that when a crossing lies on the border of two or more +cities, towns, or villages that this be noted in the appropriate comment boxes at the end +of Part I, giving the name of the other cities or municipalities. +5. Street/Road Name & Block Number +Figure 2-11: U.S. DOT-FRA Crossing Inventory Form Part I, Item 5 +Highway-Rail Crossing Inventory Instruction and Procedures Manual +11 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Enter the street or road name. Street name aliases should not be used. +The block number field is optional. In order to complete this field, enter the block +number (up to 6 characters) of the street or road where the crossing is located in the +right side of the box. For example, if the closest building has an address of “4285,” then +the block number is “4200.” +For new crossings and future updates, enter the full street name without abbreviations +(e.g., N. Canal St. should be North Canal Street, 4th Oak Ave should be Fourth Oak +Avenue). +If the roadway is private and it has a name, enter the name of the road or the owner's +name. Otherwise, if such information is unknown, enter “private“. +When the railroad tracks run diagonally through a highway-highway intersection, thus +bisecting the two roadways, only one Inventory Number is to be assigned and the +names of both roadways are to be identified in the Street/Road Name data field. +Therefore, when entering both roadways in this block, separate with “ / ,” for example +“Elm Street/Main Avenue.” +6. Highway Type and Number +Figure 2-12: U.S. DOT-FRA Crossing Inventory Form Part I, Item 6 +Enter the type and number of highway or roadway designated by the State, such as +Interstate (I), U.S. numbered routes (US), State roadways (SR, ST or SH), county roads +(C) or (CR), local city streets (L or LS), local roads (LR), toll roads (TL), State loop/spur +(SL), farm to market (FM) etc., and the number, e.g., I-95, US-1, SR-234, C-2096, etc. +The number of the highway should be posted on the highway and found on State or +county maps. If there is more than one number, enter the most important route, or all +the numbers separated by a comma. +7. Do Other Railroads Operate a Separate Track at Crossing? +Figure 2-13: U.S. DOT-FRA Crossing Inventory Form Part I, Item 7 +Enter a check in the appropriate box to indicate if another operating railroad operates +over a separate track at the crossing. If “Yes,” enter the FRA railroad code for all +operating railroads that operate over a separate track within the same pair of warning +devices at the crossing. A total of four railroad codes may be entered with up to four +Highway-Rail Crossing Inventory Instruction and Procedures Manual +12 +Instructions for Completing the U.S. DOT Crossing Inventory Form +characters each in this field. +IMPORTANT– If the “Yes” box is checked and one or more FRA railroad codes have +been entered, each individual operating railroad identified must provide the following +data to the Crossing Inventory: header information; Part I, Box 1, Boxes 9–12, Box 22; +and Part II, Boxes 1–3; and the submission information. The name of the operating +railroad submitting the data should be listed in Part I, Box 1, whether or not the +individual operating railroad is the primary operating railroad. +The primary operating railroad, in addition to providing the above information, must +complete all of the remaining fields on the Inventory Form, in accordance with the +Instructions at the top of the Form. +Note: Please refer to Appendix C for a detailed explanation of how each operating +railroad is required to submit its own inventory record and future updates. +8. Do Other Railroads Operate Over Your Track at Crossing? +Figure 2-14: U.S. DOT-FRA Crossing Inventory Form Part I, Item 8 +Enter a check in the appropriate box to indicate if another operating railroad operates +over the reporting railroad’s track at the crossing. If “Yes,” enter the FRA railroad code +for all operating railroads that operate trains over the track at the crossing. A total of four +railroad codes may be entered with up to four characters each in this field. +9. Railroad Division or Region +Figure 2-15: U.S. DOT-FRA Crossing Inventory Form Part I, Item 9 +Enter the name of the division, region, or major district, if the railroad system is divided +into such groups. Otherwise, check the “None” box. +10. Railroad Subdivision or District +Figure 2-16: U.S. DOT-FRA Crossing Inventory Form Part I, Item 10 +Enter the name of the subdivision or other classification, if the railroad system is divided +into such groups. Otherwise, check the “None” box. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +13 +Instructions for Completing the U.S. DOT Crossing Inventory Form +11. Branch or Line Name +Figure 2-17: U.S. DOT-FRA Crossing Inventory Form Part I, Item 11 +Enter the name of the branch or line used by the railroad to describe this segment of +track. For example, if the track is an industry lead, industry spur, yard lead, or wye, +enter the name of the track or the name of the industry. If the branch or line does not +have a specific name, then check the “None” box . +12. RR Milepost +Figure 2-18: U.S. DOT-FRA Crossing Inventory Form Part I, Item 12 +Enter the railroad milepost number in miles and thousandths of miles (5.3 feet is +approximately 1/1000 mile). Enter the number with the decimal point in the following +format: (nnnn.nnn). If this accuracy is not attainable, then enter the milepost in miles +and hundredths of miles (53 feet is approximately 1/100 mile). Enter the prefix or suffix +identified with the milepost if it has one or both. +13. Line Segment ID +Figure 2-19: U.S. DOT-FRA Crossing Inventory Form Part I, Item 13 +Enter the railroad identification number for the line segments if the railroad has such a +system. If the crossing has an identification number other than the DOT number, such +as a State agency number (e.g., a Public Utility Commission (PUC) assigned number), +that number may be entered here or in one of the “State Use” fields (Items 31. A–D). +This field is optional. +14. Nearest RR Timetable Station +Figure 2-20: U.S. DOT-FRA Crossing Inventory Form Part I, Item 14 +Enter the name of the nearest timetable station for the primary operating railroad +company. This field is optional. +15. Parent RR +Highway-Rail Crossing Inventory Instruction and Procedures Manual +14 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Figure 2-21: U.S. DOT-FRA Crossing Inventory Form Part I, Item 15 +If applicable, enter the code for the parent railroad or the company that is parent to the +operating railroad entered in Part I, Item 1, “Primary Operating Railroad.” The entry +must be a valid railroad or company code, which can be obtained from FRA. Otherwise, +check the “N/A” box. +16. Crossing Owner +Figure 2-22: U.S. DOT-FRA Crossing Inventory Form Part I, Item 16 +If applicable, enter the code for the crossing owner (maximum of four characters) of the +entity that actually owns the property. The entry must be a valid railroad, company, or +agency code. If unknown, it can be obtained from FRA. Otherwise, check the “N/A” +box. +17. Crossing Type +Figure 2-23: U.S. DOT-FRA Crossing Inventory Form Part I, Item 17 +Check the “Public” box if: + The crossing is located where a public highway, road, or street crosses one or +more railroad tracks either at grade or grade-separated. + The crossing is a public pathway explicitly authorized by a public authority that is +dedicated for the use of non-vehicular traffic, including pedestrians, bicyclists, +and others, which is not associated with a public highway, road, or street. + The crossing is a pathway explicitly authorized by a public authority or a railroad +carrier that is dedicated for the use of non-vehicular traffic and is located within a +railway station. +Check the “Private” box if: + The crossing is a location where a private roadway crosses one or more railroad +tracks either at grade or grade-separated. + The crossing is a private pathway, either at grade or grade-separated, explicitly +authorized by a railroad carrier that is dedicated for the use of non-vehicular +Highway-Rail Crossing Inventory Instruction and Procedures Manual +15 +Instructions for Completing the U.S. DOT Crossing Inventory Form +traffic, including pedestrians, bicyclists, and others, which is not associated with a +private roadway. +If Crossing Type is changed from “Private” to “Public” for a highway-rail grade crossing, +the entire Inventory Form (or its electronic equivalent) must be completed. +18. Crossing Purpose +Figure 2-24: U.S. DOT-FRA Crossing Inventory Form Part I, Item 18 +If the crossing is primarily intended for highway users, including crossings equipped with +vehicular and pedestrian warning devices, check the “Highway” box. +If the crossing is a pathway crossing not within a passenger station, check the +“Pathway, Ped.” box. A pathway crossing is: 1) explicitly authorized by a public +authority or a railroad, 2) dedicated for the use of non-vehicular traffic, including +pedestrians, bicyclists, and others, and 3) not associated with a public or private +highway, road, or street. +If the crossing is a pathway crossing located within a passenger station, check the +“Station, Ped.” box. +19. Crossing Position +Figure 2-25: U.S. DOT-FRA Crossing Inventory Form Part I, Item 19 +If the crossing is at the same level as the road or pathway, check the “At Grade” box. If +the railroad passes under the roadway or pathway, check the “RR Under” box. If the +railroad passes over the roadway or pathway, check the “RR Over” box. +20. Public Access at Private Crossing +Figure 2-26: U.S. DOT-FRA Crossing Inventory Form Part I, Item 20 +Public access means that the crossing is a location where the railroad tracks intersect +with a private toll road or privately owned road or pathway where the public is allowed to +travel without access restrictions. Examples of such locations include, but are not +limited to, shopping centers, fairgrounds, parks, schools, residential housing +Highway-Rail Crossing Inventory Instruction and Procedures Manual +16 +Instructions for Completing the U.S. DOT Crossing Inventory Form +developments (of at least five dwellings), libraries, hospitals, clinics, airports, bus +terminals, beaches, piers, boat launching ramps, and recreational areas. +Enter a checkmark in the box to indicate “Yes” if there is public access at the private +crossing or “No” if there is not. There should be no entry made if the crossing is public. +21. Type of Train +Figure 2-27: U.S. DOT-FRA Crossing Inventory Form Part I, Item 21 +Check each box that describes the type of rail service that uses the crossing. Check all +that apply. The types included are: + Freight + Intercity Passenger + Commuter – a local or regional rail system providing passenger service mostly +during the morning and evening peak periods on the general rail system. + Transit – a local rail system providing passenger service within an urban area +that is not connected to the general railroad system of transportation. + Shared Use Transit – a local rail system providing passenger service and +having some connection to the general railroad system of transportation. This +category includes urban rapid transit operations through highway-rail or pathway +crossings located on the same track used by railroads that operate on the +general railroad system of transportation (e.g., temporal separation or +simultaneous joint use). This category also includes urban rapid transit +operations through highway-rail or pathway crossings that are located within a +shared right-of way or corridor, and share the same crossing warning devices, +with a railroad which operates on the general railroad system of transportation. + Tourist/Other – tourist, scenic, historic, or excursion operations that carry +passengers with the conveyance of the passengers to a particular destination not +being the principal purpose +22. Average Passenger Train Count Per Day +Figure 2-28: U.S. DOT-FRA Crossing Inventory Form Part I, Item 22 +Highway-Rail Crossing Inventory Instruction and Procedures Manual +17 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Enter the average number of total passenger trains using this crossing, per day, on a +typical operating day. Intercity passenger, commuter, and urban rapid transit +operations, are all included in determining the average number for this field. The value +may not exceed the sum of the total train count in Part II, Item 1, “Estimated Number of +Daily Train Movements.” If the average passenger train count is less than one per day +(for example, “three per week”) check the “Less than one per day” box. If “Freight” is +the only type of train service that is checked in Part I, Item 21, “Type of Train Service,” +then the average passenger train count per day must be 0. +23. Type of Land Use +Figure 2-29: U.S. DOT-FRA Crossing Inventory Form Part I, Item 23 +Check the box that best describes the predominant type of land development in the +vicinity (a distance of up to 1,000 feet) of the crossing based on the following +categories: + “Open Space” – area that is sparsely or undeveloped, lightly populated. + “Farm” – agricultural area, including wineries and other types of nontraditional +agricultural enterprises. + “Residential” – built-up residential area. + “Commercial” – area with retail stores and businesses, offices, and personal +service buildings. + “Industrial” – area for manufacturing, construction, heavy products, factories, and +warehouses. + “Institutional” – e.g., schools, churches, hospitals, military, educational, religious, +health. + “Recreational” – e.g., Playgrounds, parks, or swim or golf clubs. + “RR Yard” – area used exclusively for railroad activity such as switching railcars. +24. Is there an Adjacent Crossing with a Separate Number? +Figure 2-30: U.S. DOT-FRA Crossing Inventory Form Part I, Item 24 +Enter a check in the “Yes” box to indicate that there is an adjacent crossing with a +separate number. If there is, enter the valid crossing number. If there is not an adjacent +crossing, then enter a check in the “No” box. Adjacent Crossings are grade crossings +with separate Crossing Inventory Numbers, with their own separate warning devices, on +Highway-Rail Crossing Inventory Instruction and Procedures Manual +18 +Instructions for Completing the U.S. DOT Crossing Inventory Form +the same vehicular highway or pathway, where the distance between the inside rail of +each crossing, as measured along the highway, does not exceed 100 feet. +25. Quiet Zone +Figure 2-31: U.S. DOT-FRA Crossing Inventory Form Part I, Item 25 +Leave this field blank because FRA will populate this field with information from Notices +of Quiet Zone Establishment that have been received. This item will indicate whether a +quiet zone is in effect for the crossing. If a quiet zone is in effect, this item will indicate if +it is for 24 hours per day or only a partial day (usually 10 p.m. to 7 a.m.) +If the crossing is not located in a Quiet Zone, the “No” box will be checked. If it is +located in a 24-hour quiet zone, the “24 hr” box will be checked. If it is located in a +partial quiet zone, the “Partial” box will be checked. If it is in a Chicago-excused area +(those crossings in the Chicago area that are currently excused from the Train Horn +Rule), the “Chicago Excused” box will be checked. The effective date that was provided +in the Notice of Establishment will be the “Date Established.” (Note: “Chicago Excused” +crossings will not have an entry in the “Date Established”). +26. HSR Corridor ID +Figure 2-32: U.S. DOT-FRA Crossing Inventory Form Part I, Item 26 +If this is a high-speed rail (HSR) crossing, enter the four-character “HSR Corridor ID” as +defined in Appendix F to this manual. +Note: This field is used to identify the “Section 1010” or “Section 1103” HSR corridor on +which the crossing is located. If the crossing is located on such a corridor, enter the +“HSR Corridor ID,” a four character code (ABC#) as defined in Appendix F to this +manual. The corridor may be divided into logical sections by including a numeric +number (1–9) for the “#” character. If a numeric number is not used, replace “#” with “X.” +FRA will assign an HSR Corridor ID for any corridor, or portion thereof that is not +currently defined in the Appendix. If “HSR Corridor ID” is not applicable, then check the +N/A box. +27. Latitude +Figure 2-33: U.S. DOT-FRA Crossing Inventory Form Part I, Item 27 +Highway-Rail Crossing Inventory Instruction and Procedures Manual +19 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Enter the latitudinal coordinate as measured at the center of the crossing. This field, +along with “Longitude,” is used to identify the crossing location using a standardized +Global Positioning System (GPS) location point. The “Latitude” must be entered in +decimal form as (nn.nnnnnnn), with at least five digits to the right of the decimal point +(which is accurate to 4 feet). We will accept up to seven places to the right of the +decimal point. +Actual latitude measurements can be obtained either with a GPS device at the crossing +location or by using an Internet mapping program, such as Google Maps or Bing Maps. +To find latitude and longitude on Google Maps, zoom in on the location of the crossing, +right click on the crossing, and select “What’s Here?” The coordinates will appear in the +search bar above the map, with the latitude measurement listed first. In Bing Maps, +right click on the crossing and select the gray box that either says “location” or identifies +the closest street address. The coordinates will appear under the address to the left of +the map, with the latitude listed first. +To convert latitude values from degrees, minutes, and seconds to decimal form: +Latitude in decimal format = degrees + (minutes divided by 60) + (seconds divided by +3,600). +Latitude coordinate ranges within the continental United States are from 24 to 49 +degrees. Alaska latitude values range from 50 to 71 degrees. +Note: The FRA Office of Railroad Safety uses the World Geodetic System 1984 +(WGS-84) datum standard. (A datum is the measurement [shape] of the earth's +ellipsoid.) +28. Longitude +Figure 2-34: U.S. DOT-FRA Crossing Inventory Form Part I, Item 28 +Enter the longitudinal coordinate as measured at the center of the crossing. This field, +along with “Latitude,” is used to identify the crossing location using a standardized GPS +location point. The “Longitude” must be entered in decimal form as (-nnn.nnnnnnn), +with at least five digits to the right of the decimal point (which is accurate to 4 feet). +FRA will accept up to seven places to the right of the decimal point. +Actual longitude measurements can be obtained either with a GPS device at the +crossing location, or by using an Internet mapping program, such as Google Maps or +Bing Maps. To find latitude and longitude on Google Maps, zoom in on the location of +the crossing, right click on the crossing and select “What’s Here?” The coordinates will +appear in the search bar above the map, with the longitude measurement listed second. +In Bing Maps, right click on the crossing and select the gray box that either says +Highway-Rail Crossing Inventory Instruction and Procedures Manual +20 +Instructions for Completing the U.S. DOT Crossing Inventory Form +“location” or identifies the closest street address. The coordinates will appear under the +address to the left of the map, with the longitude listed second. +To convert longitude values from degrees, minutes, and seconds to decimal form: +Longitude in decimal format = degrees + (minutes divided by 60) + (seconds divided by +3,600). +Longitude coordinate ranges within the continental United States are from -66 to -124 +degrees. Alaska longitude values range from -165 to -132 degrees. +Note: The FRA Office of Railroad Safety uses the WGS-84 datum standard. +29. Lat/Long Source +Figure 2-35: U.S. DOT-FRA Crossing Inventory Form Part I, Item 29 +Enter a check in the appropriate box to indicate the source, “Actual” or “Estimated,” for +the latitude and longitude coordinate values being provided. +Actual values are those where GPS measurements are taken at the crossing or +determined by a positive identification method. Latitude and longitude values, in +general, should be taken in the field at the intersection of the centerline of the roadway +or pathway with the centerline of the railroad tracks with a horizontal accuracy of +1 meter or better. Mapping software, such as Google or Bing maps, may be used to +obtain “Actual” values. +Otherwise, the values are indicated as “Estimated.” Any values provided after March 7, +2015 must be actual values. +30. Railroad Use +Figure 2-36: U.S. DOT-FRA Crossing Inventory Form Part I, Item 30 +Only the railroad may enter any text or data of its choice in these fields. For example, +the railroad may note whether monitoring is being conducted at a passive crossing. No +editing will be performed on these fields. These fields are optional. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +21 +Instructions for Completing the U.S. DOT Crossing Inventory Form +31. State Use +Figure 2-37: U.S. DOT-FRA Crossing Inventory Form Part I, Item 31 +Only the State may enter any text or data of its choice in these fields. For example, the +State may note whether monitoring is being conducted at a passive crossing. No +editing will be performed on these fields. If a State has a separate PUC number for a +crossing, the State may wish to use one of these fields for this purpose. (For those +States that have used the “RR ID” field for this in the past, FRA will move that data to +Item 31.A. if requested.) These fields are optional. +32.A. Narrative (Railroad Use) +Figure 2-38: U.S. DOT-FRA Crossing Inventory Form Part I, Item 32.A. +Enter any narrative comments desired in this field. Only the railroad may use this field +and no editing will be performed on this field. This field is optional. +32.B. Narrative (State Use) +Figure 2-39: U.S. DOT-FRA Crossing Inventory Form Part I, Item 32.B. +Enter any narrative comments desired in this field. Only the State may use this field +and no editing will be performed on this field. This field is optional. +33. Emergency Notification Telephone No. (posted) +Figure 2-40: U.S. DOT-FRA Crossing Inventory Form Part I, Item 33 +Enter the telephone number (area code and phone number using only numeric values) +for the Emergency Notification System (ENS) contact (e.g., usually railroad police, +dispatch center, or other railroad emergency contact) associated with the crossing. This +will be the ENS telephone number used by the railroad, posted at the crossing, and +publicized for the reporting of emergencies, malfunctions, and problems at crossings, in +accordance with Subpart E to 49 CFR Part 234. Please note that “911” cannot be used +as the “Emergency Notification Telephone No.” +Highway-Rail Crossing Inventory Instruction and Procedures Manual +22 +Instructions for Completing the U.S. DOT Crossing Inventory Form +34. Railroad Contact (Telephone No.) +Figure 2-41: U.S. DOT-FRA Crossing Inventory Form Part I, Item 34 +Enter the telephone number (area code and phone number using only numeric values) +of the primary operating railroad’s point of contact for data associated with the crossing. +35. State Contact (Telephone No.) +Figure 2-42: U.S. DOT-FRA Crossing Inventory Form Part I, Item 35 +Enter the telephone number (area code and phone number using only numeric values) +of the State highway contact associated with the crossing. This would normally be the +State inventory contact or the State DOT engineering contact (such as the Section 130 +State Contact) responsible for crossing improvement projects. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +23 +Instructions for Completing the U.S. DOT Crossing Inventory Form +3. Part II – Railroad Information +Figure 2-43: U.S. DOT-FRA Crossing Inventory Form Part II, Railroad Information + +1. Estimated Number of Daily Train Movements +Figure 2-44: U.S. DOT-FRA Crossing Inventory Form Part II, Items 1.A.-1.E. +Note: In the event that there is a significant change in data, FRA recommends +that these fields be updated at that time rather than waiting for the next required +3-year periodic update. +Important: The primary operating railroad must report the data for Items 1–3 in +Part II for all railroads that are operating through the crossing unless multiple +railroads or urban rapid transit operators operate trains on separate tracks +through the same crossing as indicated in Part I.7. If this is the case, then each +railroad or urban rapid transit operator must report the data for Items 1–3 in Part +II. +1.A. Total Day Thru Trains (6 AM to 6 PM) +Enter the total number of through (thru) trains that operate through the crossing from +6 am–6 pm per day during normal railroad operating periods. Thru trains are trains +whose primary responsibility is to operate over a route with defined beginning and end +points. Local freight thru train movements and passenger and commuter rail train +movements are considered to be thru train movements for purposes of the Crossing +Inventory. +1.B. Total Night Thru Trains (6 PM to 6AM) +Enter the total number of thru trains that operate through the crossing from 6 pm–6 am +per day during normal railroad operating periods. Thru trains are trains whose primary +responsibility is to operate over a route with defined beginning and end points. Local +Highway-Rail Crossing Inventory Instruction and Procedures Manual +24 +Instructions for Completing the U.S. DOT Crossing Inventory Form +freight thru train movements and passenger and commuter rail train movements are +considered to be Thru Train movements for purposes of the Crossing Inventory. +1.C. Total Switching Trains +Enter the total number switching train movements through the crossing per day. +“Switching Trains” are those trains whose movements primarily involve the pickup and +set-out of cars for various industries and/or rail yards. +Each movement in one direction counts as one train movement. All locals, industrial +runs and switch engines would be classified as switching movements. However, do not +include such trains when they travel over the crossing like a thru train to get to their +destination to perform their switching operations. Those trains are to be considered as +thru trains. +1.D. Total Transit Trains +Enter the total number of urban rapid transit train movements (either light rail or heavy +rail) through the crossing per day during normal railroad operating periods. If a railroad +does not operate urban rapid transit train movements through the crossing then that +railroad should enter zero. Note: commuter train operations that are regulated by FRA +are not considered to be urban rapid transit train movements. +1.E. Check if Less Than One Movement Per Day +Check the check box if this crossing averages less than one train movement per day. +Enter a count or estimate of the number of trains using this crossing per week. If the +operation is seasonal in nature (e.g., fall foliage excursion train), enter an estimated +count of the number of trains using this crossing per week during the normal operating +season. Note: If the sum of train counts for 1.A through 1.D is greater than 0, the box +should not be checked. +2. Year of Train Count Data +Figure 2-45: U.S. DOT-FRA Crossing Inventory Form Part II, Item 2 +Note: In the event that there is a significant change in data, FRA recommends +that this field be updated at that time rather than waiting for the next required +3-year periodic update. +Enter the year that the train count data was collected or last verified. If any train count +data changes, the data field must be updated at time of submission. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +25 +Instructions for Completing the U.S. DOT Crossing Inventory Form +3. Speed Of Train At Crossing +Figure 2-46: U.S. DOT-FRA Crossing Inventory Form Part II, Items 3.A. – 3.B. +Note: In the event that there is a significant change in data, FRA recommends +that this item be updated at that time rather than waiting for the next required +3-year periodic update. +3.A. Maximum Timetable Speed (mph) +Enter the highest maximum timetable speed in miles per hour for any type of train +movement over the crossing. If there are both freight and passenger train movements +over the crossing, enter the highest maximum authorized speed (which will generally be +the maximum authorized speed for passenger train movements). Permanent timetable +speed restrictions should be entered, if applicable. This field must be greater than or +equal to the maximum value in Item 3B, Typical Speed Range Over Crossing. +3.B. Typical Speed Range Over Crossing (mph) +Enter the typical minimum speed (“from”) through the crossing in miles per hour (mph). +(This should be the typical minimum speed for normal operations through the crossing, +not the minimum speed possible.) Enter the typical maximum speed (“to”) through the +crossing. Neither value can be greater than the maximum timetable speed in Item 3.A. +4. Type and Count of Tracks +Figure 2-47: U.S. DOT-FRA Crossing Inventory Form Part II, Item 4 + Enter the number of “Main” line tracks. A mainline track is defined as a track +extending through yards or between stations, upon which trains are operated by +timetable or train order or both, or the use of which is governed by a signal +system. + Enter the number of “Siding” tracks. A siding track is defined as a track auxiliary +to the main track used for meeting or passing trains. + Enter the number of “Yard” tracks. A yard is defined as a system of tracks within +defined limits used for the making up or breaking up of trains, for the storage of +cars, and for other purposes over which movements not authorized by timetable +or by train order may be made, subject to prescribed signals, rules or other +special instructions. Spur track and lead track are included in this definition for +purposes of this Inventory Form. Sidings and industry track are not included, nor +is mainline track within yard limits. + Enter the number of “Transit” tracks. A urban rapid transit track is defined as a +track, on which a light-rail train, trolley, or streetcar moves passengers from +Highway-Rail Crossing Inventory Instruction and Procedures Manual +26 +Instructions for Completing the U.S. DOT Crossing Inventory Form +station to station typically within an urban area (and its suburbs), that is not +connected with the general railroad system of transportation. +Enter the number of “Industry” tracks. An industry track is defined as a switching +track, or series of tracks, serving the needs of a commercial industry other than a +railroad. Note: Enter “0” for each track type specified that is not present at the +crossing. +5. Train Detection (Main Track Only) +Figure 2-48: U.S. DOT-FRA Crossing Inventory Form Part II, Item 5 +Enter a check to indicate the type of train detection equipment used to activate the +warning system at the crossing for movements on the main track(s). More than one +checkbox can be selected. If the crossing warning devices are not activated upon the +arrival of a train, “None” should be checked. +The types of train detection equipment are: + Constant Warning Time + Motion Detection + DC – Direct Current + AFO – Audio Frequency Overlay + PTC – Positive Train Control (please refer to 49 CFR § 236.1005 for a +description of Positive Train Control systems) + Other – for example when signals are activated manually by a watchman, or by +means of other technologies + None +6. Is Track Signaled? +Figure 2-49: U.S. DOT-FRA Crossing Inventory Form Part II, Item 6 +Enter a check in the appropriate box to indicate whether or not the track is equipped +with a block signal, cab signal, or train control system to govern train operations. +7. Monitoring Devices +Figure 2-50: U.S. DOT-FRA Crossing Inventory Form Part II, Items 7.A – 7.B +Enter a check in the appropriate box to indicate whether an event recorder and/or a +remote health monitoring system is installed at the crossing. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +27 +Instructions for Completing the U.S. DOT Crossing Inventory Form +These fields are required when the warning devices at the crossing include any of the +following: four-quadrant gates, three-quadrant gates, or two-quadrant gates; or +flashing lights. +Event Recorder means a device designed to resist tampering that monitors and +records data on information at the grade crossing location such as (but not limited to) +train speed, direction of motion, time, and distance over the most recent timeframe (e.g. +last 24 or 48 hours) of the grade crossing warning system operation. +Remote Health Monitoring means an electronic system designed to remotely notify +the railroad (typically the railroad signal maintainer or a trouble desk) that components +of the automatic warning system are not functioning as intended. + +Highway-Rail Crossing Inventory Instruction and Procedures Manual +28 +Instructions for Completing the U.S. DOT Crossing Inventory Form +4. Part III – Highway or Pathway Traffic Control Device Information +Figure 2-51: U.S. DOT-FRA Crossing Inventory Form Part III, Highway or Pathway Traffic Control Sign and +Device Information +1. Are there Signs or Signals? +Figure 2-52: U.S. DOT-FRA Crossing Inventory Form Part III, Item 1 +Enter a check in the appropriate box to indicate whether signs or signals are installed at +the crossing. +2. Type of Passive Traffic Control Devices Associated With the Crossing +Figure 2-53: U.S. DOT-FRA Crossing Inventory Form Part III, Items 2.A. – 2.D. +2.A. Crossbuck Assemblies +Enter a count of the number of masts or posts with mounted crossbucks, not a count of +the number of crossbuck signs. Two or more crossbucks mounted on a single post are +Highway-Rail Crossing Inventory Instruction and Procedures Manual +29 +Instructions for Completing the U.S. DOT Crossing Inventory Form +counted as one unit. Include all masts with crossbucks without distinction as to the +reflectivity type. +If the crossing has a train-activated warning device (flashing lights [cantilevered or mast +mounted] and/or gates), do not count the individual number of crossbucks mounted on +these devices. +As a matter of information, FHWA (via the MUTCD) requires that crossbuck assemblies +be installed by December 31, 2019, or when adjustments are made to the individual +highway-rail grade crossing and/or corridor, whichever comes first. + Note: A crossbuck assembly consists +of a crossbuck sign and a “YIELD” +sign, unless study indicates a “STOP” +sign is necessary. +Figure 2-54: Example of a Crossbuck Assembly +2.B. STOP Signs (R1-1) +Enter the count of posts or masts with stop signs, regardless of any other type of +warning devices. If there are two posts securing one sign, count them as one post. +Note: Do not include “STOP” signs from adjacent streets or roadways. +2.C. YIELD Signs (R1-2) +Enter the count of posts or masts with yield signs (MUTCD R1-2) at this crossing +regardless of any other type of warning devices. If there are two posts securing one +sign, count them as one post. +Note: Do not include “YIELD” signs from adjacent streets or roadways. +2.D. Advance Warning Signs (Check all that apply; include count) +Enter a check in the box for each type of advance warning sign at the crossing and +enter a count for each type of sign. For each sign that is checked, it must correspond +with a count value of “1” or greater. If there are no advance warning signs, check +“None.” +Highway-Rail Crossing Inventory Instruction and Procedures Manual +30 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Figure 2-55: Sample Advance Warning Sign +2.E. Low Ground Clearance Sign (W10-5) +Figure 2-56: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.E. +Check the “Yes” box to indicate that low ground clearance signs are present at the +crossing. Then, enter the number of signs present. The standard warning sign for low +ground clearance crossings is identified in the MUTCD as W10-5. Check “No” box if +there are none. +Figure 2-57: Sample Low Ground Clearance Warning Sign +2.F. Pavement Markings +Highway-Rail Crossing Inventory Instruction and Procedures Manual +31 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Figure 2-58: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.F. +Enter a check in the appropriate box for each type of pavement marking present that +conforms to the MUTCD. If there are no stop lines, railroad crossing symbols, or +dynamic envelope marking present, check “None.” +2.G. Channelization Devices/Medians +Figure 2-59: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.G. +Check the appropriate box(s) to reflect the location of a channelization or median +structure present at the crossing, or check “None” if there are no such devices. If +channelization devices are present at the crossing select either “All Approaches” or +“One Approach” and leave “Median” blank. If a median is present at the crossing, also +select either “All approaches” or “One approach” and select the “Median” box. +“Channelization Devices” mean a traffic separation system made up of a raised +longitudinal channelizer, with vertical panels or tubular delineators, that is placed +between opposing highway lanes designed to alert or guide traffic around an obstacle or +to direct traffic in a particular direction. +“Median” means a non-traversable portion of a divided highway separating the travel +ways for traffic in opposite directions. +2.H. EXEMPT Sign (R15-3) +Figure 2-60: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.H. +Check the “Yes” box if there is at least one EXEMPT sign displayed at the crossing and +“No” if none are displayed. An exempt crossing is one where drivers of highway +vehicles carrying passengers for hire, school buses carrying students, or highway +vehicles carrying hazardous materials are not required to stop, except when rail traffic is +approaching or occupying the grade crossing or the driver's view is blocked. +2.I. ENS Sign Displayed (I-13) +Figure 2-61: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.I. +Check the “Yes” box if there is at least one ENS sign displayed at the crossing, and +“No” if none are displayed. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +32 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Signs or numbers on nearby signal bungalows are not considered to be ENS signs +since the general public may not clearly understand their meaning and are not in +compliance with FRA regulations (49 CFR Part 234, Subpart E). +2.J. Other MUTCD Signs +Figure 2-62: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.J. +Check the “Yes” box if there is at least one other MUTCD sign displayed at the crossing +and “No” if none are displayed. +Enter the MUTCD type and the count of signs for each MUTCD type installed at the +crossing. +Examples: + Specify Type R15-8 Count 2 + Specify Type W10-9 Count 2 +2.K. Private Crossing Signs (if Private) +Figure 2-63: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.K. +If the crossing is a private crossing, enter a check in the Yes box if there is a private +crossing sign installed. Check the “No” box if there are none. Note: This box should be +left blank for public crossings. +2.L. LED Enhanced Signs (List types) +Figure 2-64: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.L. +List the types of light-emitting diode (LED) enhanced signs in use, referencing to the +MUTCD coded signs. For example: Crossbuck R15-1. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +33 +Instructions for Completing the U.S. DOT Crossing Inventory Form +3. Type of Train Activated Warning Devices at the Grade Crossing (specify count +of each device for all that apply) +Figure 2-65: U.S. DOT-FRA Crossing Inventory Form Part III, Items 3.A. – 3.E. +3.A. Gate Arms (count) +Enter the number of Roadway and Pedestrian gates at the crossing. The total count for +each type of gate is required. If gates are not present, enter “0”. + +Note: Pedestrian gate arms are only those that are part of the crossing signaling +system that are activated upon train detection. +Do not count: + Pedestrian swing gates + Post-mounted flashing light assemblies (3.D.) + Crossbuck assemblies (2.A.) +3.B. Gate Configuration +Check the boxes for each type of gate configuration found at the crossing. A gate (for +purposes of the Crossing Inventory) is an automatically operated traffic control device +which, when activated into a horizontal position, is intended to physically impede users +such that they are discouraged from entering a particular grade crossing. Check only +one box on the left side of 3.B. (2 Quad, 3 Quad, or 4 Quad). On the right side, check +any applicable box. The choices are: + “2 Quad” (two-quadrant gates) – a gate configuration featuring gates only on +entrance lanes leading onto the crossing. If a crossing does not have any gates +on any exit lanes leading off the crossing, then it is to be considered a “Two +quadrant gate” crossing. Note: A gated crossing on a one-way street is to be +considered a “2 Quad” gate configuration. + “3 Quad” (three-quadrant gates) – a specific gate configuration featuring gates on +all entrance lanes leading on to the crossing, but with only one exit leading off the +crossing that is equipped with a gate. + “4 Quad” (four-quadrant gates) – a specific gate configuration that features gates +on all entrance and all exit lanes at the crossing. When four quadrant gates are +activated and fully lowered, all entrance lanes and all exit lanes are blocked by +gates. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +34 +Instructions for Completing the U.S. DOT Crossing Inventory Form + “Full (Barrier) Resistance” gates – a gate-like device that is specifically designed +to physically prevent a highway vehicle from entering the crossing area when the +resistance gate system is fully deployed. + “Median” gates (sometimes referred to as dual entrance gates) – a supplemental +gate installation located on a roadway’s median (to the left of the travel lanes) +that works in combination with a gate installed on the outside edge of the +roadway (to the right of the travel lanes) to jointly provide blockage of multiple +lanes on a single roadway approach to the crossing, with both gate arm tips +meeting (2-foot maximum gap) in the middle. +Note: This field is required if the number of gate arms in 3.A. is greater than 0. +3.C. Cantilevered (or Bridged) Flashing Light Structures (count) +Enter the count of cantilevered (or bridged) flashing light structures that are: (1) “Over +The Traffic Lanes,” and (2) “Not Over the Traffic Lanes.” Count the number of +structures, not the number of flashing light pairs. If cantilevered flashing light structures +are not present, enter “0”. +Check the appropriate box to indicate whether the flashing lights are Incandescent or +LED. +3.D. Mast-Mounted Flashing Lights (count of masts) +Enter the count of masts that have flashing lights. Count the number of masts, not the +number of flashing light pairs. The number of cantilevered structures are not included in +the count. If mast-mounted flashing lights are not present, enter “0”. +Check the appropriate boxes to indicate whether the flashing lights are Incandescent or +LED, and whether back lights and side lights are included. +When indicating the presence of mast-mounted flashing lights, do not enter the number +of crossbuck assemblies (2.A.) at the crossing. +Back Lights +Side Lights +Highway-Rail Crossing Inventory Instruction and Procedures Manual +35 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Figure 2-66: Examples of Back Lights and Side Lights +3.E. Total Count of Flashing Light Pairs +Enter the total number of flashing light pairs installed at the crossing, including back +lights, side lights, and where cantilever structures are present +Figure 2-67: Examples of 3 and 4 of flashing light pairs +3.F. Installation Date of Current Active Warning Devices +Figure 2-68: U.S. DOT-FRA Crossing Inventory Form Part III, Item 3.F. +This data field must be updated if train-activated warning devices are installed or +upgraded at a public highway-rail grade crossing after March 7, 2015. Using the list +below, enter the installation date for the first device encountered (moving from top to +bottom). +1. Four quad (or full barrier) gates +2. Three quad gates +3. Gates (normally two quadrant) +4. Flashing lights (standard and cantilever type units) +5. Highway traffic signals, wigwags, bells, or other activated devices +6. Special active warning devices (usually flagman) +Check the “Not Required” checkbox if the active warning devices were installed before +March 7, 2015 and the installation date is not provided. Completion of this data field is +not required for active warning devices installed prior March 7, 2015; however, if date is +known, it is recommended to enter it. + + Example of 3 pairs Example of 4 pairs +Highway-Rail Crossing Inventory Instruction and Procedures Manual +36 +Instructions for Completing the U.S. DOT Crossing Inventory Form +3.G. Wayside Horn +Figure 2-69: U.S. DOT-FRA Crossing Inventory Form Part III, Item 3.G. +Check the “Yes” box if the crossing is equipped with a wayside horn and enter the +month and year that the horn or system was installed. Check “No” if the crossing is not +equipped with a wayside horn. +3.H. Highway Traffic Signals Controlling Crossing +Figure 2-70: U.S. DOT-FRA Crossing Inventory Form Part III, Item 3.H. +Enter a check in the “Yes” box to indicate that there are highway traffic signals that +control highway traffic over the crossing, exclusive of other types of warning devices. +For purposes of Item 3.H., “highway traffic signals” refers only to train-activated redamber-green signals that control street traffic over the crossing. Do not count highway +signals controlling a nearby intersection even if they are interconnected with the +crossing warning devices. +Enter a check in the “No” box if there are none. +3.I. Bells +Figure 2-71: U.S. DOT-FRA Crossing Inventory Form Part III, Item 3.I. +Enter the count of bells (either mechanical or electrical) present at the crossing as part +of the warning system. If there are none, enter “0.” +3.J. Non-Train Active Warning +Figure 2-72: U.S. DOT-FRA Crossing Inventory Form Part III, Items 3.J – 3.K +Check the appropriate box if there is “Flagging” or a “Flagman” (a member of the train +crew or other person who actively controls the flow of vehicular traffic using handsignaling devices or an Automated Flagger Assistance Device); “Manually Operated +Signals” (e.g., dual toned multi-frequency (DTMF)-controlled, push-button activated); +“Watchman” (a person assigned to provide warning that is not a member of the train +crew); or “Floodlighting” at the crossing. Only floodlighting—which is distinctive from +ordinary street lighting in intensity, light distribution, focus, or color—is to be reported. +Check “None” if applicable. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +37 +Instructions for Completing the U.S. DOT Crossing Inventory Form +3.K. Other Flashing Lights or Warning Devices +Enter the count and type of any other special warning devices at the crossing. For +example, this would include wigwags if present. If none are present, enter a count of +“0”. +Figure 2-73: U.S. DOT-FRA Crossing Inventory Form Part III, Items 4.A. – 4.C. +4.A. Does nearby Hwy Intersection have Traffic Signals? +Check either the “Yes” or “No” box to indicate whether or not a highway-highway +intersection within 500 feet has highway traffic signals. +Note: The distance (500 feet or less) is measured from the nearest rail, not from the +centerline of track. +4.B. Hwy Traffic Signal Interconnection +Check all that apply. If “Not Interconnected” is checked, do not check the other two +choices. + “Not Interconnected” – crossings equipped with active warning systems that do +not have an electrical connection between the railroad active warning system and +the traffic signal controller assembly for the purpose of preemption. + “For Traffic Signals” – crossings having an electrical connection between the +railroad active warning system and the traffic signal controller assembly for the +purpose of preemption. + “For Warning Signs” – signs that are electrically connected to a railroad crossing +control circuit that is designed to illuminate the signs upon the approach or +presence of a train. +Figure 2-54: Sample Advance Warning Sign +Figure 2-54: Sample Advance Warning Sign +Figure 2-66: U.S. DOT-FRA Crossing Inventory Form Part III, Items 4.A. – 4.C. +Figure 2-74: Examples of “For Warning Signs” + +Highway-Rail Crossing Inventory Instruction and Procedures Manual +38 +Instructions for Completing the U.S. DOT Crossing Inventory Form +4.C. Hwy Traffic Signal Preemption +Check the appropriate box for the type of preemption. This field is not applicable if “Not +Interconnected” is chosen in field 4.B. and should be left blank. +Preemption is defined in the MUTCD as the transfer of the normal operation of highway +traffic signals to a special control mode. +In this instance preemption occurs as a result of a signal received from the railroad +active warning device system +Simultaneous preemption is defined in the MUTCD as notification of approaching rail +traffic that is forwarded to the highway traffic signal controller unit or assembly and +railroad active warning devices at the same time. +Simultaneous preemption results in the initiation of the highway traffic signal cycle at the +same time the highway-rail grade crossing warning system is activated. +Advance preemption is defined in the MUTCD as notification of approaching rail traffic +that is forwarded to the highway traffic signal controller unit or assembly by the railroad +equipment in advance of the activation of the railroad warning devices. +Advance preemption results in the initiation of the highway traffic signal cycle before the +highway-rail grade crossing active warning system is activated. +5. Highway Traffic Pre-Signals +Figure 2-75: U.S. DOT-FRA Crossing Inventory Form Part III, Item 5 +Check the “Yes” box to indicate if highway traffic pre-signals are installed. Check the +“No” box if there are none. The “Storage Distance” and “Stop Line Distance” fields are +optional. Use feet as the measuring unit. +Pre-signals are used to control traffic approaching a grade crossing in conjunction with +the highway traffic control signal faces that control traffic approaching a highwayhighway intersection beyond the tracks. Pre-signals may be located on either the near +or far side of the railroad tracks, and may be mounted on the same cantilever structures +as the railroad’s flashing light warning devices. + “Storage Distance” (for pre-signals only) is the distance available for vehicle +storage as measured 6 feet from the rail nearest the intersection to the +intersection stop line or the normal stopping point on the roadway. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +39 +Instructions for Completing the U.S. DOT Crossing Inventory Form + “Stop Line Distance” (for pre-signals only) is the distance between the stop line +and the crossing gates. This field should be left blank if the crossing is not +equipped with gates. +6. Highway Monitoring Devices +Figure 2-76: U.S. DOT-FRA Crossing Inventory Form Part III, Item 6 +Check all boxes that apply. Note: The temporary installation of highway +monitoring devices (e.g., for research purposes) should not be reported to the +Crossing Inventory. + “Check the “Yes” box if “Photo/Video Recording” is present at the crossing. +Photo/Video Recording is the use of high-resolution cameras to photograph or +record motorists driving under or around railroad crossing gates. The camera +equipment is typically mounted in a 12-foot-high bullet-resistant cabinet. There +may be signs, installed on all street approaches to the crossing, that inform +motorists that photo citations are being issued to violators at the crossing. Note +– The temporary installation of photo/video recording devices (e.g., for research +purposes) are not to be reported. + Check the “Yes” box if “Vehicle Presence Detection” is present at the crossing. +Vehicle Presence Detection is system capable of detecting and reporting in real +time the presence of a vehicle on the crossing. An example includes a series of +looped wire, coils, or magnetometers that are placed below ground level within +the field side and gauge side of the railroad tracks, at a distance between the +approach gate and the exit gate. The loop detectors or magnetometers use a +magnetic effect caused by the presence of a roadway vehicle, which then sends +a signal to the exit gate to remain in the up position, or can send a signal to the +train operator that a vehicle is still occupying the restricted area of the grade +crossing. + Check the “None” box if neither Photo/Video Recording nor Vehicle Presence +Detection are at the crossing or if the crossing is passive. + Note: This field applies for crossings with train-activated warning devices. If +monitoring is conducted at passive crossings, it should be noted in Part I, Box 30 +or 31, as appropriate. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +40 +Instructions for Completing the U.S. DOT Crossing Inventory Form +5. Part IV – Physical Characteristics +Figure 2-77: U.S. DOT-FRA Crossing Inventory Form Part IV, Physical Characteristics +1. Traffic Lanes Crossing Railroad +Figure 2-78: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 1 +Enter the number of through traffic lanes crossing the track. Do not include shoulders +or lanes that are used for parking. Check the box that describes the type of roadway. If +channelization devices are present at the crossing, then it can only be classified as +“Two-way Traffic.” + “One-way Traffic” – Where highway motor vehicles travel in the same direction +over the same roadway. + “Two-way Traffic” – Where highway motor vehicles travel in two opposite +directions over the same roadway. + “Divided Traffic” – Where roadway traffic moving in opposite directions is +separated by a median sufficient to prevent movement across it into opposing +traffic. +Note: Divided traffic refers to the characteristics of the entire roadway, not simply at the +crossing. +2. Is Roadway/Pathway Paved? +Figure 2-79: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 2 +Check “Yes” if the highway or pathway is paved with material on which pavement +markings can be effectively maintained. Check “No” if the highway or pathway surface +is gravel, dirt, or has a surface treatment on which pavement markings cannot be +maintained. If the entire road or pathway is not paved, the roadway or pathway +Highway-Rail Crossing Inventory Instruction and Procedures Manual +41 +Instructions for Completing the U.S. DOT Crossing Inventory Form +pavement through the crossing must extend far enough beyond the railroad tracks to be +able to accept railroad pavement markings, nominally about 100 feet, to be considered +“Yes” for this Item. If pavement markings are indicated in Part III.2.F., then this item +must be checked “Yes.” +3. Does the Track Run Down a Street? +Figure 2-80: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 3 +Figure 2-81: Example of a track that runs down a street. +Check “Yes” if the crossing involves a railroad track that is embedded within the +pavement of a roadway that crosses another roadway at grade, such that trains +operating on those tracks will cross the intersecting roadway. In addition, the “Yes” box +may be checked if the tracks run alongside the roadway in the same direction as +roadway vehicles, and if the tracks are located within or adjacent to the roadway rightof-way. In both cases, the crossing to be inventoried will be the crossing of the tracks +with the intersecting roadway, not the roadway within or adjacent to the street where the +tracks are running. +Check “No” if the tracks and crossties are in a semi-exclusive right-of-way with exposed +ballast, and are separated from the roadway pavement by a curb or other such border +or divider. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +42 +Instructions for Completing the U.S. DOT Crossing Inventory Form +4. Is Crossing Illuminated? (street lights within approx. 50 feet from nearest +rail) +Figure 2-82: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 4 +Enter a check in the “Yes” box if the crossing is illuminated. Enter a check in the “No” +box if the crossing is not illuminated. An illuminated crossing is defined as having +overhead street lighting that provides reasonable illumination of trains present at the +crossing and is located within approximately 50 feet of the crossing. Since streetlamp +light intensity can vary, sufficient lighting may be provided by streetlights located up to +100 feet from the crossing, in which case, the “Yes” box may be checked. +5. Crossing Surface (on Main Track, multiple types allowed) +Figure 2-83: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 5 +Enter a check in the box which most closely fits the following descriptions. If there are +multiple main line tracks that have different types of surfaces, indicate all types on the +Inventory Form. +1. “Timber” – Includes sectional treated timber and full wood plank. + Sectional treated timber consists of prefabricated units approximately 8 feet in +length of treated timber individually installed and removable for maintenance +and replacement purposes. + Full wood plank consists of a timber surface that covers the entire crossing +area above the crossties, made of ties, boards, bridge ties, etc. +2. “Asphalt” – Asphalt surface over the entire crossing area. +3. “Asphalt and Timber” – Asphalt surface in the area between flange timber planks +or other material forming flangeway openings that may include the use of rubber. +4. “Concrete” – Includes concrete slab and concrete pavement. + Concrete slab consists of pre-cast concrete sections that are usually +individually installed and removable for maintenance and replacement +purposes. + Concrete pavement is a concrete surface that is continuous over the track +area and is not removable except by destruction of the surface. +5. “Concrete and Rubber” – An installed crossing surface that consists of both +concrete and rubber materials. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +43 +Instructions for Completing the U.S. DOT Crossing Inventory Form +6. “Rubber” – Preformed rubber sections that are usually individually installed and +removable for maintenance and replacement purposes. +7. “Metal” – Sections of steel or other metal that are usually individually installed +and removable for maintenance purposes and provide complete coverage of the +crossing area within the track. +8. “Unconsolidated” – Ballast or other unconsolidated material placed over +crossties, with or without planks, on one or both sides of the running rails. +9. “Composite” – An engineered material formed from two or more distinct materials +generally incorporating a polymer binder with reinforcing fibers and/or fillers to +contribute enhanced properties and/or other property modifiers in a polymer +matrix, typically post-consumer recycled high-density polyethylene, or HDPE, +that are usually individually installed and removable for maintenance and +replacement purposes . +10. “Other (Specify)” – Surfaces other than the previously described surfaces, +including structural foam, plastic, “high-tech,” etc. +Note: This data field has been assigned to the State for updating. However, if +the railroad installs a new crossing surface, the railroad must report that change. +Enter the month and year that the crossing surface was originally installed and opened +to vehicular traffic in “MM/YYYY” format. Also, enter the width of the crossing, and the +length of the crossing. For new and updated crossing surfaces, the date and +measurements are required. These are optional fields for existing crossings that are +already reported, but encouraged to be submitted by State entities. + “Width” – The width of the crossing surface is measured in feet perpendicular to +the railroad tracks and is the distance between the outermost edges of the +crossing surface (including multiple tracks if present). In the event that the +crossing surface is indistinguishable from the roadway approach, the width is the +distance between the outermost rails of the crossing plus 4 feet. + “Length” – The length of the crossing surface is measured in feet parallel to the +tracks, along the improved surface of the crossing, which may extend beyond the +edges of highway pavement and any sidewalks that may be present. In general, +the crossing surface material will extend approximately 3 feet on each side +beyond the roadway/pathway. +Refer to the width and length diagram below: +Highway-Rail Crossing Inventory Instruction and Procedures Manual +44 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Figure 2-84: Width and length measurement diagram +6. Intersecting Roadway Within 500 Feet? +Figure 2-85: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 6 +Enter a check in the “Yes” box if the street or highway for this crossing is intersected by +another street or highway within 500 feet, and indicate the estimated distance from the +crossing. Check “No” when no intersection exists within 500 feet. If the street or +highway is intersected by another street or highway on both sides of the crossing, +indicated the estimated distance from the closest intersection. +7. Smallest Crossing Angle +Figure 2-86: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 7 +Enter a check in the box that most closely describes the smallest angle between the +roadway and the track. +8. Is Commercial Power Available? +Highway-Rail Crossing Inventory Instruction and Procedures Manual +45 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Figure 2-87: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 8 +Enter a check to indicate whether there is commercial electric power available within +500 feet of the crossing. This field is optional. + +Highway-Rail Crossing Inventory Instruction and Procedures Manual +46 +Instructions for Completing the U.S. DOT Crossing Inventory Form +6. Part V – Public Highway Information +Figure 2-88: U.S. DOT-FRA Crossing Inventory Form Part V, Public Highway Information, and Submission +Information +1. Highway System +Figure 2-89: U.S. DOT-FRA Crossing Inventory Form Part V, Item 1 +Check the box for the correct highway system code. See Table 2-1 below for the +correct code. +Table 2-1: Highway System Codes +Code Definition Included +01 Interstate Highway System +Interstate, rural, and urban; (note +that the Interstate is part of the +National Highway System) +02 Other National Highway System +(NHS) +Other urban and rural principal +arterial, Non-Interstate +03 Federal Aid Highway, Not NHS +Rural major collector and higher +category, or urban collector and +higher category, not part of NHS +08 Non-Federal Aid +Local rural roads, rural minor +collectors, and local urban city +streets or any other non-FederalAid roadway +Highway-Rail Crossing Inventory Instruction and Procedures Manual +47 +Instructions for Completing the U.S. DOT Crossing Inventory Form +2. Functional Classification of Road at Crossing +Figure 2-90: U.S. DOT-FRA Crossing Inventory Form Part V, Item 2 +Check the box for the appropriate highway functional classification code for “Rural” or +“Urban” and then check the box for the roadway type in accordance with Federal-aid +highway program definitions. The “Urban” designation is based on the U.S. Census +Bureau urban boundaries and a population of more than or equal to 5,000 people. +Functional classification is the grouping of highways, roads, and streets by the character +of service they provide and can be applied in planning highway system development. It +defines the part that any particular route should play in serving the flow of traffic through +a highway network. The details and definitions for classifying systems can be found on +FHWA's Web site at www.fhwa.dot.gov under “Guidelines for Functional Highway +Classification System.” +3. Is Crossing on State Highway System? +Figure 2-91: U.S. DOT-FRA Crossing Inventory Form Part V, Item 3 +Check the appropriate box. +4. Highway Speed Limit +Figure 2-92: U.S. DOT-FRA Crossing Inventory Form Part V, Item 4 +Enter the highway speed limit at the crossing in miles per hour (the speed limit value +must be greater than zero). Check the appropriate box to indicate whether the speed +limit is posted or statutory. +5. Linear Referencing System (LRS Route ID) + +Figure 2-93: U.S. DOT-FRA Crossing Inventory Form Part V, Item 5 +This is an optional field. Enter the “Linear Referencing System (LRS Route ID)” code. +The LRS is a set of procedures for determining and retaining a record of specific points +along a highway. Typical methods used are milepoint, milepost, reference point, and +link-node. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +48 +Instructions for Completing the U.S. DOT Crossing Inventory Form +It is recommended that this field use the Highway Performance Monitoring System +(HPMS) data reported to FHWA. If a State uses more than one LRS for their own +purposes, it is recommended that the information entered match the HPMS data. The +details for the HPMS can be found on FHWA’s Web site at: http://www.fhwa.dot.gov +under Highway Performance Monitoring System. +6. LRS Milepost +Figure 2-94: U.S. DOT-FRA Crossing Inventory Form Part V, Item 6 +This is an optional item. Enter the LRS milepost designation. Most at-grade highwayrail grade crossings are on highways without posted mileposts. Leave blank if none are +posted. +7. Annual Average Daily Traffic (AADT) +Figure 2-95: U.S. DOT-FRA Crossing Inventory Form Part V, Item 7 +Enter the calendar year when the AADT was determined and the estimated AADT count +through the crossing (total both directions) based on available traffic information. When +a crossing runs diagonally through a highway-highway intersection, the total AADT +should include both streets in both directions. +“Annual Average Daily Traffic (AADT)” – a figure that represents the amount of vehicles +traveling past a known location on a roadway for a year, divided by 365 days. In the +event that 365 consecutive days of traffic counts are not available, there are traffic +engineering calculations that can be used to develop a representative figure for AADT +based upon traffic counts of shorter duration. +8. Estimated Percent Trucks +Figure 2-96: U.S. DOT-FRA Crossing Inventory Form Part V, Item 8 +Enter the estimated percentage (0–99%) of trucks in the traffic stream. For the +purposes of this manual, trucks are considered as those vehicles having a +manufacturer’s gross vehicle weight (GVW) rating of 9,000 lbs. or more and having dual +tires on at least one rear axle. Also, buses, single-unit trucks, combination trucks, and +campers/recreational vehicles are classified as trucks. Do not include school buses. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +49 +Instructions for Completing the U.S. DOT Crossing Inventory Form +9. Regularly Used by School Buses? +Figure 2-97: U.S. DOT-FRA Crossing Inventory Form Part V, Item 9 +Check the “Yes” box if the crossing is regularly used by school buses. Check the “No” +box if the crossing is not regularly used by school buses. “Regularly” means that there +is at least one movement over the crossing, in either direction, by a school bus on a +normal school day. +If the “Yes” box is checked, enter the average total number of times that a school bus +crosses over the crossing, empty or full, on a normal school day. Back and forth +movements count as two passes through the crossing. +10. Emergency Services Route +Figure 2-98: U.S. DOT-FRA Crossing Inventory Form Part V, Item 10 +Check the “Yes” box if the crossing is routinely used by highway vehicles to obtain +access to facilities that provide emergency services, such as hospitals and police and +fire stations. Otherwise check the “No” box. +Submission Information – This information is used for administrative purposes +and is not available on the public website. +Figure 2-99: U.S. DOT-FRA Crossing Inventory Form Submission Information +Enter the name of the submitter, the organization represented by the submitter, the +telephone number of the submitter, and the date that the Form is being submitted. If the +crossing has multiple forms, the information provided in this section should relate to the +submitting railroad. This information, “Name,” “Organization,” “Phone,” and “Date” must +be provided on the hardcopy Inventory Form only (not electronically). Information +collected electronically will be captured through the user’s account information and the +time-stamped submittal action. +Appendix A-1 +APPENDIX A – U.S. DOT Crossing Inventory Form +Obtaining an Inventory Number +Highway-rail and pathway crossings in the United States (both at-grade and gradeseparated) must have an assigned U.S. DOT National Highway-Rail Crossing Inventory +Number (Inventory Number). +Valid Inventory Numbers can be obtained by submitting an email request to: +RequestDOTGXNumber@dot.gov. +When submitting an email request for Inventory Numbers, please provide the total +number of Inventory Numbers needed and the name, title, company, mailing address, +phone number, and fax number of the requestor. +Submission of the Inventory Form +The “U.S. DOT Crossing Inventory Form” (Form), is a two-page, single-sheet, five-part +form that provides for easy photocopying and distribution to appropriate parties. The +five parts of the form include the following categories: +Part I. Location and Classification Information +Part II. Railroad Information +Part III. Highway or Pathway Traffic Control Device Information +Part IV. Physical Characteristics +Part V. Public Highway Information +As reflected below, the type of crossing will dictate which parts of the Inventory Form +must be completed by railroads for the initial reporting of new and previously unreported +highway-rail grade and pathway crossings: + Public Highway-Rail Grade Crossing: Complete entire Inventory Form (with the +exception of I.20 and III.2.K); + Private Highway-Rail Grade Crossing: Complete Header, plus Parts I, II, and +III.2.K of the Inventory Form and the Submission Information section; + Public Pathway Grade Crossing: Complete Header, plus Parts I and II of the +Inventory Form (with the exception of I.20) and the Submission Information +section; + Private Pathway Grade Crossing: Complete Header, plus Parts I, II, and III.2.K +of the Inventory Form and the Submission Information section; +Appendix A-2 + Pedestrian Station Grade Crossing (Station, Ped.): Complete Header, plus Parts +I and II of the Inventory Form (with the exception of I.20) and Submission +Information section; + Grade-Separated Crossing (highway-rail, pathway, and pedestrian station): +Complete Header, plus Part I of the Inventory Form (with the exception of I.20) +and the Submission Information section. +For periodic updates to the Crossing Inventory, refer to the Responsibility Table in +Appendix B for detailed instructions regarding which data fields must be updated at +least every 3 years by the primary operating railroad. +For a change from a private highway-rail grade crossing to a public highway-rail grade +crossing, railroads must complete the entire Inventory Form (with the exception of I.20 +and III.2.K) with updated information. +For a change from a private pathway grade crossing to a public pathway grade +crossing, railroads must update the Header, Parts I, II, and III.2.K of the Inventory Form +and the Submission Information section. +For changes in the crossing surface or a change in the crossing warning devices at a +public highway-rail grade crossing, the primary operating railroad must complete all of +the data fields in the Header of the Inventory Form, check the “Change in Data” box in +“Reason for Update” field and update all data fields in Parts II and III on the Inventory +Form. If a hardcopy Inventory Form update will be submitted to the Crossing Inventory, +complete the Submission Information section of the Inventory Form as well. +Hardcopy Submission +Complete the Submission Information data field at the bottom of page 2 of the Inventory +Form for all hardcopy submissions. +Please refer to FRA’s Web site (www.fra.dot.gov) to obtain the mailing address for hardcopy Inventory Form submissions. To find the appropriate mailing address enter +“crossing inventory” in the search box of the FRA homepage. +Electronic Submission +Completed Inventory Forms may also be submitted electronically to the +U.S. DOT National Highway-Rail Crossing Inventory. Detailed instructions for the +electronic submission of Inventory Forms can be found in the Electronic Submission +Instructions, which is a separate document. +Appendix A-3 +Appendix A-4 +Appendix B-1 +APPENDIX B – Responsibility Table for Periodic Updates to the +Crossing Inventory +This responsibility table only applies to periodic updates to the Crossing +Inventory. This table is intended to clarify which fields have been assigned to +primary operating railroads (i.e., railroad or urban rapid transit operator) for +updating and which fields have been assigned to State agencies for voluntary +updating. +For guidance on reporting new and previously unreported crossings, please +refer to the Introduction and Appendix A to this Guide. +Entities subject to FRA’s final rule on National Highway-Rail Crossing Inventory +Reporting Requirements should refer to the rule published in the Federal +Register, as well as the additional information provided in this Guide. Should +any portion of this table conflict with the final rule, the language of the final rule +shall govern. +O – Optional; R – Required; C – Conditionally Required; LLLLLL – Not Applicable + (see Guide for instructions) +Box Field +Update Provided +by State +Update Provided by +Railroad or Transit +Public Private Public Private +Header +A. Revision Date R R R +B. Reporting Agency R R R +C. Reason for Update R R R +D. DOT Crossing Inventory Number R R R +Part I: Location and Classification Information +1. Primary Operating Railroad R R +2. State R R +3. County R R +4. City/Municipality R R +5. Street/Road Name & Block Number R R +6. Highway Type & No. R R +7. Do Other Railroads Operate a Separate Track R R +8. Do Other Railroads Operate over Your Track R R +9. Railroad Division or Region R R +10. Railroad Subdivision or District R R +11. Branch or Line Name R R +12. RR Milepost R R +13. Line Segment O O +14. Nearest RR Timetable Station O O +15. Parent RR R R +16. Crossing Owner R R +Appendix B-2 +Box Field +Update Provided +by State +Update Provided by +Railroad or Transit +Public Private Public Private +17. Crossing Type R R +18. Crossing Purpose R R +19. Crossing Position R R +20. Public Access R +21. Type of Train Service R R +22. Average Passenger Train Count Per Day R R +23. Type of Land Use R R +24. Is There an Adjacent Crossing with a Separate +Number? +R R +25. Quiet Zone +26. HSR Corridor ID R R +27. Latitude in decimal degrees R R +28. Longitude in decimal degrees R R +29. Lat/Long Source R R +30.A. Railroad Use O O +30.B. Railroad Use O O +30.C. Railroad Use O O +30.D. Railroad Use O O +31.A. State Use O O +31.B. State Use O O +31.C. State Use O O +31.D. State Use O O +32.A. Narrative (Railroad Use) O O +32.B. Narrative (State Use) O O +33. Emergency Notification Telephone No. R R +34. Railroad Contact (Telephone No.) R R +35. State Contact (Telephone No.) R +Part II: Railroad Information +1.A. Total Day Thru Trains (6AM to 6PM) R R +1.B. Total Night Thru Trains (6AM to 6PM) R R +1.C. Total Switching Trains R R +1.D. Total Transit Trains R R +1.E. Check If Less Than One Movement Per Day C C +2 Year of Train Count Data R R +3.A Maximum Timetable Speed (mph) R R +3.B Typical Speed Range Over Crossing (mph) R R +4. Type and Count of Tracks R R +5. Train Detection (Main Track Only) R R +6. Is Track Signaled? R R +7.A. Event Recorder C C +7.B. Remote Health Monitoring C C +Part III: Highway or Pathway Traffic Control Device Information +1 Are There Signs or Signals? R +Appendix B-3 +Box Field +Update Provided +by State +Update Provided by +Railroad or Transit +Public Private Public Private +2.A. Crossbuck Assemblies R +2.B. STOP Signs (R1‐1) R +2.C. YIELD Signs (R1‐2) R +2.D. Advance Warning Signs R +2.E. Low Ground Clearance Sign (W10‐5) R +2.F. Pavement Markings R +2.G. Channelization Devices / Medians R +2.H. EXEMPT Sign (R15‐3) R +2.I. ENS Sign Displayed (I‐13) R +2.J. Other MUTCD Signs R +2.K. Private Crossing Signs (if Private) R +2.L. LED Enhanced Signs R +3.A. Gate Arms R +3.B. Gate Configuration R +3.C. Cantilevered (or Bridged) Flashing Light +Structures +R +3.D. Mast Mounted Flashing Lights R +3.E. Total Count of Flashing Light Pairs R +3.F. Original Installation Date of Current Active +Warning Devices +R +3.G. Wayside Horn R +3.H. Highway Traffic Signals Controlling Crossing R +3.I. Bells R +3.J. Non‐Train Active Warning R +3.K. Other Flashing Lights or Warning Devices R +4.A. Does nearby Highway Intersection Have +Traffic Signals? +R +4.B. Highway Traffic Signal Interconnection R +4.C. Highway Traffic Signal Preemption C +5. Highway Traffic Pre‐Signals R +6. Highway Monitoring Devices R +Part IV: Physical Characteristics +1. Traffic Lanes Crossing Railroad R +2. Is Roadway/Pathway Paved? R +3. Does Track Run Down a Street? R +4. Is Crossing Illuminated? R +5. Crossing Surface R +6. Intersecting Roadway Within 500 feet? R +7. Smallest Crossing Angle R +8. Is Commercial Power Available? O +Part V: Public Highway Information +1. Highway System R +2. Functional Classification of Road at Crossing R +Appendix B-4 +Box Field +Update Provided +by State +Update Provided by +Railroad or Transit +Public Private Public Private +3. Is Crossing on State Highway System? R +4. Highway Speed Limit R +5. Linear Referencing System (LRS Route ID) O +6. LRS Milepost O +7. Annual Average Daily Traffic (AADT) R +8. Estimated Percent Trucks R +9. Regularly Used by School Buses? R +10. Emergency Service Route R +Submission Information +Name R R R +Organization R R R +Phone R R R +Date R R R +Note: Please refer to the individual sections of this Guide for exceptions to the Crossing +Inventory Responsibility Table above. +Appendix C-1 +APPENDIX C – Reporting Crossings That Have Multiple Operating +Railroads +Except for situations where multiple railroads or urban rapid transit operators +operate trains on separate tracks through the same crossing, if more than one +operating railroad operates trains through a single highway-rail or pathway +crossing, the primary operating railroad is responsible for submitting and +updating crossing data on behalf of all the operating railroads that operate +through the crossing. +Note: The primary operating railroad is the operating railroad that either owns +or maintains the track through the highway-rail or pathway crossing, unless the +crossing is located within a private company, port, or dock area. If more than +one operating railroad either owns or maintains the track through the highwayrail or pathway crossing, or if no operating railroad owns or maintains the track +through the highway-rail or pathway crossing, then the operating railroad that +operates the highest number of trains through the crossing is the primary +operating railroad. In the event that there is only one operating railroad that +operates one or more trains through a highway-rail or pathway crossing, that +operating railroad is the primary operating railroad. + +Where multiple railroads or urban rapid transit operators operate trains on +separate tracks through the same crossing, each railroad or urban rapid transit +operator must submit crossing data to the Crossing Inventory (see Part I, Item 7 +above), and each must place its name in the field titled “Primary Operating +Railroad” (this links each railroad to the data it has submitted). The primary +operating railroad must submit the rest of the railroad-required data. Except for +the train counts, the National Crossing Inventory Record will reflect the data for +the primary operating railroad. +The FRA data management system will combine the critical data (such as train +counts) to produce a combined Crossing Inventory Record for the crossing for +analyzing the risk along with providing the individual records for each of the +operating railroads. Each railroad must place its name in the field titled +“Primary Operating Railroad” in Part 1, Box 1, in order to make clear which +record belongs to which railroad. +Each Inventory Form submitted by multiple operating railroads for the same +crossing will have the same crossing inventory number. +See the Figure below for an example of which fields must be completed and +Appendix C-2 +updated by each railroad or urban rapid transit operator that operates trains on +separate tracks through the same crossing. +Appendix C-3 +Areas highlighted in yellow are the fields required to be completed: +Appendix D-1 +APPENDIX D – Definitions +Adjacent Crossings – grade crossings with separate Crossing Inventory Numbers, +with their own separate warning devices, on the same vehicular highway or pathway, +where the distance between the inside rail of each crossing, as measured along the +highway or pathway, does not exceed 100 feet. +Annual Average Daily Traffic (AADT) – a figure that represents the amount of vehicles +traveling past a known location on a roadway for a year, divided by 365 days. In the +event that 365 consecutive days of traffic counts are not available, there are traffic +engineering calculations that can be used to develop a representative figure for AADT +based upon traffic counts of shorter duration. +Back Lights – a flashing light pair on the far side of the crossing, typically mounted 180 +degrees on the signal mast or cantilever structure from the flashing light pair of the near +side of the crossing. + +Channelization Device – a traffic separation system made up of a raised longitudinal +channelizer with vertical panels or tubular delineators that is placed between opposing +highway traffic lanes designed to alert or guide traffic around an obstacle or to direct +traffic in a particular direction. +Closed Crossing – a location where a previous crossing no longer exists because +either the railroad tracks have been physically removed, or each pathway or roadway +approach to the crossing has been physically removed, leaving behind no intersection +of railroad tracks with either a pathway or roadway. A grade-separated highway-rail or +pathway crossing that has been physically removed is also considered a closed +crossing. +Crossing Inventory – the U.S. DOT National Highway-Rail Crossing Inventory. +Diagonal Crossing – a highway-rail crossing where the railroad tracks run diagonally +through the highway-highway intersection, thus bisecting the two roadways. Only one +Crossing Inventory Number is to be assigned to such locations. +Event Recorder – a device designed to resist tampering that monitors and records data +on information at the grade crossing location such as (but not limited to) train speed, +direction of motion, time, and distance over the most recent timeframe (e.g. last 24 or +48 hours) of the grade crossing warning system operation. +Flashing Light Pairs – two red-colored light units that flash alternately at a rate of 45 to +65 times per minute. The main components of a flashing light pair are the hood, +background, roundel, lamp, lamp holder, reflector, and housing. The background is 20 +Appendix D-2 +or 24 inches in diameter and is painted a nonreflecting black to provide a contrast for +the red light. The hood is also painted black. +Gate – an automatically-operated traffic control device which, when activated into a +horizontal position, is intended to physically impede users such that they are +discouraged from entering a particular grade crossing. +Two Quadrant Gates – a gate configuration featuring gates only on entrance lanes +leading on to the crossing. If a crossing does not have any gates on any exit lanes +leading off the crossing, then it is to be considered a “two-quadrant gate” crossing. +Note: A gated crossing on a one-way street is to be considered a “2 Quad” gate +configuration. +Three Quadrant Gates – a specific gate configuration featuring gates on all +entrance lanes leading on to the crossing, but with only one exit leading off the +crossing that is equipped with a gate. +Four Quadrant Gates – a specific gate configuration that features gates on all +entrance and all exit lanes at the crossing. When four quadrant gates are activated +and fully lowered, all entrance lanes and all exit lanes are blocked by gates . +Full (Barrier) Resistance Gates – a gate-like device that is specifically designed to +physically prevent a highway vehicle from entering the crossing area when the +resistance gate system is fully deployed. +Median Gates (sometimes referred to as dual entrance gates) – a supplemental +gate installation located on a roadway’s median (to the left of the travel lanes) that +works in combination with a gate installed on the outside edge of the roadway (to the +right of the travel lanes) to jointly provide blockage of multiple lanes on a single +roadway approach to the crossing, with both gate arm tips meeting (2-foot maximum +gap) in the middle. +Grade Crossing – for purposes of the Inventory, either a highway-rail grade crossing, +pathway grade crossing or pedestrian station grade crossing. +Highway-Rail Crossing – for purposes of the Crossing Inventory, the location where +one or more railroad tracks intersect with a public highway, road, street, or private +roadway, either at-grade or grade-separated, including associated sidewalks. +A crossing includes those tracks that lie within the same pair of warning devices. Thus, +an intersection of a roadway with 3 tracks (2 mainline and 1 spur) where the mainline +tracks have flashing lights and the spur track has crossbucks would be considered two +crossings with two separate crossing inventory numbers. One crossing would consist of +the mainline tracks with the flashing lights and one crossing would consist of the spur +track that has crossbucks. +Appendix D-3 +Highway-Rail Grade Crossing – for purposes of the Crossing Inventory, a highway-rail +crossing that is at the same grade level as the railroad tracks. +Inventory Form – the U.S. DOT Crossing Inventory Form (Form FRA F 6180.71). +Inventory Number – the number assigned to a highway-rail crossing or pathway +crossing in the Crossing Inventory. +Median – a non-traversable portion of a divided highway separating the travel ways for +traffic in opposite directions. +MUTCD – the Manual on Uniform Traffic Control Devices published by the Federal +Highway Administration. +Open Crossing – a highway-rail crossing or pathway crossing where both railroad +operations and highway or pathway traffic are possible. +Operating Railroad – any railroad or urban rapid transit operator that operates one or +more trains through a highway-rail crossing or pathway crossing on, or connected to, +the general railroad system of transportation. +Pathway – a path for authorized users, outside the traveled way and physically +separated from the roadway by an open space or barrier and either within the highway +right-of-way or within an independent alignment. Pathways include shared-use paths, +but do not include sidewalks. +Pathway Crossing – a pathway that: (1) is explicitly authorized by a public authority or +a railroad; (2) is dedicated for the use of non-vehicular traffic including pedestrians, +bicyclists, and others, (3) is not associated with a public highway, road, or street, or a +private roadway; and (4) crosses one or more railroad tracks either at grade or gradeseparated. However, an area where pedestrians trespass, even routinely, is not +considered to be a pathway crossing. +Pathways that are contiguous with, or separate but adjacent to, highway-rail crossings +are presumed to be part of the highway-rail crossing and are not considered separate +crossings. However, pathways that are located more than 25 feet from the location +where a highway, road, or street intersects with one or more railroad tracks are +generally considered to be separate pathway crossings. +Pathway Grade Crossing - for purposes of the Crossing Inventory, a pathway crossing +that is at the same grade level as the tracks. +Pedestrian Crossing - See Pathway Crossing. +Appendix D-4 +Pedestrian Station Crossing (Station, Ped.) – a pathway crossing located within a +passenger station. +Pedestrian Station Grade Crossing – a pedestrian station crossing that is at the same +grade level as the tracks. +Plant Railroad – a plant or installation that owns or leases a locomotive, uses that +locomotive to switch cars throughout the plant or installation, and is moving goods +solely for use in the facility’s own industrial processes. The plant or installation could +include track immediately adjacent to the plant or installation if the plant railroad leases +the track from the general system railroad and the lease provides for (and actual +practice entails) the exclusive use of that trackage by the plant railroad and the general +system railroad for purposes of moving only cars shipped to or from the plant. A plant +or installation that operates a locomotive to switch or move cars for other entities, even +if solely within the confines of the plant or installation, rather than for its own purposes +or industrial practices, will not be considered a plant railroad because the performance +of such activity makes the operation part of the general railroad system of +transportation. +Primary Operating Railroad – the operating railroad that either owns or maintains the +track through the highway-rail or pathway crossing, unless the crossing is located within +a private company, port, or dock area. If more than one operating railroad either owns +or maintains the track through the highway-rail or pathway crossing, or if no operating +railroad owns or maintains the track through the highway-rail or pathway crossing, then +the operating railroad that operates the highest number of trains through the crossing is +the primary operating railroad. In the event that there is only one operating railroad that +operates one or more trains through a highway-rail or pathway crossing, that operating +railroad is the primary operating railroad. +For highway-rail and pathway crossings that are located within a private company, port, +or dock area, each railroad that owns track leading to the private company, port, or dock +area will be considered a primary operating railroad as applied to crossings within the +private company, port, or dock area. +Private Crossing – a highway-rail or pathway crossing that is not a public crossing. +Typical types of private crossings include farm crossings, industrial plant crossings, and +residential access crossings. +Public Authority – the public entity responsible for traffic control or law enforcement at +a highway-rail crossing or the public entity that authorized a pathway crossing. +Public Crossing – a highway-rail or pathway crossing where the approaches are under +the jurisdiction of and maintained by a public authority and open to public travel. All +approaches must be under the jurisdiction of the public authority and no approach may +be on private property, unless state law or regulation provides otherwise. +Appendix D-5 +For purposes of this definition “open to public travel” means that the road or pathway +section is available (except during scheduled periods, extreme weather or emergency +conditions) and open to the general public for use without restrictive gates, prohibitive +signs, or regulation. Restrictions for highway-rail crossings that are based on size, +weight, or class of registration do not apply. +In situations where a State has empowered a public agency (such as a State +Department of Transportation, State Highway Department, Public Utility Commission, +State Commerce Commission, etc.) to make a determination as to whether crossings +are public or private, such determinations will govern for Inventory purposes. +Quiet Zone – a segment of a rail line, within which is situated one or a number of +consecutive public highway-rail crossings at which locomotive horns are not routinely +sounded. +Remote Health Monitoring – an electronic system designed to remotely notify the +railroad (typically the railroad signal maintainer or a trouble desk) that components of +the automatic warning system are not functioning as intended. +Side Lights – a flashing light pair, typically mounted on the signal mast or cantilever +structure, used to warn vehicular traffic and/or pedestrians approaching from side +streets, parking lots, driveways or pathways. +Sidewalk – that portion of a street between the curb line, or lateral line of a roadway, +and the adjacent property line. Sidewalks also include easements on private property +that are paved or improved and intended for use by pedestrians. +Temporary Crossing – a highway-rail or pathway crossing created to serve a specific +activity for a temporary time period not to exceed six months. Temporary crossings do +not need an inventory number and do not need to be reported to the Crossing Inventory. +Through (Thru) Trains – trains whose primary responsibility is to operate over a route +with defined beginning and end points. +Appendix E-1 +APPENDIX E – Frequently Asked Questions (FAQs) +Q 1. Which types of crossings must be reported to the Crossing Inventory? +All crossings, Highway-Rail, Pathway (formerly known as Pedestrian) and +Pedestrian Station, either at-grade and grade-separated, must be reported to the +Crossing Inventory, with the exception of temporary crossings. Temporary +crossings are crossings that are created to serve a specific activity for a +temporary time period not to exceed six months. +An Inventory Number must be assigned to each crossing that is reported to the +Crossing Inventory, except for certain crossings that are discussed in more detail +in the Inventory Guide. +Q 2. If multiple operating railroads operate through a highway-rail or pathway +crossing, which operating railroad is responsible for getting the Inventory +number and filing the Inventory Forms? + With the exception of highway-rail and pathway crossings where multiple +railroads or urban rapid transit operators operate trains on separate tracks +through the same crossing, the primary operating railroad will be responsible for +requesting the Inventory Number and submitting crossing data (including periodic +updates) to the Crossing Inventory for a particular highway-rail or pathway +crossing. + +The primary operating railroad either owns or maintains the track through the +highway-rail or pathway crossing, unless the crossing is located within a private +company, port, or dock area. If more than one operating railroad either owns or +maintains the track through the highway-rail or pathway crossing, or if no +operating railroad owns or maintains the track through the highway-rail or +pathway crossing, then the operating railroad that operates the highest number +of trains through the crossing is the primary operating railroad. In the event that +there is only one operating railroad that operates one or more trains through a +highway-rail or pathway crossing, that operating railroad is the primary operating +railroad. For highway-rail and pathway crossings that are located within a private +company, port, or dock area, each railroad that owns track leading to the private +company, port, or dock area will be considered a primary operating railroad as +applied to crossings within the private company, port, or dock area. + Please refer to Appendix C for detailed guidance on reporting to the Crossing +Inventory when multiple railroads or urban rapid transit operators operate trains +on separate tracks through the same highway-rail or pathway crossing. + +Appendix E-2 +Q 3. Do I need to get an Inventory Number for a private crossing? +Yes. Railroads must obtain Inventory numbers for private crossings. +This includes crossings that are in a plant area owned by a private corporation, in +a port or dock area or in the rail yard of the operating railroad. The primary +operating railroad may decide whether to assign one Inventory Number for each +crossing on private property or for multiple crossings within the plant, port or dock +area or rail yard. +Q 4. Where can I get valid Crossing Inventory Numbers? +To acquire crossing numbers from FRA, please send an e-mail to: +RequestDOTGXNumber@dot.gov. +Q 5. How do I update the Crossing Inventory for my Railroad or State? +Please refer to Appendix B of this Inventory Guide, the Crossing Inventory +Responsibility Table, for information related to which data fields on the Inventory +Forms need to be updated by railroads and/or the States. +With the exception of Class I railroads who must submit updates to the Crossing +Inventory electronically, all non-Class I railroads and States may choose to +submit updates to the Crossing Inventory electronically or by mailing updated +Inventory Forms. +Please see FRA’s Web site for the correct mailing address for hardcopy +U.S. DOT Crossing Inventory (Crossing Inventory) submissions. +Q 6. Can I submit Inventory Forms electronically? +Yes. While Class I railroads are required to file Inventory data electronically, all +railroads and States are encouraged to file data electronically in accordance with +the instructions contained in this Inventory Guide. +Q 7. Do I have to submit Inventory Forms electronically? +Class I railroads must file their Inventory Forms electronically. Therefore, +Inventory updates, as well as the submission of Inventory data for new and +previously unreported crossings, will need to be submitted electronically to the +Crossing Inventory by Class I railroads. All other operating railroads and the +States may choose to submit Inventory Forms electronically, but are not required +to do so. + +Appendix E-3 +Q 8. Which parts of the Inventory Form must be completed for a new or +previously unreported crossing? +The type of crossing will dictate which parts of the Inventory Form must be +completed by railroads for the initial reporting of new and previously unreported +highway-rail and pathway crossings. The Inventory Form will be considered +“completed”, if the following parts of the Inventory Form are completed: + Public Highway-Rail Grade Crossing: Complete entire Inventory Form (with +the exception of I.20 and III.2.K); + Private Highway-Rail Grade Crossing: Complete Header, plus Parts I, II, and +III.2.K of the Inventory Form and the Submission Information section; + Public Pathway Grade Crossing: Complete Header, plus Parts I and II of the +Inventory Form (with the exception of I.20) and the Submission Information +section; + Private Pathway Grade Crossing: Complete Header, plus Parts I, II, and +III.2.K of the Inventory Form and the Submission Information section; + Pedestrian Station Grade Crossing (Station, Ped.): Complete Header, plus +Parts I and II of the Inventory Form (with the exception of I.20) and +Submission Information section; + Grade-separated Crossing (highway-rail, pathway and pedestrian station): +Complete Header, plus Part I of the Inventory Form (with the exception of +I.20) and the Submission Information section. +Q 9. Where do I send hardcopies of completed Inventory Forms? +Please see FRA’s webpage for correct mailing address for hard copy Crossing +Inventory Submissions. +Q 10. If I only need to submit a few Inventory Forms, can I scan them +electronically and then submit them to the Crossing Inventory? +Scanning a document for transmittal to the Crossing Inventory is considered a +paper submission. This type of transmission does NOT constitute an electronic +submission; therefore, Class I railroads may not use this form of submission. +Non-Class I railroads may transmit scanned documents to: +RsisRXIUpdates@dot.gov. This address goes to FRA’s data processing contractor +who will process the submittals in accordance with their workload. +Q 11. Can I update crossing records online? +Appendix E-4 +Yes, FRA will provide a new secure web page to allow users to find and update +data for highway-rail and pathway crossings that have already been entered into +the Crossing Inventory. +Q 12. Will use of the GX32 software count as an electronic submission? + No, the GX32 software will be replaced with a secure web-based application that +will provide the state/railroad user with similar functionality. This will allow the +crossing data to be current and updates will be made instantaneously (with +business rules in place to ensure that only allowable data elements can be +changed). The new system will allow for more accurate record keeping and +timely submissions. Use of this new web-based application will constitute +electronic submission. +Q 13. What if there is no change in the data that currently exists in the Crossing +Inventory? +Even if the railroad has verified that there is no change in the existing data in the +Crossing Inventory, the railroad must submit an update to the Crossing Inventory, +electronically or by using Form FRA F 6180.71 at least once every 3 years. In +this instance, the Header on the Inventory Form will need to be completed. With +respect to item C, “Reason for Update”, in the Header, the box for “Date Change +Only” should be checked, in order to signify that the current data in the Crossing +Inventory is correct. +Q 14. Do we have to update crossings that have been closed or are gradeseparated? +A crossing that has been reported to the Crossing Inventory as closed does not +require further updating unless it is reopened. A grade-separated crossing that +has been reported to the Crossing Inventory does not require further updating +unless it is physically removed in which case it should be reported as closed. +Q 15. Do we have to use the paper Form FRA F 6180.71 for updating? +No, Class I railroads must submit updates to the Crossing Inventory +electronically. All other railroads, urban rapid transit operators and the States are +encouraged to submit updates to the Crossing Inventory electronically, but may +submit hard copy updates. +Q 16. How long will it take for Inventory updates to appear on FRA’s Web site? +Electronic submissions will be updated to the inventory immediately following a +successful submission (i.e., all required data is provided and passes all validation +rules). It generally takes between 1 to 3 months before updates will appear on +Appendix E-5 +the Web site for hardcopy submissions. This is an estimate as the timeline is +dependent upon the number of hardcopy submissions received and the amount +of time to conduct manual data entry. +Q 17. What is the best way to get started updating records for a State or Railroad +that has thousands of crossings? +For States and Railroads with a large number of crossings, the best way to get +started updating the Crossing Inventory is to first determine which crossings have +been entered into the Crossing Inventory. This can be accomplished by +verification of the Inventory number in both the Crossing Inventory and the +respective State or Railroad File. Compare only the Inventory Numbers, and then +resolve the status of those that don’t match (Open or Closed, or non-existent in +either file). Next, carry the comparison further by verifying Public versus Private +crossing type, and then State or Operating Railroad. Once there is agreement +with regards to the existing number of crossings, Open or Closed status, Public +or Private crossing type, and in which State or on which Operating Railroad, then +the balance of the information can be checked, verified, and updated. + +Q 18. How do I get the most current Crossing Inventory data for our State or +Railroad? +The most current Crossing Inventory data is available for download from FRA’s +Safetydata Web site. +Q 19. We are planning to develop our own database software for our own +crossing inventory file. Are there consultants that have done this before +that we can contact, and is there anything specific that we should know or +do before we get started? +There are several States and Railroads who have hired consulting firms to +develop electronic databases for their crossing inventory records and for +managing their crossing improvement program and contracts. You will need to +contact the individual States or Railroads to determine which firms have +performed in a satisfactory manner. However, if you decide to contract with a firm +directly, you should instruct them to develop their data file structure to be +compatible with the FRA data file so that data can be directly transferred to FRA +without conversion. The consultant should use the Electronic Submission +Instructions when developing the software. The Electronic Submission +Instructions can be found on the Grade Crossing Inventory System (GCIS) +secure site. +Q 20. Where can I find information regarding the Format and Description of the +Crossing Inventory Data Fields for electronic submissions? +Appendix E-6 + Information regarding the Format and Description of the Crossing Inventory data +fields can be found in the Electronic Submission Instructions. The Electronic +Submission Instructions can be found on the GCIS secure site. +Q 21. How do I get crossing inventory data and information for my locale? +Crossing records can be accessed from FRA’s Safetydata Web site. +Q 22. Who is responsible for reporting a closed crossing in the Inventory and +how is it done? +The primary operating railroad must report the closure of a highway-rail or +pathway crossing to the Crossing Inventory, but the State may also report the +closure of a public crossing. +Reporting a closed a crossing in the Crossing Inventory is a very simple process. +A closed crossing can be reported by completing the Header information and +checking “closed” in section C, “Reason for Update”, in the Header of the +Inventory Form. The date of the closure, if known, may be shown in Part I.30 or +Part I.31, as appropriate. +A crossing that is closed remains in the Crossing Inventory forever. The +Inventory number remains with that location forever, and the number cannot be +reused at a different location. However, a crossing that has been closed can be +reopened in the Crossing Inventory at any time in the future by simply updating +the inventory record. +Q 23. How do I report a crossing that has previously been closed and is now reopened? +Complete all of the data fields in the Header and check the “Re-Open” box in +Item C of the Header of the Inventory Form. The reporting agency should +coordinate with the other agency to update all of the data fields on the Inventory +Form that have been assigned to the State and railroad for updating by Appendix +B to the Inventory Guide. +Finally, if a hardcopy Inventory Form update will be submitted to the Crossing +Inventory, the Submission Information section of the Inventory Form will also +need to be completed. +Q 24. How do I report the sale of a highway-rail or pathway crossing to the +Crossing Inventory? +First, complete all of the data fields in the Header of the Inventory Form. If the +sale of the highway-rail or pathway crossing will result in a new primary operating +Appendix E-7 +railroad, check the “Change in Primary Operating RR” box in Item C of the +Header of the Inventory Form. However, if the sale of the Highway-Rail or +Pathway Crossing will not result in a new primary operating railroad, check +“Change in Data” box in item C of the Header of the Inventory Form. +In addition, if the sale of the crossing will result in a change to any of the +following data fields, update the changed field: + Item 1 in Part I of the Inventory Form (“Primary Operating Railroad”) + Item 15 in Part I of the Inventory Form (“Parent RR”) + Item 16 in Part I of the Inventory Form (“Crossing Owner”) +Finally, if a hard-copy Inventory Form update will be submitted to the Crossing +Inventory, complete the Submission Information section of the Inventory Form as +well. +Q 25. Who needs to provide Latitude / Longitude data and in what format? +For new or previously unreported crossings, the primary operating railroad is +required to obtain and provide this information when submitting the initial +Inventory Form to the Crossing Inventory. By design, data cannot be added to +the Crossing Inventory without all applicable information being provided for a new +or previously unreported crossing. +States are expected to provide updates for latitude and longitude data for public +highway-rail crossings, including those that are grade-separated, and all public +pathway crossings. Railroads are to provide updates for latitude and longitude +data for private highway-rail crossings, including those that are grade-separated, +and all private pathway crossings. +The FRA Office of Safety uses the WGS-84 (World Geodetic System 1984) +datum standard. The Crossing Inventory requires Latitude and Longitude to be +submitted in “Degrees.Digital Degrees” (DDD) format. The coordinates are to be +measured at the center of the crossing. The measurement values are to be +entered in decimal (DDD) format as (nn.nnnnnnn) for Latitude and as (- +nnn.nnnnnnn) for Longitude. The values need to be taken to at least five (5) +decimal places, but seven (7) decimal places are preferred. Please refer to the +previous Inventory Guide discussion of Part I, Fields 27 and 28 on the Inventory +Form, for additional information which includes conversion instructions from the +“Degrees.Minutes.Seconds” (DMS) format. +Q 26. How do you determine whether separate Inventory numbers should be +assigned to crossings that are located in close proximity to each other? +Appendix E-8 +For purposes of the Crossing Inventory, a highway-rail crossing consists of those +railroad tracks that lie between a pair of warning devices. Therefore, each +crossing with its own pair of warning devices must have an Inventory number +assigned. +Q 27. Is a pathway ever considered to be a part of a highway-rail crossing? +Pathways that are contiguous with, or separate but adjacent to, highway-rail +crossings are presumed to be part of the highway-rail crossing and are not +considered separate crossings. However, pathways that are located more than +25 feet from the location where a highway, road, or street intersects with one or +more railroad tracks are generally considered to be separate pathway crossings. +Q 28. A crossing that was closed seven years ago is being reopened for highway +traffic. Does the crossing need a new inventory number? + No. Inventory numbers stay with the location to which they were originally +assigned. You must use the Inventory number that was previously assigned to +the crossing. +Q 29. A roadway is being modified which will result in the closure of an existing +crossing and the opening of a new crossing 100 feet down the track. Since +the crossing is essentially being relocated, can I use the Inventory number +that has already been assigned? + No. Inventory numbers stay with the location to which they were originally +assigned. A new, unused Crossing Inventory number must be assigned to the +new crossing. +Q 30. Can a railroad or State change all the fields in an existing Inventory +Record? + No. The Responsibility Table for Updating Crossing Inventory Data, in Appendix +B of this Guide, lists the data fields for which the railroads and States are +responsible for updating. Unless prior written notification has been provided to +FRA, if either party attempts to change fields that have not been assigned to it for +updating, those changes will be not be implemented. +Q 31. Can a railroad delegate to another railroad or state its responsibility to +update the inventory? + Yes, a railroad may allow a parent railroad or a State to update the inventory on +its behalf. However, the railroad will still be held responsible for timely and +accurate submission, regardless of any delegation. If the railroad would like to +delegate its responsibility to submit and crossing data to a State agency or a +Appendix E-9 +parent corporation, prior notification must be provided jointly to FRA in writing. +Q 32. How often must the Inventory Record be updated? +With the exception of crossing inventory records for grade-separated crossings +and closed highway-rail and pathway crossings, the crossing inventory record +must be updated at least every 3 years even if nothing has changed at the +crossing. However, any crossing closure, change in crossing surface (e.g., +timber to rubber) or change in the type of warning device (e.g., crossbuck to +flashing lights and gates) must be reported within three months. In addition, FRA +encourages updates as other crossing information changes. +Q 33. Would electronic submission allow a railroad or State to update fields for +which it is not responsible? +The Railroad only has the ability to update the data fields for which it is +responsible. Similarly, the State only has the ability to update the data fields for +which the State is responsible, regardless of the method used to provide the +update. The submitting entity should only submit updated data for processing for +which it is responsible. Exceptions to this policy are, however, permitted when +both entities have provided prior written notification to FRA. +Q 34. When a crossing is being changed from Private to Public, what data must +be provided by the submitting agency? + For a change from a private highway-rail grade crossing to a public highway-rail + grade crossing, railroads must complete the entire Inventory Form (with the + exception of I.20 and III.2.K) with updated information. + For a change from a private pathway grade crossing to a public pathway grade + crossing, railroads must update the Header, Parts I, II, and III.2.K of the + Inventory Form and the Submission Information section. +Q 35. If a private company, port or dock area, or a rail yard has multiple +crossings, is it possible to have more than one Inventory number assigned +to the facility? +A. Although one Inventory Number may be assigned for all of the crossings in +the facility, there are two reasons why a private company may have more +than one Inventory Number: +1. A railroad may assign Inventory Numbers to specific crossings while +assigning one Inventory Number to the remaining crossings. +2. If more than one operating railroad provides service to the private +company from its own track (e.g., one track off of railroad X’s track and +one track off of railroad Y’s track), each operating railroad must assign a +Appendix E-10 +unique Inventory number for the private company. If a crossing accident +occurs, the railroad that is involved in the collision must use the Inventory +number that it assigned to the private company. +Q36. How do I report a change in crossing characteristics (such as a change in +the crossing surface or a change in the crossing warning devices) that is +required by 49 CFR 234.411(c) at a public highway-rail grade crossing to +the Crossing Inventory? +Complete all of the data fields in the Header of the Inventory Form, checking the +“Change in Data” box in Item C. +The primary operating railroad must update all data fields in Parts II and III on the +Inventory Form. +Finally, if a hardcopy Inventory Form update will be submitted to the Crossing +Inventory, the primary operating railroad must complete the Submission +Information section of the Inventory Form as well. +Appendix F-1 +APPENDIX F – High-Speed Rail ID Corridor Designations and Codes +Key: “#” Use for Rail-Section Identifier (numeric 1 - 9) or use “X” if numeric not used. +For High Speed Rail Corridor Codes for any new corridors that are not listed above, +contact the FRA Crossing Inventory Program Manager. +High-Speed Rail Corridor Designations and Codes +Code Corridor Route +PNW# +Pacific +Northwest Vancouver - Seattle - Portland - Eugene +CAV# California San Diego - Los Angeles - Stockton - Sacramento/Bay Area +CAC# Los Angeles - Bay Area - Sacramento +CLL# Los Angeles - Las Vegas +CMM# Chicago Hub Chicago - Milwaukee - Minneapolis +CSK# Chicago - Springfield - St. Louis - Kansas City +CIC# Chicago - Indianapolis - Cincinnati +CKD# Chicago - Kalamazoo - Detroit +CTC# Chicago - Toledo - Cleveland +CIL# Indiana Extension: Indianapolis - Louisville +CCC# Ohio 3 C’s Cleveland - Columbus - Cincinnati +KEY# Keystone Philadelphia - Harrisburg - Pittsburgh +EMP# Empire New York - Albany - Buffalo +NEP# +Northern +New England Boston - Portland +NEM# +Northern +New England Boston - Montreal +NEW# New England Boston - Albany +NHS# +Southern +New England New Haven - Hartford - Springfield +NEC# +Northeast +Corridor +Washington - Baltimore - Philadelphia - New York - New Haven - +Boston +Appendix F-2 +High-Speed Rail Corridor Designations and Codes +Code Corridor Route +SER# Southeast Washington - Richmond - Raleigh +SES# Raleigh - Columbia - Savannah - Jesup - Jacksonville +SEC# +Raleigh - Durham - Greensboro - Charlotte - Greenville - Atlanta - +Macon +SEV# Virginia Extension: Richmond - Hampton Roads +SEG# Georgia Connection: Macon - Jesup +FLX# Florida Miami - Orlando - Tampa + +GCA# Gulf Coast Atlanta - Birmingham - Meridian - New Orleans +GCM# Mobile - Biloxi - New Orleans - Houston +SCA# +South +Central Dallas/Ft Worth - Austin - San Antonia +SCT# Dallas/Ft Worth - Texarkana - Little Rock +SCO# Dallas/Ft Worth - Oklahoma City - Tulsa +FEDERAL RAILROAD ADMINISTRATION +GUIDE FOR PREPARING +U.S. DOT CROSSING INVENTORY FORMS +U.S. Department of Transportation +Federal Railroad Administration +Office of Railroad Safety +July 2016 +DOT/FRA/RRS-23 +Initial Publication: January 6, 2015 +Second Revision: July 19, 2016 + +Revision Index + Insertion of OMB-approved Inventory Form (Appendix A, U.S. DOT Crossing Inventory Form) - +Insertion date: March 5, 2015. + Updated e-mail address for the submission of scanned Inventory Forms. (Appendix E, Question +10) - Revision date: March 5, 2015. + Updated e-mail address for Inventory Number requests. (Appendix A, U.S. DOT Crossing +Inventory Form) – Insertion date: July 19, 2016. + Updated e-mail address for Inventory Number requests. (Appendix E, Question 4) – Revision +date: July 19, 2016. + +Table of Contents +I. INTRODUCTION ..............................................................................................................1 +II. INSTRUCTIONS FOR COMPLETING THE U.S. DOT CROSSING INVENTORY +FORM .................................................................................................................................3 +1. Header Information ........................................................................................................3 +2. Part I – Location and Classification Information ...........................................................8 +3. Part II – Railroad Information ......................................................................................23 +4. Part III – Highway or Pathway Traffic Control Device Information ...........................28 +5. Part IV – Physical Characteristics ................................................................................40 +6. Part V – Public Highway Information .........................................................................46 +APPENDIX A – U.S. DOT Crossing Inventory Form ...................................................... A-1 +APPENDIX B – Responsibility Table for Periodic Updates to the Crossing Inventory ....B-1 +APPENDIX C – Reporting Crossings That Have Multiple Operating Railroads ..............C-1 +APPENDIX D – Definitions .............................................................................................. D-1 +APPENDIX E – Frequently Asked Questions (FAQs) ...................................................... E-1 +APPENDIX F – High-Speed Rail ID Corridor Designations and Codes ........................... F-1 +Highway-Rail Crossing Inventory Instruction and Procedures Manual +1 +Instructions for Completing the U.S. DOT Crossing Inventory Form +I. INTRODUCTION +This Guide for Preparing U.S. DOT Crossing Inventory Forms (Guide) is intended to +provide guidance to operating railroads and States on completing the U.S. DOT +Crossing Inventory Form (Inventory Form) for highway-rail and pathway crossings. +The type of crossing will dictate which parts of the Inventory Form must be completed +by operating railroads for the initial reporting of new and previously unreported highwayrail and pathway crossings. The Inventory Form will be considered “completed” if the +following parts are completed: + Public Highway-Rail Grade Crossing: Complete entire Inventory Form (with the +exception of I.20 and III.2.K.); + Private Highway-Rail Grade Crossing: Complete Header, plus Parts I, II, and +III.2.K. of the Inventory Form and the Submission Information section; + Public Pathway Grade Crossing: Complete Header, plus Parts I and II of the +Inventory Form (with the exception of I.20) and the Submission Information +section; + Private Pathway Grade Crossing: Complete Header, plus Parts I, II, and III.2.K. +of the Inventory Form and Submission Information section; + Pedestrian Station Grade Crossing (pedestrian station.): Complete Header, plus +Parts I and II of the Inventory Form (with the exception of I.20) and Submission +Information section; + Grade-separated Crossing (highway-rail, pathway, and pedestrian station): +Complete Header, plus Part I of the Inventory Form (with the exception of I.20) +and the Submission Information section. +Please refer to the Crossing Inventory Responsibility Table in Appendix B for +detailed instructions regarding which data fields must be verified or updated at +least every 3 years by the primary operating railroad, as part of the periodic +updating process. +When there has been a change in crossing characteristics (such as a change in +the crossing surface or a change in the crossing warning devices) at a public +highway-rail grade crossing, as required by Title 49 Code of Federal Regulations +(CFR) Section 234.411(c), complete all of the data fields in the Header of the +Inventory Form, check the “Change in Data” box in “Reason for Update” field and +update all data fields in Parts II and III on the Inventory Form. If a hardcopy +Highway-Rail Crossing Inventory Instruction and Procedures Manual +2 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Inventory Form update will be submitted to the Crossing Inventory, complete the +Submission Information section of the Inventory Form as well. +Hardcopy Submission +Please see FRA’s Web site for the correct mailing address for hardcopy +U.S. DOT Crossing Inventory (Crossing Inventory) Submissions. +Electronic Submission +Completed Inventory Forms may also be submitted electronically to the +Crossing Inventory. Detailed instructions for the electronic submission of +Inventory Forms can be found in the Electronic Submission Instructions, which is +a separate document. +Updates to this Guide +Please refer to FRA’s Web site for updates to this Guide. + +Highway-Rail Crossing Inventory Instruction and Procedures Manual +3 +Instructions for Completing the U.S. DOT Crossing Inventory Form +II. INSTRUCTIONS FOR COMPLETING THE U.S. DOT CROSSING +INVENTORY FORM +1. Header Information +All Header data must be entered by the reporting agency +Figure 2-1: U.S. DOT-FRA Crossing Inventory Form Heading +Instructions +A brief set of instructions is provided at the top of the form. +A. Revision Date: +Figure 2-2: U.S. DOT-FRA Crossing Inventory Form Heading, Item A +Enter the date that the revision is being submitted in MM/DD/YYYY format. +Example: July 23, 2010, would be entered as 07/23/2010. +For hardcopy Inventory Form submissions, the revision date should be the certified +mailing date. +B. Reporting Agency: +Figure 2-3: U.S. DOT-FRA Crossing Inventory Form Heading, Item B +Enter a check in the appropriate box to indicate the type of agency that is submitting the +update or the establishment of a new crossing. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +4 +Instructions for Completing the U.S. DOT Crossing Inventory Form +The “Transit” box should be checked by urban rapid transit operators who submit +crossing data to the Crossing Inventory, including: + Urban rapid transit operators who operate through highway-rail grade crossings +and pathway grade crossings located on the same track used by railroads that +are part of the general railroad system of transportation. + Urban rapid transit operators who operate through highway-rail grade crossings +and pathway grade crossings that are located within a shared corridor or right-ofway, and shared crossing warning devices, with railroads that are part of the +general railroad system of transportation. + Urban rapid transit operators who do not have one of the above-listed +connections to the general railroad system of transportation, yet operate through +highway-rail crossings and pathway crossings. (Urban rapid transit operators in +this last category are encouraged, but not required, to submit crossing data to the +Crossing Inventory.) +The “Other” box should be checked by public authorities who submit crossing data to +the Crossing Inventory for quiet zone-related purposes. The “Other” box should not be +checked by delegated users or third-party entities who are submitting crossing data on +behalf of a railroad or State user. Delegated users are instructed to check the box that +applies to the entity on whose behalf the crossing data is being submitted. +Public authorities who submit crossing data to the Crossing Inventory have been +instructed to use hardcopy Inventory Forms for this purpose. Therefore, crossing data +submitted electronically will not be accepted by the Grade Crossing Inventory System +(GCIS) if the “Other” box has been checked. +C. Reason for Update: +Figure 2-4: U.S. DOT-FRA Crossing Inventory Form Heading, Item C +Check only one box to indicate the primary reason for the change. +The nine checkbox selections account for the various reasons for submitting an update. +These include the following: + Change in Data – Submission of crossing data associated with an actual change +in crossing characteristics that is not reflected by any of the other box selections +below. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +5 +Instructions for Completing the U.S. DOT Crossing Inventory Form +This includes cases where crossing type is changed from “Private” to “Public” for +a highway-rail grade crossing; the entire Inventory Form (or its electronic +equivalent) must be completed. Please reference Part I, Box 17. + New Crossing – An open crossing that is not currently in the Crossing Inventory. +This could be either a new crossing or one that was previously unreported. + Closed – A location where a previous crossing no longer exists because either +the railroad tracks have been physically removed, or each pathway or roadway +approach to the crossing has been physically removed, leaving behind no +intersection of railroad tracks with either a pathway or roadway. A gradeseparated highway-rail or pathway crossing that has been physically removed is +also considered a closed crossing. + No Train Traffic – A crossing through which trains no longer operate. +Note: The primary operating railroad is responsible for updating the Crossing +Inventory to reflect that a highway-rail grade crossing or pathway grade crossing +is no longer subject to train traffic. This update should be made as soon as +possible, but must be made no later than the next required periodic update. +When the Crossing Inventory is updated to reflect a change to No Train Traffic +status, Parts II.1 and II.3 must be changed to reflect all zeros and the Part II.2 +must reflect the current year the update is made. + Re-Open – A closed crossing or crossing that was not previously subject to train +traffic which has been placed into active service. + Note: The primary operating railroad is responsible for updating the Crossing +Inventory to reflect that a highway-rail grade crossing or pathway grade crossing +has been placed into active service. This update should be made as soon as +possible, but must be made no later than the next required periodic update. + Date Change Only – An update to indicate that crossing data has not changed +since the last update to the Crossing Inventory. If this box is checked, the GCIS +will not allow changes to be made to any other data fields in the Crossing +Inventory prior to submission. + Change in Primary Operating RR – A change in primary operating railroad. + Admin. Correction – A correction to data that is currently contained in the +Crossing Inventory. This box should be checked for corrections of data +previously submitted in error. (This box should not be checked to report a +previously unreported crossing.) +Highway-Rail Crossing Inventory Instruction and Procedures Manual +6 +Instructions for Completing the U.S. DOT Crossing Inventory Form + Quiet Zone Update – Any change to the quiet zone status for that crossing. +Note: This box is reserved for FRA use only. +Depending on the reporting agency, only certain values apply. New Crossing, No +Traffic, Re-Open, and Change in Primary Operating RR are limited to railroads. Closed, +Change in Data, Date Change Only, and Admin. Correction may apply to all reporting +entities. As noted above, Quiet Zone Update will only apply to FRA use +(Part I, Box 25). +D. DOT Crossing Inventory Number +Figure 2-5: U.S. DOT-FRA Crossing Inventory Form Heading, Item D +Enter a valid Inventory Number (6-digits followed by an alpha character). Please refer +to Appendix A for an explanation about how to obtain Inventory Numbers for new and +previously unreported crossings. +For new or previously unreported crossings, the assignment of an Inventory Number +occurs when the number is placed on a completed Inventory Form by the responsible +railroad and the completed Inventory Form is submitted for inclusion in the U.S. DOT +National Highway-Rail Crossing Inventory. More than one crossing number may be +assigned to multiple pathway crossings within a station or yard facility. +Note: Once assigned, the Inventory Number stays with that location forever. If the +crossing is eventually closed, the Inventory Number and data at the time of closure +remains in the file. If the crossing is reopened at the same location, the same Inventory +Number must be used again. +Inventory Number Assignment: Only one Inventory Number may be assigned to a +crossing even if the individual tracks belong to more than one Railroad Company or +track owner. +Crossing on Multi-lane Roads: A crossing on a multi-lane roadway shall be reported +as a single crossing and there shall only be one Inventory Number assigned even if a +railroad track moves diagonally across a highway-highway intersection. +Crossings on Private Company or Railroad Property: Where there is more than one +crossing in a railroad yard or an area belonging to a private company, a port, or a dock, +one Inventory Number may be assigned to include all crossings within the private +property limits. In addition, one Inventory Number may be used for multiple pathway +crossings contained within a railway station. When one Inventory Number has been +Highway-Rail Crossing Inventory Instruction and Procedures Manual +7 +Instructions for Completing the U.S. DOT Crossing Inventory Form +assigned to multiple crossings, the primary operating railroad may determine the best +method for selecting latitude and longitude coordinates for the purpose of submitting +data to the Crossing Inventory. However, when more than one railroad owns track that +leads into a private company, port, or dock area, each railroad will be considered to be +a primary operating railroad and must assign its own Inventory Number to the +crossing(s) within the private company. +If the railroad would like to extract one or more crossings that have been grouped +together under the same Inventory Number, the railroad may request a new Inventory +Number for each extracted crossing. However, the original Inventory Number must +continue to be assigned to at least one of the crossings that were previously grouped +together. In order to maintain a link between the new Inventory Number and the original +Inventory Number, the primary operating railroad must also include a note in the +“Narrative (Railroad Use)” data field in Part I of the Inventory Form that references the +original Inventory Number for each crossing that has been assigned a new Inventory +Number. +Diagonal Crossing through a Highway-Highway Intersection: When the railroad +tracks run diagonally through a highway-highway intersection, thus bisecting the two +roadways, only one Crossing Inventory Number is to be assigned and the names of +both roadways are to be identified in the Street/Road Name data field. +Highway Bridge Grade-Separated Crossings: When roadways have highway bridge +structures that are grade-separated crossings (usually two separate bridges each used +for highway traffic in opposite directions), assign one number to each structure if the +bridge structures are separated by 100 feet or more. If the bridge structures are less +than 100 feet apart, one or two numbers may be assigned in accordance with State +policy. Assign only one Crossing Inventory Number for bridge structures that are +connected or considered to be one structure for both directions of highway traffic. +Conversion of an At-Grade Crossing to a Grade-Separated Crossing: When an atgrade crossing is replaced with a grade separation, the at-grade crossing shall be +closed and a new crossing inventory number assigned to the grade separation. In the +Narrative, it is advisable to indicate something like “replaces at-grade crossing with DOT +Number ######X.” + +Highway-Rail Crossing Inventory Instruction and Procedures Manual +8 +Instructions for Completing the U.S. DOT Crossing Inventory Form +2. Part I – Location and Classification Information +Figure 2-6: U.S. DOT-FRA Crossing Inventory Form Part I, Location and Classification Information +1. Primary Operating Railroad +Figure 2-7: U.S. DOT-FRA Crossing Inventory Form Part I, Item 1 +Enter the valid, railroad code (up to four letters) for the “Primary Operating Railroad” +company. + +Highway-Rail Crossing Inventory Instruction and Procedures Manual +9 +Instructions for Completing the U.S. DOT Crossing Inventory Form +The primary operating railroad may or may not own and maintain the roadbed, tracks, +and signal system controlling the crossing. If the primary operating railroad company is +not the owner of the track, enter the owner's name in Item 16, “Crossing Owner.” +However, an operating railroad that contracts out its train operations, such as some +commuter railroads, should identify itself as the primary operating railroad, if the +operating railroad qualifies for primary operating railroad status. The contract railroad +operator should not be identified as the primary operating railroad. +Entities who are not subject to the reporting and updating requirements contained in +Title 49 Code of Federal Regulations (CFR) Part 234, Subpart F, such as plant railroads +and urban rapid transit operators who do not operate through highway-rail or pathway +crossings located on track shared with general system railroads or crossings located +within a common right-of-way or corridor with a general system railroad, are invited to +submit crossing data to the Crossing Inventory on a voluntary basis. For this limited +purpose, any railroad-related entity that submits crossing data to the Crossing Inventory +should identify itself as the primary operating railroad when submitting crossing data to +the Crossing Inventory. +Where multiple railroads or urban rapid transit operators operate trains on separate +tracks through the same crossing, each railroad or urban rapid transit operator must +submit crossing data to the Crossing Inventory (see Part I, Item 7 below), and each +must place its name in the field titled “Primary Operating Railroad” (this links each +railroad to the data it has submitted). +Note: FRA assigns valid railroad codes. If the valid railroad or company code is not +known, the initiator should contact FRA to obtain the correct code, or to have a new +code assigned for a new railroad or company. In the latter case, the complete railroad +company name, address, telephone number, and a contact person are required. To +contact FRA about railroad or company codes, send an email to: +FRARailCodes@dot.gov. +2. State +Figure 2-8: U.S. DOT-FRA Crossing Inventory Form Part I, Item 2 +Enter the two-character U.S. Postal Service (USPS) abbreviation for the State where +the crossing is located. +If the crossing is on a State boundary so that parts of the crossing lie in two or more +States, the agreement must be made between the two States as to which will claim the +crossing for inventory record purposes and that State’s abbreviation must be shown. +When a crossing is located on a State line, it is suggested that the crossing be +inventoried by, and shown as in, the State that is geographically south or east of the +Highway-Rail Crossing Inventory Instruction and Procedures Manual +10 +Instructions for Completing the U.S. DOT Crossing Inventory Form +crossing. FRA suggests that when a crossing lies on the border of a State that this be +noted in the appropriate comment boxes at the end of Part I, giving the name of the +other entity. +3. County +Figure 2-9: U.S. DOT-FRA Crossing Inventory Form Part I, Item 3 +Enter the name of the county (or parish) where the crossing is located. The county +must be in the State identified in Part I, Item 2. +If the crossing is on a county line so that parts of the crossing lie in two or more +counties, a decision must be made to place it in only one county. When a crossing is +located on a county line, it is suggested that the crossing be shown as in the county that +is geographically south or east of the crossing. FRA suggests that when a crossing lies +on the border of a county that this be noted in the appropriate comment boxes at the +end of Part I, giving the name of the other entity. +4. City/Municipality +Figure 2-10: U.S. DOT-FRA Crossing Inventory Form Part I, Item 4 + +Enter a check to indicate if the crossing is located “In” or “Near” the specified +“City/Municipality.” +If the crossing is not within the boundaries of a city, town, or village, enter a check in the +box for “Near.” If “Near” is checked, enter the name of the city or municipality along the +rail line that is closest to the crossing. The city must be in the State identified in Item 2, +but it does not have to be in the county identified in Item 3, “County.” +If the crossing is located within the boundaries of a city, town, or village, enter a check +in the box for “In” and enter the name of the city, town, or village in which the crossing is +located. The city must be in the county identified in Part I, Item 3. +If parts of the crossing lie in two or more cities, towns, or villages, identify only one city +or municipality. FRA suggests that when a crossing lies on the border of two or more +cities, towns, or villages that this be noted in the appropriate comment boxes at the end +of Part I, giving the name of the other cities or municipalities. +5. Street/Road Name & Block Number +Figure 2-11: U.S. DOT-FRA Crossing Inventory Form Part I, Item 5 +Highway-Rail Crossing Inventory Instruction and Procedures Manual +11 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Enter the street or road name. Street name aliases should not be used. +The block number field is optional. In order to complete this field, enter the block +number (up to 6 characters) of the street or road where the crossing is located in the +right side of the box. For example, if the closest building has an address of “4285,” then +the block number is “4200.” +For new crossings and future updates, enter the full street name without abbreviations +(e.g., N. Canal St. should be North Canal Street, 4th Oak Ave should be Fourth Oak +Avenue). +If the roadway is private and it has a name, enter the name of the road or the owner's +name. Otherwise, if such information is unknown, enter “private“. +When the railroad tracks run diagonally through a highway-highway intersection, thus +bisecting the two roadways, only one Inventory Number is to be assigned and the +names of both roadways are to be identified in the Street/Road Name data field. +Therefore, when entering both roadways in this block, separate with “ / ,” for example +“Elm Street/Main Avenue.” +6. Highway Type and Number +Figure 2-12: U.S. DOT-FRA Crossing Inventory Form Part I, Item 6 +Enter the type and number of highway or roadway designated by the State, such as +Interstate (I), U.S. numbered routes (US), State roadways (SR, ST or SH), county roads +(C) or (CR), local city streets (L or LS), local roads (LR), toll roads (TL), State loop/spur +(SL), farm to market (FM) etc., and the number, e.g., I-95, US-1, SR-234, C-2096, etc. +The number of the highway should be posted on the highway and found on State or +county maps. If there is more than one number, enter the most important route, or all +the numbers separated by a comma. +7. Do Other Railroads Operate a Separate Track at Crossing? +Figure 2-13: U.S. DOT-FRA Crossing Inventory Form Part I, Item 7 +Enter a check in the appropriate box to indicate if another operating railroad operates +over a separate track at the crossing. If “Yes,” enter the FRA railroad code for all +operating railroads that operate over a separate track within the same pair of warning +devices at the crossing. A total of four railroad codes may be entered with up to four +Highway-Rail Crossing Inventory Instruction and Procedures Manual +12 +Instructions for Completing the U.S. DOT Crossing Inventory Form +characters each in this field. +IMPORTANT– If the “Yes” box is checked and one or more FRA railroad codes have +been entered, each individual operating railroad identified must provide the following +data to the Crossing Inventory: header information; Part I, Box 1, Boxes 9–12, Box 22; +and Part II, Boxes 1–3; and the submission information. The name of the operating +railroad submitting the data should be listed in Part I, Box 1, whether or not the +individual operating railroad is the primary operating railroad. +The primary operating railroad, in addition to providing the above information, must +complete all of the remaining fields on the Inventory Form, in accordance with the +Instructions at the top of the Form. +Note: Please refer to Appendix C for a detailed explanation of how each operating +railroad is required to submit its own inventory record and future updates. +8. Do Other Railroads Operate Over Your Track at Crossing? +Figure 2-14: U.S. DOT-FRA Crossing Inventory Form Part I, Item 8 +Enter a check in the appropriate box to indicate if another operating railroad operates +over the reporting railroad’s track at the crossing. If “Yes,” enter the FRA railroad code +for all operating railroads that operate trains over the track at the crossing. A total of four +railroad codes may be entered with up to four characters each in this field. +9. Railroad Division or Region +Figure 2-15: U.S. DOT-FRA Crossing Inventory Form Part I, Item 9 +Enter the name of the division, region, or major district, if the railroad system is divided +into such groups. Otherwise, check the “None” box. +10. Railroad Subdivision or District +Figure 2-16: U.S. DOT-FRA Crossing Inventory Form Part I, Item 10 +Enter the name of the subdivision or other classification, if the railroad system is divided +into such groups. Otherwise, check the “None” box. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +13 +Instructions for Completing the U.S. DOT Crossing Inventory Form +11. Branch or Line Name +Figure 2-17: U.S. DOT-FRA Crossing Inventory Form Part I, Item 11 +Enter the name of the branch or line used by the railroad to describe this segment of +track. For example, if the track is an industry lead, industry spur, yard lead, or wye, +enter the name of the track or the name of the industry. If the branch or line does not +have a specific name, then check the “None” box . +12. RR Milepost +Figure 2-18: U.S. DOT-FRA Crossing Inventory Form Part I, Item 12 +Enter the railroad milepost number in miles and thousandths of miles (5.3 feet is +approximately 1/1000 mile). Enter the number with the decimal point in the following +format: (nnnn.nnn). If this accuracy is not attainable, then enter the milepost in miles +and hundredths of miles (53 feet is approximately 1/100 mile). Enter the prefix or suffix +identified with the milepost if it has one or both. +13. Line Segment ID +Figure 2-19: U.S. DOT-FRA Crossing Inventory Form Part I, Item 13 +Enter the railroad identification number for the line segments if the railroad has such a +system. If the crossing has an identification number other than the DOT number, such +as a State agency number (e.g., a Public Utility Commission (PUC) assigned number), +that number may be entered here or in one of the “State Use” fields (Items 31. A–D). +This field is optional. +14. Nearest RR Timetable Station +Figure 2-20: U.S. DOT-FRA Crossing Inventory Form Part I, Item 14 +Enter the name of the nearest timetable station for the primary operating railroad +company. This field is optional. +15. Parent RR +Highway-Rail Crossing Inventory Instruction and Procedures Manual +14 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Figure 2-21: U.S. DOT-FRA Crossing Inventory Form Part I, Item 15 +If applicable, enter the code for the parent railroad or the company that is parent to the +operating railroad entered in Part I, Item 1, “Primary Operating Railroad.” The entry +must be a valid railroad or company code, which can be obtained from FRA. Otherwise, +check the “N/A” box. +16. Crossing Owner +Figure 2-22: U.S. DOT-FRA Crossing Inventory Form Part I, Item 16 +If applicable, enter the code for the crossing owner (maximum of four characters) of the +entity that actually owns the property. The entry must be a valid railroad, company, or +agency code. If unknown, it can be obtained from FRA. Otherwise, check the “N/A” +box. +17. Crossing Type +Figure 2-23: U.S. DOT-FRA Crossing Inventory Form Part I, Item 17 +Check the “Public” box if: + The crossing is located where a public highway, road, or street crosses one or +more railroad tracks either at grade or grade-separated. + The crossing is a public pathway explicitly authorized by a public authority that is +dedicated for the use of non-vehicular traffic, including pedestrians, bicyclists, +and others, which is not associated with a public highway, road, or street. + The crossing is a pathway explicitly authorized by a public authority or a railroad +carrier that is dedicated for the use of non-vehicular traffic and is located within a +railway station. +Check the “Private” box if: + The crossing is a location where a private roadway crosses one or more railroad +tracks either at grade or grade-separated. + The crossing is a private pathway, either at grade or grade-separated, explicitly +authorized by a railroad carrier that is dedicated for the use of non-vehicular +Highway-Rail Crossing Inventory Instruction and Procedures Manual +15 +Instructions for Completing the U.S. DOT Crossing Inventory Form +traffic, including pedestrians, bicyclists, and others, which is not associated with a +private roadway. +If Crossing Type is changed from “Private” to “Public” for a highway-rail grade crossing, +the entire Inventory Form (or its electronic equivalent) must be completed. +18. Crossing Purpose +Figure 2-24: U.S. DOT-FRA Crossing Inventory Form Part I, Item 18 +If the crossing is primarily intended for highway users, including crossings equipped with +vehicular and pedestrian warning devices, check the “Highway” box. +If the crossing is a pathway crossing not within a passenger station, check the +“Pathway, Ped.” box. A pathway crossing is: 1) explicitly authorized by a public +authority or a railroad, 2) dedicated for the use of non-vehicular traffic, including +pedestrians, bicyclists, and others, and 3) not associated with a public or private +highway, road, or street. +If the crossing is a pathway crossing located within a passenger station, check the +“Station, Ped.” box. +19. Crossing Position +Figure 2-25: U.S. DOT-FRA Crossing Inventory Form Part I, Item 19 +If the crossing is at the same level as the road or pathway, check the “At Grade” box. If +the railroad passes under the roadway or pathway, check the “RR Under” box. If the +railroad passes over the roadway or pathway, check the “RR Over” box. +20. Public Access at Private Crossing +Figure 2-26: U.S. DOT-FRA Crossing Inventory Form Part I, Item 20 +Public access means that the crossing is a location where the railroad tracks intersect +with a private toll road or privately owned road or pathway where the public is allowed to +travel without access restrictions. Examples of such locations include, but are not +limited to, shopping centers, fairgrounds, parks, schools, residential housing +Highway-Rail Crossing Inventory Instruction and Procedures Manual +16 +Instructions for Completing the U.S. DOT Crossing Inventory Form +developments (of at least five dwellings), libraries, hospitals, clinics, airports, bus +terminals, beaches, piers, boat launching ramps, and recreational areas. +Enter a checkmark in the box to indicate “Yes” if there is public access at the private +crossing or “No” if there is not. There should be no entry made if the crossing is public. +21. Type of Train +Figure 2-27: U.S. DOT-FRA Crossing Inventory Form Part I, Item 21 +Check each box that describes the type of rail service that uses the crossing. Check all +that apply. The types included are: + Freight + Intercity Passenger + Commuter – a local or regional rail system providing passenger service mostly +during the morning and evening peak periods on the general rail system. + Transit – a local rail system providing passenger service within an urban area +that is not connected to the general railroad system of transportation. + Shared Use Transit – a local rail system providing passenger service and +having some connection to the general railroad system of transportation. This +category includes urban rapid transit operations through highway-rail or pathway +crossings located on the same track used by railroads that operate on the +general railroad system of transportation (e.g., temporal separation or +simultaneous joint use). This category also includes urban rapid transit +operations through highway-rail or pathway crossings that are located within a +shared right-of way or corridor, and share the same crossing warning devices, +with a railroad which operates on the general railroad system of transportation. + Tourist/Other – tourist, scenic, historic, or excursion operations that carry +passengers with the conveyance of the passengers to a particular destination not +being the principal purpose +22. Average Passenger Train Count Per Day +Figure 2-28: U.S. DOT-FRA Crossing Inventory Form Part I, Item 22 +Highway-Rail Crossing Inventory Instruction and Procedures Manual +17 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Enter the average number of total passenger trains using this crossing, per day, on a +typical operating day. Intercity passenger, commuter, and urban rapid transit +operations, are all included in determining the average number for this field. The value +may not exceed the sum of the total train count in Part II, Item 1, “Estimated Number of +Daily Train Movements.” If the average passenger train count is less than one per day +(for example, “three per week”) check the “Less than one per day” box. If “Freight” is +the only type of train service that is checked in Part I, Item 21, “Type of Train Service,” +then the average passenger train count per day must be 0. +23. Type of Land Use +Figure 2-29: U.S. DOT-FRA Crossing Inventory Form Part I, Item 23 +Check the box that best describes the predominant type of land development in the +vicinity (a distance of up to 1,000 feet) of the crossing based on the following +categories: + “Open Space” – area that is sparsely or undeveloped, lightly populated. + “Farm” – agricultural area, including wineries and other types of nontraditional +agricultural enterprises. + “Residential” – built-up residential area. + “Commercial” – area with retail stores and businesses, offices, and personal +service buildings. + “Industrial” – area for manufacturing, construction, heavy products, factories, and +warehouses. + “Institutional” – e.g., schools, churches, hospitals, military, educational, religious, +health. + “Recreational” – e.g., Playgrounds, parks, or swim or golf clubs. + “RR Yard” – area used exclusively for railroad activity such as switching railcars. +24. Is there an Adjacent Crossing with a Separate Number? +Figure 2-30: U.S. DOT-FRA Crossing Inventory Form Part I, Item 24 +Enter a check in the “Yes” box to indicate that there is an adjacent crossing with a +separate number. If there is, enter the valid crossing number. If there is not an adjacent +crossing, then enter a check in the “No” box. Adjacent Crossings are grade crossings +with separate Crossing Inventory Numbers, with their own separate warning devices, on +Highway-Rail Crossing Inventory Instruction and Procedures Manual +18 +Instructions for Completing the U.S. DOT Crossing Inventory Form +the same vehicular highway or pathway, where the distance between the inside rail of +each crossing, as measured along the highway, does not exceed 100 feet. +25. Quiet Zone +Figure 2-31: U.S. DOT-FRA Crossing Inventory Form Part I, Item 25 +Leave this field blank because FRA will populate this field with information from Notices +of Quiet Zone Establishment that have been received. This item will indicate whether a +quiet zone is in effect for the crossing. If a quiet zone is in effect, this item will indicate if +it is for 24 hours per day or only a partial day (usually 10 p.m. to 7 a.m.) +If the crossing is not located in a Quiet Zone, the “No” box will be checked. If it is +located in a 24-hour quiet zone, the “24 hr” box will be checked. If it is located in a +partial quiet zone, the “Partial” box will be checked. If it is in a Chicago-excused area +(those crossings in the Chicago area that are currently excused from the Train Horn +Rule), the “Chicago Excused” box will be checked. The effective date that was provided +in the Notice of Establishment will be the “Date Established.” (Note: “Chicago Excused” +crossings will not have an entry in the “Date Established”). +26. HSR Corridor ID +Figure 2-32: U.S. DOT-FRA Crossing Inventory Form Part I, Item 26 +If this is a high-speed rail (HSR) crossing, enter the four-character “HSR Corridor ID” as +defined in Appendix F to this manual. +Note: This field is used to identify the “Section 1010” or “Section 1103” HSR corridor on +which the crossing is located. If the crossing is located on such a corridor, enter the +“HSR Corridor ID,” a four character code (ABC#) as defined in Appendix F to this +manual. The corridor may be divided into logical sections by including a numeric +number (1–9) for the “#” character. If a numeric number is not used, replace “#” with “X.” +FRA will assign an HSR Corridor ID for any corridor, or portion thereof that is not +currently defined in the Appendix. If “HSR Corridor ID” is not applicable, then check the +N/A box. +27. Latitude +Figure 2-33: U.S. DOT-FRA Crossing Inventory Form Part I, Item 27 +Highway-Rail Crossing Inventory Instruction and Procedures Manual +19 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Enter the latitudinal coordinate as measured at the center of the crossing. This field, +along with “Longitude,” is used to identify the crossing location using a standardized +Global Positioning System (GPS) location point. The “Latitude” must be entered in +decimal form as (nn.nnnnnnn), with at least five digits to the right of the decimal point +(which is accurate to 4 feet). We will accept up to seven places to the right of the +decimal point. +Actual latitude measurements can be obtained either with a GPS device at the crossing +location or by using an Internet mapping program, such as Google Maps or Bing Maps. +To find latitude and longitude on Google Maps, zoom in on the location of the crossing, +right click on the crossing, and select “What’s Here?” The coordinates will appear in the +search bar above the map, with the latitude measurement listed first. In Bing Maps, +right click on the crossing and select the gray box that either says “location” or identifies +the closest street address. The coordinates will appear under the address to the left of +the map, with the latitude listed first. +To convert latitude values from degrees, minutes, and seconds to decimal form: +Latitude in decimal format = degrees + (minutes divided by 60) + (seconds divided by +3,600). +Latitude coordinate ranges within the continental United States are from 24 to 49 +degrees. Alaska latitude values range from 50 to 71 degrees. +Note: The FRA Office of Railroad Safety uses the World Geodetic System 1984 +(WGS-84) datum standard. (A datum is the measurement [shape] of the earth's +ellipsoid.) +28. Longitude +Figure 2-34: U.S. DOT-FRA Crossing Inventory Form Part I, Item 28 +Enter the longitudinal coordinate as measured at the center of the crossing. This field, +along with “Latitude,” is used to identify the crossing location using a standardized GPS +location point. The “Longitude” must be entered in decimal form as (-nnn.nnnnnnn), +with at least five digits to the right of the decimal point (which is accurate to 4 feet). +FRA will accept up to seven places to the right of the decimal point. +Actual longitude measurements can be obtained either with a GPS device at the +crossing location, or by using an Internet mapping program, such as Google Maps or +Bing Maps. To find latitude and longitude on Google Maps, zoom in on the location of +the crossing, right click on the crossing and select “What’s Here?” The coordinates will +appear in the search bar above the map, with the longitude measurement listed second. +In Bing Maps, right click on the crossing and select the gray box that either says +Highway-Rail Crossing Inventory Instruction and Procedures Manual +20 +Instructions for Completing the U.S. DOT Crossing Inventory Form +“location” or identifies the closest street address. The coordinates will appear under the +address to the left of the map, with the longitude listed second. +To convert longitude values from degrees, minutes, and seconds to decimal form: +Longitude in decimal format = degrees + (minutes divided by 60) + (seconds divided by +3,600). +Longitude coordinate ranges within the continental United States are from -66 to -124 +degrees. Alaska longitude values range from -165 to -132 degrees. +Note: The FRA Office of Railroad Safety uses the WGS-84 datum standard. +29. Lat/Long Source +Figure 2-35: U.S. DOT-FRA Crossing Inventory Form Part I, Item 29 +Enter a check in the appropriate box to indicate the source, “Actual” or “Estimated,” for +the latitude and longitude coordinate values being provided. +Actual values are those where GPS measurements are taken at the crossing or +determined by a positive identification method. Latitude and longitude values, in +general, should be taken in the field at the intersection of the centerline of the roadway +or pathway with the centerline of the railroad tracks with a horizontal accuracy of +1 meter or better. Mapping software, such as Google or Bing maps, may be used to +obtain “Actual” values. +Otherwise, the values are indicated as “Estimated.” Any values provided after March 7, +2015 must be actual values. +30. Railroad Use +Figure 2-36: U.S. DOT-FRA Crossing Inventory Form Part I, Item 30 +Only the railroad may enter any text or data of its choice in these fields. For example, +the railroad may note whether monitoring is being conducted at a passive crossing. No +editing will be performed on these fields. These fields are optional. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +21 +Instructions for Completing the U.S. DOT Crossing Inventory Form +31. State Use +Figure 2-37: U.S. DOT-FRA Crossing Inventory Form Part I, Item 31 +Only the State may enter any text or data of its choice in these fields. For example, the +State may note whether monitoring is being conducted at a passive crossing. No +editing will be performed on these fields. If a State has a separate PUC number for a +crossing, the State may wish to use one of these fields for this purpose. (For those +States that have used the “RR ID” field for this in the past, FRA will move that data to +Item 31.A. if requested.) These fields are optional. +32.A. Narrative (Railroad Use) +Figure 2-38: U.S. DOT-FRA Crossing Inventory Form Part I, Item 32.A. +Enter any narrative comments desired in this field. Only the railroad may use this field +and no editing will be performed on this field. This field is optional. +32.B. Narrative (State Use) +Figure 2-39: U.S. DOT-FRA Crossing Inventory Form Part I, Item 32.B. +Enter any narrative comments desired in this field. Only the State may use this field +and no editing will be performed on this field. This field is optional. +33. Emergency Notification Telephone No. (posted) +Figure 2-40: U.S. DOT-FRA Crossing Inventory Form Part I, Item 33 +Enter the telephone number (area code and phone number using only numeric values) +for the Emergency Notification System (ENS) contact (e.g., usually railroad police, +dispatch center, or other railroad emergency contact) associated with the crossing. This +will be the ENS telephone number used by the railroad, posted at the crossing, and +publicized for the reporting of emergencies, malfunctions, and problems at crossings, in +accordance with Subpart E to 49 CFR Part 234. Please note that “911” cannot be used +as the “Emergency Notification Telephone No.” +Highway-Rail Crossing Inventory Instruction and Procedures Manual +22 +Instructions for Completing the U.S. DOT Crossing Inventory Form +34. Railroad Contact (Telephone No.) +Figure 2-41: U.S. DOT-FRA Crossing Inventory Form Part I, Item 34 +Enter the telephone number (area code and phone number using only numeric values) +of the primary operating railroad’s point of contact for data associated with the crossing. +35. State Contact (Telephone No.) +Figure 2-42: U.S. DOT-FRA Crossing Inventory Form Part I, Item 35 +Enter the telephone number (area code and phone number using only numeric values) +of the State highway contact associated with the crossing. This would normally be the +State inventory contact or the State DOT engineering contact (such as the Section 130 +State Contact) responsible for crossing improvement projects. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +23 +Instructions for Completing the U.S. DOT Crossing Inventory Form +3. Part II – Railroad Information +Figure 2-43: U.S. DOT-FRA Crossing Inventory Form Part II, Railroad Information + +1. Estimated Number of Daily Train Movements +Figure 2-44: U.S. DOT-FRA Crossing Inventory Form Part II, Items 1.A.-1.E. +Note: In the event that there is a significant change in data, FRA recommends +that these fields be updated at that time rather than waiting for the next required +3-year periodic update. +Important: The primary operating railroad must report the data for Items 1–3 in +Part II for all railroads that are operating through the crossing unless multiple +railroads or urban rapid transit operators operate trains on separate tracks +through the same crossing as indicated in Part I.7. If this is the case, then each +railroad or urban rapid transit operator must report the data for Items 1–3 in Part +II. +1.A. Total Day Thru Trains (6 AM to 6 PM) +Enter the total number of through (thru) trains that operate through the crossing from +6 am–6 pm per day during normal railroad operating periods. Thru trains are trains +whose primary responsibility is to operate over a route with defined beginning and end +points. Local freight thru train movements and passenger and commuter rail train +movements are considered to be thru train movements for purposes of the Crossing +Inventory. +1.B. Total Night Thru Trains (6 PM to 6AM) +Enter the total number of thru trains that operate through the crossing from 6 pm–6 am +per day during normal railroad operating periods. Thru trains are trains whose primary +responsibility is to operate over a route with defined beginning and end points. Local +Highway-Rail Crossing Inventory Instruction and Procedures Manual +24 +Instructions for Completing the U.S. DOT Crossing Inventory Form +freight thru train movements and passenger and commuter rail train movements are +considered to be Thru Train movements for purposes of the Crossing Inventory. +1.C. Total Switching Trains +Enter the total number switching train movements through the crossing per day. +“Switching Trains” are those trains whose movements primarily involve the pickup and +set-out of cars for various industries and/or rail yards. +Each movement in one direction counts as one train movement. All locals, industrial +runs and switch engines would be classified as switching movements. However, do not +include such trains when they travel over the crossing like a thru train to get to their +destination to perform their switching operations. Those trains are to be considered as +thru trains. +1.D. Total Transit Trains +Enter the total number of urban rapid transit train movements (either light rail or heavy +rail) through the crossing per day during normal railroad operating periods. If a railroad +does not operate urban rapid transit train movements through the crossing then that +railroad should enter zero. Note: commuter train operations that are regulated by FRA +are not considered to be urban rapid transit train movements. +1.E. Check if Less Than One Movement Per Day +Check the check box if this crossing averages less than one train movement per day. +Enter a count or estimate of the number of trains using this crossing per week. If the +operation is seasonal in nature (e.g., fall foliage excursion train), enter an estimated +count of the number of trains using this crossing per week during the normal operating +season. Note: If the sum of train counts for 1.A through 1.D is greater than 0, the box +should not be checked. +2. Year of Train Count Data +Figure 2-45: U.S. DOT-FRA Crossing Inventory Form Part II, Item 2 +Note: In the event that there is a significant change in data, FRA recommends +that this field be updated at that time rather than waiting for the next required +3-year periodic update. +Enter the year that the train count data was collected or last verified. If any train count +data changes, the data field must be updated at time of submission. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +25 +Instructions for Completing the U.S. DOT Crossing Inventory Form +3. Speed Of Train At Crossing +Figure 2-46: U.S. DOT-FRA Crossing Inventory Form Part II, Items 3.A. – 3.B. +Note: In the event that there is a significant change in data, FRA recommends +that this item be updated at that time rather than waiting for the next required +3-year periodic update. +3.A. Maximum Timetable Speed (mph) +Enter the highest maximum timetable speed in miles per hour for any type of train +movement over the crossing. If there are both freight and passenger train movements +over the crossing, enter the highest maximum authorized speed (which will generally be +the maximum authorized speed for passenger train movements). Permanent timetable +speed restrictions should be entered, if applicable. This field must be greater than or +equal to the maximum value in Item 3B, Typical Speed Range Over Crossing. +3.B. Typical Speed Range Over Crossing (mph) +Enter the typical minimum speed (“from”) through the crossing in miles per hour (mph). +(This should be the typical minimum speed for normal operations through the crossing, +not the minimum speed possible.) Enter the typical maximum speed (“to”) through the +crossing. Neither value can be greater than the maximum timetable speed in Item 3.A. +4. Type and Count of Tracks +Figure 2-47: U.S. DOT-FRA Crossing Inventory Form Part II, Item 4 + Enter the number of “Main” line tracks. A mainline track is defined as a track +extending through yards or between stations, upon which trains are operated by +timetable or train order or both, or the use of which is governed by a signal +system. + Enter the number of “Siding” tracks. A siding track is defined as a track auxiliary +to the main track used for meeting or passing trains. + Enter the number of “Yard” tracks. A yard is defined as a system of tracks within +defined limits used for the making up or breaking up of trains, for the storage of +cars, and for other purposes over which movements not authorized by timetable +or by train order may be made, subject to prescribed signals, rules or other +special instructions. Spur track and lead track are included in this definition for +purposes of this Inventory Form. Sidings and industry track are not included, nor +is mainline track within yard limits. + Enter the number of “Transit” tracks. A urban rapid transit track is defined as a +track, on which a light-rail train, trolley, or streetcar moves passengers from +Highway-Rail Crossing Inventory Instruction and Procedures Manual +26 +Instructions for Completing the U.S. DOT Crossing Inventory Form +station to station typically within an urban area (and its suburbs), that is not +connected with the general railroad system of transportation. +Enter the number of “Industry” tracks. An industry track is defined as a switching +track, or series of tracks, serving the needs of a commercial industry other than a +railroad. Note: Enter “0” for each track type specified that is not present at the +crossing. +5. Train Detection (Main Track Only) +Figure 2-48: U.S. DOT-FRA Crossing Inventory Form Part II, Item 5 +Enter a check to indicate the type of train detection equipment used to activate the +warning system at the crossing for movements on the main track(s). More than one +checkbox can be selected. If the crossing warning devices are not activated upon the +arrival of a train, “None” should be checked. +The types of train detection equipment are: + Constant Warning Time + Motion Detection + DC – Direct Current + AFO – Audio Frequency Overlay + PTC – Positive Train Control (please refer to 49 CFR § 236.1005 for a +description of Positive Train Control systems) + Other – for example when signals are activated manually by a watchman, or by +means of other technologies + None +6. Is Track Signaled? +Figure 2-49: U.S. DOT-FRA Crossing Inventory Form Part II, Item 6 +Enter a check in the appropriate box to indicate whether or not the track is equipped +with a block signal, cab signal, or train control system to govern train operations. +7. Monitoring Devices +Figure 2-50: U.S. DOT-FRA Crossing Inventory Form Part II, Items 7.A – 7.B +Enter a check in the appropriate box to indicate whether an event recorder and/or a +remote health monitoring system is installed at the crossing. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +27 +Instructions for Completing the U.S. DOT Crossing Inventory Form +These fields are required when the warning devices at the crossing include any of the +following: four-quadrant gates, three-quadrant gates, or two-quadrant gates; or +flashing lights. +Event Recorder means a device designed to resist tampering that monitors and +records data on information at the grade crossing location such as (but not limited to) +train speed, direction of motion, time, and distance over the most recent timeframe (e.g. +last 24 or 48 hours) of the grade crossing warning system operation. +Remote Health Monitoring means an electronic system designed to remotely notify +the railroad (typically the railroad signal maintainer or a trouble desk) that components +of the automatic warning system are not functioning as intended. + +Highway-Rail Crossing Inventory Instruction and Procedures Manual +28 +Instructions for Completing the U.S. DOT Crossing Inventory Form +4. Part III – Highway or Pathway Traffic Control Device Information +Figure 2-51: U.S. DOT-FRA Crossing Inventory Form Part III, Highway or Pathway Traffic Control Sign and +Device Information +1. Are there Signs or Signals? +Figure 2-52: U.S. DOT-FRA Crossing Inventory Form Part III, Item 1 +Enter a check in the appropriate box to indicate whether signs or signals are installed at +the crossing. +2. Type of Passive Traffic Control Devices Associated With the Crossing +Figure 2-53: U.S. DOT-FRA Crossing Inventory Form Part III, Items 2.A. – 2.D. +2.A. Crossbuck Assemblies +Enter a count of the number of masts or posts with mounted crossbucks, not a count of +the number of crossbuck signs. Two or more crossbucks mounted on a single post are +Highway-Rail Crossing Inventory Instruction and Procedures Manual +29 +Instructions for Completing the U.S. DOT Crossing Inventory Form +counted as one unit. Include all masts with crossbucks without distinction as to the +reflectivity type. +If the crossing has a train-activated warning device (flashing lights [cantilevered or mast +mounted] and/or gates), do not count the individual number of crossbucks mounted on +these devices. +As a matter of information, FHWA (via the MUTCD) requires that crossbuck assemblies +be installed by December 31, 2019, or when adjustments are made to the individual +highway-rail grade crossing and/or corridor, whichever comes first. + Note: A crossbuck assembly consists +of a crossbuck sign and a “YIELD” +sign, unless study indicates a “STOP” +sign is necessary. +Figure 2-54: Example of a Crossbuck Assembly +2.B. STOP Signs (R1-1) +Enter the count of posts or masts with stop signs, regardless of any other type of +warning devices. If there are two posts securing one sign, count them as one post. +Note: Do not include “STOP” signs from adjacent streets or roadways. +2.C. YIELD Signs (R1-2) +Enter the count of posts or masts with yield signs (MUTCD R1-2) at this crossing +regardless of any other type of warning devices. If there are two posts securing one +sign, count them as one post. +Note: Do not include “YIELD” signs from adjacent streets or roadways. +2.D. Advance Warning Signs (Check all that apply; include count) +Enter a check in the box for each type of advance warning sign at the crossing and +enter a count for each type of sign. For each sign that is checked, it must correspond +with a count value of “1” or greater. If there are no advance warning signs, check +“None.” +Highway-Rail Crossing Inventory Instruction and Procedures Manual +30 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Figure 2-55: Sample Advance Warning Sign +2.E. Low Ground Clearance Sign (W10-5) +Figure 2-56: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.E. +Check the “Yes” box to indicate that low ground clearance signs are present at the +crossing. Then, enter the number of signs present. The standard warning sign for low +ground clearance crossings is identified in the MUTCD as W10-5. Check “No” box if +there are none. +Figure 2-57: Sample Low Ground Clearance Warning Sign +2.F. Pavement Markings +Highway-Rail Crossing Inventory Instruction and Procedures Manual +31 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Figure 2-58: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.F. +Enter a check in the appropriate box for each type of pavement marking present that +conforms to the MUTCD. If there are no stop lines, railroad crossing symbols, or +dynamic envelope marking present, check “None.” +2.G. Channelization Devices/Medians +Figure 2-59: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.G. +Check the appropriate box(s) to reflect the location of a channelization or median +structure present at the crossing, or check “None” if there are no such devices. If +channelization devices are present at the crossing select either “All Approaches” or +“One Approach” and leave “Median” blank. If a median is present at the crossing, also +select either “All approaches” or “One approach” and select the “Median” box. +“Channelization Devices” mean a traffic separation system made up of a raised +longitudinal channelizer, with vertical panels or tubular delineators, that is placed +between opposing highway lanes designed to alert or guide traffic around an obstacle or +to direct traffic in a particular direction. +“Median” means a non-traversable portion of a divided highway separating the travel +ways for traffic in opposite directions. +2.H. EXEMPT Sign (R15-3) +Figure 2-60: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.H. +Check the “Yes” box if there is at least one EXEMPT sign displayed at the crossing and +“No” if none are displayed. An exempt crossing is one where drivers of highway +vehicles carrying passengers for hire, school buses carrying students, or highway +vehicles carrying hazardous materials are not required to stop, except when rail traffic is +approaching or occupying the grade crossing or the driver's view is blocked. +2.I. ENS Sign Displayed (I-13) +Figure 2-61: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.I. +Check the “Yes” box if there is at least one ENS sign displayed at the crossing, and +“No” if none are displayed. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +32 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Signs or numbers on nearby signal bungalows are not considered to be ENS signs +since the general public may not clearly understand their meaning and are not in +compliance with FRA regulations (49 CFR Part 234, Subpart E). +2.J. Other MUTCD Signs +Figure 2-62: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.J. +Check the “Yes” box if there is at least one other MUTCD sign displayed at the crossing +and “No” if none are displayed. +Enter the MUTCD type and the count of signs for each MUTCD type installed at the +crossing. +Examples: + Specify Type R15-8 Count 2 + Specify Type W10-9 Count 2 +2.K. Private Crossing Signs (if Private) +Figure 2-63: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.K. +If the crossing is a private crossing, enter a check in the Yes box if there is a private +crossing sign installed. Check the “No” box if there are none. Note: This box should be +left blank for public crossings. +2.L. LED Enhanced Signs (List types) +Figure 2-64: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.L. +List the types of light-emitting diode (LED) enhanced signs in use, referencing to the +MUTCD coded signs. For example: Crossbuck R15-1. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +33 +Instructions for Completing the U.S. DOT Crossing Inventory Form +3. Type of Train Activated Warning Devices at the Grade Crossing (specify count +of each device for all that apply) +Figure 2-65: U.S. DOT-FRA Crossing Inventory Form Part III, Items 3.A. – 3.E. +3.A. Gate Arms (count) +Enter the number of Roadway and Pedestrian gates at the crossing. The total count for +each type of gate is required. If gates are not present, enter “0”. + +Note: Pedestrian gate arms are only those that are part of the crossing signaling +system that are activated upon train detection. +Do not count: + Pedestrian swing gates + Post-mounted flashing light assemblies (3.D.) + Crossbuck assemblies (2.A.) +3.B. Gate Configuration +Check the boxes for each type of gate configuration found at the crossing. A gate (for +purposes of the Crossing Inventory) is an automatically operated traffic control device +which, when activated into a horizontal position, is intended to physically impede users +such that they are discouraged from entering a particular grade crossing. Check only +one box on the left side of 3.B. (2 Quad, 3 Quad, or 4 Quad). On the right side, check +any applicable box. The choices are: + “2 Quad” (two-quadrant gates) – a gate configuration featuring gates only on +entrance lanes leading onto the crossing. If a crossing does not have any gates +on any exit lanes leading off the crossing, then it is to be considered a “Two +quadrant gate” crossing. Note: A gated crossing on a one-way street is to be +considered a “2 Quad” gate configuration. + “3 Quad” (three-quadrant gates) – a specific gate configuration featuring gates on +all entrance lanes leading on to the crossing, but with only one exit leading off the +crossing that is equipped with a gate. + “4 Quad” (four-quadrant gates) – a specific gate configuration that features gates +on all entrance and all exit lanes at the crossing. When four quadrant gates are +activated and fully lowered, all entrance lanes and all exit lanes are blocked by +gates. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +34 +Instructions for Completing the U.S. DOT Crossing Inventory Form + “Full (Barrier) Resistance” gates – a gate-like device that is specifically designed +to physically prevent a highway vehicle from entering the crossing area when the +resistance gate system is fully deployed. + “Median” gates (sometimes referred to as dual entrance gates) – a supplemental +gate installation located on a roadway’s median (to the left of the travel lanes) +that works in combination with a gate installed on the outside edge of the +roadway (to the right of the travel lanes) to jointly provide blockage of multiple +lanes on a single roadway approach to the crossing, with both gate arm tips +meeting (2-foot maximum gap) in the middle. +Note: This field is required if the number of gate arms in 3.A. is greater than 0. +3.C. Cantilevered (or Bridged) Flashing Light Structures (count) +Enter the count of cantilevered (or bridged) flashing light structures that are: (1) “Over +The Traffic Lanes,” and (2) “Not Over the Traffic Lanes.” Count the number of +structures, not the number of flashing light pairs. If cantilevered flashing light structures +are not present, enter “0”. +Check the appropriate box to indicate whether the flashing lights are Incandescent or +LED. +3.D. Mast-Mounted Flashing Lights (count of masts) +Enter the count of masts that have flashing lights. Count the number of masts, not the +number of flashing light pairs. The number of cantilevered structures are not included in +the count. If mast-mounted flashing lights are not present, enter “0”. +Check the appropriate boxes to indicate whether the flashing lights are Incandescent or +LED, and whether back lights and side lights are included. +When indicating the presence of mast-mounted flashing lights, do not enter the number +of crossbuck assemblies (2.A.) at the crossing. +Back Lights +Side Lights +Highway-Rail Crossing Inventory Instruction and Procedures Manual +35 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Figure 2-66: Examples of Back Lights and Side Lights +3.E. Total Count of Flashing Light Pairs +Enter the total number of flashing light pairs installed at the crossing, including back +lights, side lights, and where cantilever structures are present +Figure 2-67: Examples of 3 and 4 of flashing light pairs +3.F. Installation Date of Current Active Warning Devices +Figure 2-68: U.S. DOT-FRA Crossing Inventory Form Part III, Item 3.F. +This data field must be updated if train-activated warning devices are installed or +upgraded at a public highway-rail grade crossing after March 7, 2015. Using the list +below, enter the installation date for the first device encountered (moving from top to +bottom). +1. Four quad (or full barrier) gates +2. Three quad gates +3. Gates (normally two quadrant) +4. Flashing lights (standard and cantilever type units) +5. Highway traffic signals, wigwags, bells, or other activated devices +6. Special active warning devices (usually flagman) +Check the “Not Required” checkbox if the active warning devices were installed before +March 7, 2015 and the installation date is not provided. Completion of this data field is +not required for active warning devices installed prior March 7, 2015; however, if date is +known, it is recommended to enter it. + + Example of 3 pairs Example of 4 pairs +Highway-Rail Crossing Inventory Instruction and Procedures Manual +36 +Instructions for Completing the U.S. DOT Crossing Inventory Form +3.G. Wayside Horn +Figure 2-69: U.S. DOT-FRA Crossing Inventory Form Part III, Item 3.G. +Check the “Yes” box if the crossing is equipped with a wayside horn and enter the +month and year that the horn or system was installed. Check “No” if the crossing is not +equipped with a wayside horn. +3.H. Highway Traffic Signals Controlling Crossing +Figure 2-70: U.S. DOT-FRA Crossing Inventory Form Part III, Item 3.H. +Enter a check in the “Yes” box to indicate that there are highway traffic signals that +control highway traffic over the crossing, exclusive of other types of warning devices. +For purposes of Item 3.H., “highway traffic signals” refers only to train-activated redamber-green signals that control street traffic over the crossing. Do not count highway +signals controlling a nearby intersection even if they are interconnected with the +crossing warning devices. +Enter a check in the “No” box if there are none. +3.I. Bells +Figure 2-71: U.S. DOT-FRA Crossing Inventory Form Part III, Item 3.I. +Enter the count of bells (either mechanical or electrical) present at the crossing as part +of the warning system. If there are none, enter “0.” +3.J. Non-Train Active Warning +Figure 2-72: U.S. DOT-FRA Crossing Inventory Form Part III, Items 3.J – 3.K +Check the appropriate box if there is “Flagging” or a “Flagman” (a member of the train +crew or other person who actively controls the flow of vehicular traffic using handsignaling devices or an Automated Flagger Assistance Device); “Manually Operated +Signals” (e.g., dual toned multi-frequency (DTMF)-controlled, push-button activated); +“Watchman” (a person assigned to provide warning that is not a member of the train +crew); or “Floodlighting” at the crossing. Only floodlighting—which is distinctive from +ordinary street lighting in intensity, light distribution, focus, or color—is to be reported. +Check “None” if applicable. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +37 +Instructions for Completing the U.S. DOT Crossing Inventory Form +3.K. Other Flashing Lights or Warning Devices +Enter the count and type of any other special warning devices at the crossing. For +example, this would include wigwags if present. If none are present, enter a count of +“0”. +Figure 2-73: U.S. DOT-FRA Crossing Inventory Form Part III, Items 4.A. – 4.C. +4.A. Does nearby Hwy Intersection have Traffic Signals? +Check either the “Yes” or “No” box to indicate whether or not a highway-highway +intersection within 500 feet has highway traffic signals. +Note: The distance (500 feet or less) is measured from the nearest rail, not from the +centerline of track. +4.B. Hwy Traffic Signal Interconnection +Check all that apply. If “Not Interconnected” is checked, do not check the other two +choices. + “Not Interconnected” – crossings equipped with active warning systems that do +not have an electrical connection between the railroad active warning system and +the traffic signal controller assembly for the purpose of preemption. + “For Traffic Signals” – crossings having an electrical connection between the +railroad active warning system and the traffic signal controller assembly for the +purpose of preemption. + “For Warning Signs” – signs that are electrically connected to a railroad crossing +control circuit that is designed to illuminate the signs upon the approach or +presence of a train. +Figure 2-54: Sample Advance Warning Sign +Figure 2-54: Sample Advance Warning Sign +Figure 2-66: U.S. DOT-FRA Crossing Inventory Form Part III, Items 4.A. – 4.C. +Figure 2-74: Examples of “For Warning Signs” + +Highway-Rail Crossing Inventory Instruction and Procedures Manual +38 +Instructions for Completing the U.S. DOT Crossing Inventory Form +4.C. Hwy Traffic Signal Preemption +Check the appropriate box for the type of preemption. This field is not applicable if “Not +Interconnected” is chosen in field 4.B. and should be left blank. +Preemption is defined in the MUTCD as the transfer of the normal operation of highway +traffic signals to a special control mode. +In this instance preemption occurs as a result of a signal received from the railroad +active warning device system +Simultaneous preemption is defined in the MUTCD as notification of approaching rail +traffic that is forwarded to the highway traffic signal controller unit or assembly and +railroad active warning devices at the same time. +Simultaneous preemption results in the initiation of the highway traffic signal cycle at the +same time the highway-rail grade crossing warning system is activated. +Advance preemption is defined in the MUTCD as notification of approaching rail traffic +that is forwarded to the highway traffic signal controller unit or assembly by the railroad +equipment in advance of the activation of the railroad warning devices. +Advance preemption results in the initiation of the highway traffic signal cycle before the +highway-rail grade crossing active warning system is activated. +5. Highway Traffic Pre-Signals +Figure 2-75: U.S. DOT-FRA Crossing Inventory Form Part III, Item 5 +Check the “Yes” box to indicate if highway traffic pre-signals are installed. Check the +“No” box if there are none. The “Storage Distance” and “Stop Line Distance” fields are +optional. Use feet as the measuring unit. +Pre-signals are used to control traffic approaching a grade crossing in conjunction with +the highway traffic control signal faces that control traffic approaching a highwayhighway intersection beyond the tracks. Pre-signals may be located on either the near +or far side of the railroad tracks, and may be mounted on the same cantilever structures +as the railroad’s flashing light warning devices. + “Storage Distance” (for pre-signals only) is the distance available for vehicle +storage as measured 6 feet from the rail nearest the intersection to the +intersection stop line or the normal stopping point on the roadway. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +39 +Instructions for Completing the U.S. DOT Crossing Inventory Form + “Stop Line Distance” (for pre-signals only) is the distance between the stop line +and the crossing gates. This field should be left blank if the crossing is not +equipped with gates. +6. Highway Monitoring Devices +Figure 2-76: U.S. DOT-FRA Crossing Inventory Form Part III, Item 6 +Check all boxes that apply. Note: The temporary installation of highway +monitoring devices (e.g., for research purposes) should not be reported to the +Crossing Inventory. + “Check the “Yes” box if “Photo/Video Recording” is present at the crossing. +Photo/Video Recording is the use of high-resolution cameras to photograph or +record motorists driving under or around railroad crossing gates. The camera +equipment is typically mounted in a 12-foot-high bullet-resistant cabinet. There +may be signs, installed on all street approaches to the crossing, that inform +motorists that photo citations are being issued to violators at the crossing. Note +– The temporary installation of photo/video recording devices (e.g., for research +purposes) are not to be reported. + Check the “Yes” box if “Vehicle Presence Detection” is present at the crossing. +Vehicle Presence Detection is system capable of detecting and reporting in real +time the presence of a vehicle on the crossing. An example includes a series of +looped wire, coils, or magnetometers that are placed below ground level within +the field side and gauge side of the railroad tracks, at a distance between the +approach gate and the exit gate. The loop detectors or magnetometers use a +magnetic effect caused by the presence of a roadway vehicle, which then sends +a signal to the exit gate to remain in the up position, or can send a signal to the +train operator that a vehicle is still occupying the restricted area of the grade +crossing. + Check the “None” box if neither Photo/Video Recording nor Vehicle Presence +Detection are at the crossing or if the crossing is passive. + Note: This field applies for crossings with train-activated warning devices. If +monitoring is conducted at passive crossings, it should be noted in Part I, Box 30 +or 31, as appropriate. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +40 +Instructions for Completing the U.S. DOT Crossing Inventory Form +5. Part IV – Physical Characteristics +Figure 2-77: U.S. DOT-FRA Crossing Inventory Form Part IV, Physical Characteristics +1. Traffic Lanes Crossing Railroad +Figure 2-78: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 1 +Enter the number of through traffic lanes crossing the track. Do not include shoulders +or lanes that are used for parking. Check the box that describes the type of roadway. If +channelization devices are present at the crossing, then it can only be classified as +“Two-way Traffic.” + “One-way Traffic” – Where highway motor vehicles travel in the same direction +over the same roadway. + “Two-way Traffic” – Where highway motor vehicles travel in two opposite +directions over the same roadway. + “Divided Traffic” – Where roadway traffic moving in opposite directions is +separated by a median sufficient to prevent movement across it into opposing +traffic. +Note: Divided traffic refers to the characteristics of the entire roadway, not simply at the +crossing. +2. Is Roadway/Pathway Paved? +Figure 2-79: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 2 +Check “Yes” if the highway or pathway is paved with material on which pavement +markings can be effectively maintained. Check “No” if the highway or pathway surface +is gravel, dirt, or has a surface treatment on which pavement markings cannot be +maintained. If the entire road or pathway is not paved, the roadway or pathway +Highway-Rail Crossing Inventory Instruction and Procedures Manual +41 +Instructions for Completing the U.S. DOT Crossing Inventory Form +pavement through the crossing must extend far enough beyond the railroad tracks to be +able to accept railroad pavement markings, nominally about 100 feet, to be considered +“Yes” for this Item. If pavement markings are indicated in Part III.2.F., then this item +must be checked “Yes.” +3. Does the Track Run Down a Street? +Figure 2-80: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 3 +Figure 2-81: Example of a track that runs down a street. +Check “Yes” if the crossing involves a railroad track that is embedded within the +pavement of a roadway that crosses another roadway at grade, such that trains +operating on those tracks will cross the intersecting roadway. In addition, the “Yes” box +may be checked if the tracks run alongside the roadway in the same direction as +roadway vehicles, and if the tracks are located within or adjacent to the roadway rightof-way. In both cases, the crossing to be inventoried will be the crossing of the tracks +with the intersecting roadway, not the roadway within or adjacent to the street where the +tracks are running. +Check “No” if the tracks and crossties are in a semi-exclusive right-of-way with exposed +ballast, and are separated from the roadway pavement by a curb or other such border +or divider. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +42 +Instructions for Completing the U.S. DOT Crossing Inventory Form +4. Is Crossing Illuminated? (street lights within approx. 50 feet from nearest +rail) +Figure 2-82: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 4 +Enter a check in the “Yes” box if the crossing is illuminated. Enter a check in the “No” +box if the crossing is not illuminated. An illuminated crossing is defined as having +overhead street lighting that provides reasonable illumination of trains present at the +crossing and is located within approximately 50 feet of the crossing. Since streetlamp +light intensity can vary, sufficient lighting may be provided by streetlights located up to +100 feet from the crossing, in which case, the “Yes” box may be checked. +5. Crossing Surface (on Main Track, multiple types allowed) +Figure 2-83: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 5 +Enter a check in the box which most closely fits the following descriptions. If there are +multiple main line tracks that have different types of surfaces, indicate all types on the +Inventory Form. +1. “Timber” – Includes sectional treated timber and full wood plank. + Sectional treated timber consists of prefabricated units approximately 8 feet in +length of treated timber individually installed and removable for maintenance +and replacement purposes. + Full wood plank consists of a timber surface that covers the entire crossing +area above the crossties, made of ties, boards, bridge ties, etc. +2. “Asphalt” – Asphalt surface over the entire crossing area. +3. “Asphalt and Timber” – Asphalt surface in the area between flange timber planks +or other material forming flangeway openings that may include the use of rubber. +4. “Concrete” – Includes concrete slab and concrete pavement. + Concrete slab consists of pre-cast concrete sections that are usually +individually installed and removable for maintenance and replacement +purposes. + Concrete pavement is a concrete surface that is continuous over the track +area and is not removable except by destruction of the surface. +5. “Concrete and Rubber” – An installed crossing surface that consists of both +concrete and rubber materials. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +43 +Instructions for Completing the U.S. DOT Crossing Inventory Form +6. “Rubber” – Preformed rubber sections that are usually individually installed and +removable for maintenance and replacement purposes. +7. “Metal” – Sections of steel or other metal that are usually individually installed +and removable for maintenance purposes and provide complete coverage of the +crossing area within the track. +8. “Unconsolidated” – Ballast or other unconsolidated material placed over +crossties, with or without planks, on one or both sides of the running rails. +9. “Composite” – An engineered material formed from two or more distinct materials +generally incorporating a polymer binder with reinforcing fibers and/or fillers to +contribute enhanced properties and/or other property modifiers in a polymer +matrix, typically post-consumer recycled high-density polyethylene, or HDPE, +that are usually individually installed and removable for maintenance and +replacement purposes . +10. “Other (Specify)” – Surfaces other than the previously described surfaces, +including structural foam, plastic, “high-tech,” etc. +Note: This data field has been assigned to the State for updating. However, if +the railroad installs a new crossing surface, the railroad must report that change. +Enter the month and year that the crossing surface was originally installed and opened +to vehicular traffic in “MM/YYYY” format. Also, enter the width of the crossing, and the +length of the crossing. For new and updated crossing surfaces, the date and +measurements are required. These are optional fields for existing crossings that are +already reported, but encouraged to be submitted by State entities. + “Width” – The width of the crossing surface is measured in feet perpendicular to +the railroad tracks and is the distance between the outermost edges of the +crossing surface (including multiple tracks if present). In the event that the +crossing surface is indistinguishable from the roadway approach, the width is the +distance between the outermost rails of the crossing plus 4 feet. + “Length” – The length of the crossing surface is measured in feet parallel to the +tracks, along the improved surface of the crossing, which may extend beyond the +edges of highway pavement and any sidewalks that may be present. In general, +the crossing surface material will extend approximately 3 feet on each side +beyond the roadway/pathway. +Refer to the width and length diagram below: +Highway-Rail Crossing Inventory Instruction and Procedures Manual +44 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Figure 2-84: Width and length measurement diagram +6. Intersecting Roadway Within 500 Feet? +Figure 2-85: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 6 +Enter a check in the “Yes” box if the street or highway for this crossing is intersected by +another street or highway within 500 feet, and indicate the estimated distance from the +crossing. Check “No” when no intersection exists within 500 feet. If the street or +highway is intersected by another street or highway on both sides of the crossing, +indicated the estimated distance from the closest intersection. +7. Smallest Crossing Angle +Figure 2-86: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 7 +Enter a check in the box that most closely describes the smallest angle between the +roadway and the track. +8. Is Commercial Power Available? +Highway-Rail Crossing Inventory Instruction and Procedures Manual +45 +Instructions for Completing the U.S. DOT Crossing Inventory Form +Figure 2-87: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 8 +Enter a check to indicate whether there is commercial electric power available within +500 feet of the crossing. This field is optional. + +Highway-Rail Crossing Inventory Instruction and Procedures Manual +46 +Instructions for Completing the U.S. DOT Crossing Inventory Form +6. Part V – Public Highway Information +Figure 2-88: U.S. DOT-FRA Crossing Inventory Form Part V, Public Highway Information, and Submission +Information +1. Highway System +Figure 2-89: U.S. DOT-FRA Crossing Inventory Form Part V, Item 1 +Check the box for the correct highway system code. See Table 2-1 below for the +correct code. +Table 2-1: Highway System Codes +Code Definition Included +01 Interstate Highway System +Interstate, rural, and urban; (note +that the Interstate is part of the +National Highway System) +02 Other National Highway System +(NHS) +Other urban and rural principal +arterial, Non-Interstate +03 Federal Aid Highway, Not NHS +Rural major collector and higher +category, or urban collector and +higher category, not part of NHS +08 Non-Federal Aid +Local rural roads, rural minor +collectors, and local urban city +streets or any other non-FederalAid roadway +Highway-Rail Crossing Inventory Instruction and Procedures Manual +47 +Instructions for Completing the U.S. DOT Crossing Inventory Form +2. Functional Classification of Road at Crossing +Figure 2-90: U.S. DOT-FRA Crossing Inventory Form Part V, Item 2 +Check the box for the appropriate highway functional classification code for “Rural” or +“Urban” and then check the box for the roadway type in accordance with Federal-aid +highway program definitions. The “Urban” designation is based on the U.S. Census +Bureau urban boundaries and a population of more than or equal to 5,000 people. +Functional classification is the grouping of highways, roads, and streets by the character +of service they provide and can be applied in planning highway system development. It +defines the part that any particular route should play in serving the flow of traffic through +a highway network. The details and definitions for classifying systems can be found on +FHWA's Web site at www.fhwa.dot.gov under “Guidelines for Functional Highway +Classification System.” +3. Is Crossing on State Highway System? +Figure 2-91: U.S. DOT-FRA Crossing Inventory Form Part V, Item 3 +Check the appropriate box. +4. Highway Speed Limit +Figure 2-92: U.S. DOT-FRA Crossing Inventory Form Part V, Item 4 +Enter the highway speed limit at the crossing in miles per hour (the speed limit value +must be greater than zero). Check the appropriate box to indicate whether the speed +limit is posted or statutory. +5. Linear Referencing System (LRS Route ID) + +Figure 2-93: U.S. DOT-FRA Crossing Inventory Form Part V, Item 5 +This is an optional field. Enter the “Linear Referencing System (LRS Route ID)” code. +The LRS is a set of procedures for determining and retaining a record of specific points +along a highway. Typical methods used are milepoint, milepost, reference point, and +link-node. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +48 +Instructions for Completing the U.S. DOT Crossing Inventory Form +It is recommended that this field use the Highway Performance Monitoring System +(HPMS) data reported to FHWA. If a State uses more than one LRS for their own +purposes, it is recommended that the information entered match the HPMS data. The +details for the HPMS can be found on FHWA’s Web site at: http://www.fhwa.dot.gov +under Highway Performance Monitoring System. +6. LRS Milepost +Figure 2-94: U.S. DOT-FRA Crossing Inventory Form Part V, Item 6 +This is an optional item. Enter the LRS milepost designation. Most at-grade highwayrail grade crossings are on highways without posted mileposts. Leave blank if none are +posted. +7. Annual Average Daily Traffic (AADT) +Figure 2-95: U.S. DOT-FRA Crossing Inventory Form Part V, Item 7 +Enter the calendar year when the AADT was determined and the estimated AADT count +through the crossing (total both directions) based on available traffic information. When +a crossing runs diagonally through a highway-highway intersection, the total AADT +should include both streets in both directions. +“Annual Average Daily Traffic (AADT)” – a figure that represents the amount of vehicles +traveling past a known location on a roadway for a year, divided by 365 days. In the +event that 365 consecutive days of traffic counts are not available, there are traffic +engineering calculations that can be used to develop a representative figure for AADT +based upon traffic counts of shorter duration. +8. Estimated Percent Trucks +Figure 2-96: U.S. DOT-FRA Crossing Inventory Form Part V, Item 8 +Enter the estimated percentage (0–99%) of trucks in the traffic stream. For the +purposes of this manual, trucks are considered as those vehicles having a +manufacturer’s gross vehicle weight (GVW) rating of 9,000 lbs. or more and having dual +tires on at least one rear axle. Also, buses, single-unit trucks, combination trucks, and +campers/recreational vehicles are classified as trucks. Do not include school buses. +Highway-Rail Crossing Inventory Instruction and Procedures Manual +49 +Instructions for Completing the U.S. DOT Crossing Inventory Form +9. Regularly Used by School Buses? +Figure 2-97: U.S. DOT-FRA Crossing Inventory Form Part V, Item 9 +Check the “Yes” box if the crossing is regularly used by school buses. Check the “No” +box if the crossing is not regularly used by school buses. “Regularly” means that there +is at least one movement over the crossing, in either direction, by a school bus on a +normal school day. +If the “Yes” box is checked, enter the average total number of times that a school bus +crosses over the crossing, empty or full, on a normal school day. Back and forth +movements count as two passes through the crossing. +10. Emergency Services Route +Figure 2-98: U.S. DOT-FRA Crossing Inventory Form Part V, Item 10 +Check the “Yes” box if the crossing is routinely used by highway vehicles to obtain +access to facilities that provide emergency services, such as hospitals and police and +fire stations. Otherwise check the “No” box. +Submission Information – This information is used for administrative purposes +and is not available on the public website. +Figure 2-99: U.S. DOT-FRA Crossing Inventory Form Submission Information +Enter the name of the submitter, the organization represented by the submitter, the +telephone number of the submitter, and the date that the Form is being submitted. If the +crossing has multiple forms, the information provided in this section should relate to the +submitting railroad. This information, “Name,” “Organization,” “Phone,” and “Date” must +be provided on the hardcopy Inventory Form only (not electronically). Information +collected electronically will be captured through the user’s account information and the +time-stamped submittal action. +Appendix A-1 +APPENDIX A – U.S. DOT Crossing Inventory Form +Obtaining an Inventory Number +Highway-rail and pathway crossings in the United States (both at-grade and gradeseparated) must have an assigned U.S. DOT National Highway-Rail Crossing Inventory +Number (Inventory Number). +Valid Inventory Numbers can be obtained by submitting an email request to: +RequestDOTGXNumber@dot.gov. +When submitting an email request for Inventory Numbers, please provide the total +number of Inventory Numbers needed and the name, title, company, mailing address, +phone number, and fax number of the requestor. +Submission of the Inventory Form +The “U.S. DOT Crossing Inventory Form” (Form), is a two-page, single-sheet, five-part +form that provides for easy photocopying and distribution to appropriate parties. The +five parts of the form include the following categories: +Part I. Location and Classification Information +Part II. Railroad Information +Part III. Highway or Pathway Traffic Control Device Information +Part IV. Physical Characteristics +Part V. Public Highway Information +As reflected below, the type of crossing will dictate which parts of the Inventory Form +must be completed by railroads for the initial reporting of new and previously unreported +highway-rail grade and pathway crossings: + Public Highway-Rail Grade Crossing: Complete entire Inventory Form (with the +exception of I.20 and III.2.K); + Private Highway-Rail Grade Crossing: Complete Header, plus Parts I, II, and +III.2.K of the Inventory Form and the Submission Information section; + Public Pathway Grade Crossing: Complete Header, plus Parts I and II of the +Inventory Form (with the exception of I.20) and the Submission Information +section; + Private Pathway Grade Crossing: Complete Header, plus Parts I, II, and III.2.K +of the Inventory Form and the Submission Information section; +Appendix A-2 + Pedestrian Station Grade Crossing (Station, Ped.): Complete Header, plus Parts +I and II of the Inventory Form (with the exception of I.20) and Submission +Information section; + Grade-Separated Crossing (highway-rail, pathway, and pedestrian station): +Complete Header, plus Part I of the Inventory Form (with the exception of I.20) +and the Submission Information section. +For periodic updates to the Crossing Inventory, refer to the Responsibility Table in +Appendix B for detailed instructions regarding which data fields must be updated at +least every 3 years by the primary operating railroad. +For a change from a private highway-rail grade crossing to a public highway-rail grade +crossing, railroads must complete the entire Inventory Form (with the exception of I.20 +and III.2.K) with updated information. +For a change from a private pathway grade crossing to a public pathway grade +crossing, railroads must update the Header, Parts I, II, and III.2.K of the Inventory Form +and the Submission Information section. +For changes in the crossing surface or a change in the crossing warning devices at a +public highway-rail grade crossing, the primary operating railroad must complete all of +the data fields in the Header of the Inventory Form, check the “Change in Data” box in +“Reason for Update” field and update all data fields in Parts II and III on the Inventory +Form. If a hardcopy Inventory Form update will be submitted to the Crossing Inventory, +complete the Submission Information section of the Inventory Form as well. +Hardcopy Submission +Complete the Submission Information data field at the bottom of page 2 of the Inventory +Form for all hardcopy submissions. +Please refer to FRA’s Web site (www.fra.dot.gov) to obtain the mailing address for hardcopy Inventory Form submissions. To find the appropriate mailing address enter +“crossing inventory” in the search box of the FRA homepage. +Electronic Submission +Completed Inventory Forms may also be submitted electronically to the +U.S. DOT National Highway-Rail Crossing Inventory. Detailed instructions for the +electronic submission of Inventory Forms can be found in the Electronic Submission +Instructions, which is a separate document. +Appendix A-3 +Appendix A-4 +Appendix B-1 +APPENDIX B – Responsibility Table for Periodic Updates to the +Crossing Inventory +This responsibility table only applies to periodic updates to the Crossing +Inventory. This table is intended to clarify which fields have been assigned to +primary operating railroads (i.e., railroad or urban rapid transit operator) for +updating and which fields have been assigned to State agencies for voluntary +updating. +For guidance on reporting new and previously unreported crossings, please +refer to the Introduction and Appendix A to this Guide. +Entities subject to FRA’s final rule on National Highway-Rail Crossing Inventory +Reporting Requirements should refer to the rule published in the Federal +Register, as well as the additional information provided in this Guide. Should +any portion of this table conflict with the final rule, the language of the final rule +shall govern. +O – Optional; R – Required; C – Conditionally Required; LLLLLL – Not Applicable + (see Guide for instructions) +Box Field +Update Provided +by State +Update Provided by +Railroad or Transit +Public Private Public Private +Header +A. Revision Date R R R +B. Reporting Agency R R R +C. Reason for Update R R R +D. DOT Crossing Inventory Number R R R +Part I: Location and Classification Information +1. Primary Operating Railroad R R +2. State R R +3. County R R +4. City/Municipality R R +5. Street/Road Name & Block Number R R +6. Highway Type & No. R R +7. Do Other Railroads Operate a Separate Track R R +8. Do Other Railroads Operate over Your Track R R +9. Railroad Division or Region R R +10. Railroad Subdivision or District R R +11. Branch or Line Name R R +12. RR Milepost R R +13. Line Segment O O +14. Nearest RR Timetable Station O O +15. Parent RR R R +16. Crossing Owner R R +Appendix B-2 +Box Field +Update Provided +by State +Update Provided by +Railroad or Transit +Public Private Public Private +17. Crossing Type R R +18. Crossing Purpose R R +19. Crossing Position R R +20. Public Access R +21. Type of Train Service R R +22. Average Passenger Train Count Per Day R R +23. Type of Land Use R R +24. Is There an Adjacent Crossing with a Separate +Number? +R R +25. Quiet Zone +26. HSR Corridor ID R R +27. Latitude in decimal degrees R R +28. Longitude in decimal degrees R R +29. Lat/Long Source R R +30.A. Railroad Use O O +30.B. Railroad Use O O +30.C. Railroad Use O O +30.D. Railroad Use O O +31.A. State Use O O +31.B. State Use O O +31.C. State Use O O +31.D. State Use O O +32.A. Narrative (Railroad Use) O O +32.B. Narrative (State Use) O O +33. Emergency Notification Telephone No. R R +34. Railroad Contact (Telephone No.) R R +35. State Contact (Telephone No.) R +Part II: Railroad Information +1.A. Total Day Thru Trains (6AM to 6PM) R R +1.B. Total Night Thru Trains (6AM to 6PM) R R +1.C. Total Switching Trains R R +1.D. Total Transit Trains R R +1.E. Check If Less Than One Movement Per Day C C +2 Year of Train Count Data R R +3.A Maximum Timetable Speed (mph) R R +3.B Typical Speed Range Over Crossing (mph) R R +4. Type and Count of Tracks R R +5. Train Detection (Main Track Only) R R +6. Is Track Signaled? R R +7.A. Event Recorder C C +7.B. Remote Health Monitoring C C +Part III: Highway or Pathway Traffic Control Device Information +1 Are There Signs or Signals? R +Appendix B-3 +Box Field +Update Provided +by State +Update Provided by +Railroad or Transit +Public Private Public Private +2.A. Crossbuck Assemblies R +2.B. STOP Signs (R1‐1) R +2.C. YIELD Signs (R1‐2) R +2.D. Advance Warning Signs R +2.E. Low Ground Clearance Sign (W10‐5) R +2.F. Pavement Markings R +2.G. Channelization Devices / Medians R +2.H. EXEMPT Sign (R15‐3) R +2.I. ENS Sign Displayed (I‐13) R +2.J. Other MUTCD Signs R +2.K. Private Crossing Signs (if Private) R +2.L. LED Enhanced Signs R +3.A. Gate Arms R +3.B. Gate Configuration R +3.C. Cantilevered (or Bridged) Flashing Light +Structures +R +3.D. Mast Mounted Flashing Lights R +3.E. Total Count of Flashing Light Pairs R +3.F. Original Installation Date of Current Active +Warning Devices +R +3.G. Wayside Horn R +3.H. Highway Traffic Signals Controlling Crossing R +3.I. Bells R +3.J. Non‐Train Active Warning R +3.K. Other Flashing Lights or Warning Devices R +4.A. Does nearby Highway Intersection Have +Traffic Signals? +R +4.B. Highway Traffic Signal Interconnection R +4.C. Highway Traffic Signal Preemption C +5. Highway Traffic Pre‐Signals R +6. Highway Monitoring Devices R +Part IV: Physical Characteristics +1. Traffic Lanes Crossing Railroad R +2. Is Roadway/Pathway Paved? R +3. Does Track Run Down a Street? R +4. Is Crossing Illuminated? R +5. Crossing Surface R +6. Intersecting Roadway Within 500 feet? R +7. Smallest Crossing Angle R +8. Is Commercial Power Available? O +Part V: Public Highway Information +1. Highway System R +2. Functional Classification of Road at Crossing R +Appendix B-4 +Box Field +Update Provided +by State +Update Provided by +Railroad or Transit +Public Private Public Private +3. Is Crossing on State Highway System? R +4. Highway Speed Limit R +5. Linear Referencing System (LRS Route ID) O +6. LRS Milepost O +7. Annual Average Daily Traffic (AADT) R +8. Estimated Percent Trucks R +9. Regularly Used by School Buses? R +10. Emergency Service Route R +Submission Information +Name R R R +Organization R R R +Phone R R R +Date R R R +Note: Please refer to the individual sections of this Guide for exceptions to the Crossing +Inventory Responsibility Table above. +Appendix C-1 +APPENDIX C – Reporting Crossings That Have Multiple Operating +Railroads +Except for situations where multiple railroads or urban rapid transit operators +operate trains on separate tracks through the same crossing, if more than one +operating railroad operates trains through a single highway-rail or pathway +crossing, the primary operating railroad is responsible for submitting and +updating crossing data on behalf of all the operating railroads that operate +through the crossing. +Note: The primary operating railroad is the operating railroad that either owns +or maintains the track through the highway-rail or pathway crossing, unless the +crossing is located within a private company, port, or dock area. If more than +one operating railroad either owns or maintains the track through the highwayrail or pathway crossing, or if no operating railroad owns or maintains the track +through the highway-rail or pathway crossing, then the operating railroad that +operates the highest number of trains through the crossing is the primary +operating railroad. In the event that there is only one operating railroad that +operates one or more trains through a highway-rail or pathway crossing, that +operating railroad is the primary operating railroad. + +Where multiple railroads or urban rapid transit operators operate trains on +separate tracks through the same crossing, each railroad or urban rapid transit +operator must submit crossing data to the Crossing Inventory (see Part I, Item 7 +above), and each must place its name in the field titled “Primary Operating +Railroad” (this links each railroad to the data it has submitted). The primary +operating railroad must submit the rest of the railroad-required data. Except for +the train counts, the National Crossing Inventory Record will reflect the data for +the primary operating railroad. +The FRA data management system will combine the critical data (such as train +counts) to produce a combined Crossing Inventory Record for the crossing for +analyzing the risk along with providing the individual records for each of the +operating railroads. Each railroad must place its name in the field titled +“Primary Operating Railroad” in Part 1, Box 1, in order to make clear which +record belongs to which railroad. +Each Inventory Form submitted by multiple operating railroads for the same +crossing will have the same crossing inventory number. +See the Figure below for an example of which fields must be completed and +Appendix C-2 +updated by each railroad or urban rapid transit operator that operates trains on +separate tracks through the same crossing. +Appendix C-3 +Areas highlighted in yellow are the fields required to be completed: +Appendix D-1 +APPENDIX D – Definitions +Adjacent Crossings – grade crossings with separate Crossing Inventory Numbers, +with their own separate warning devices, on the same vehicular highway or pathway, +where the distance between the inside rail of each crossing, as measured along the +highway or pathway, does not exceed 100 feet. +Annual Average Daily Traffic (AADT) – a figure that represents the amount of vehicles +traveling past a known location on a roadway for a year, divided by 365 days. In the +event that 365 consecutive days of traffic counts are not available, there are traffic +engineering calculations that can be used to develop a representative figure for AADT +based upon traffic counts of shorter duration. +Back Lights – a flashing light pair on the far side of the crossing, typically mounted 180 +degrees on the signal mast or cantilever structure from the flashing light pair of the near +side of the crossing. + +Channelization Device – a traffic separation system made up of a raised longitudinal +channelizer with vertical panels or tubular delineators that is placed between opposing +highway traffic lanes designed to alert or guide traffic around an obstacle or to direct +traffic in a particular direction. +Closed Crossing – a location where a previous crossing no longer exists because +either the railroad tracks have been physically removed, or each pathway or roadway +approach to the crossing has been physically removed, leaving behind no intersection +of railroad tracks with either a pathway or roadway. A grade-separated highway-rail or +pathway crossing that has been physically removed is also considered a closed +crossing. +Crossing Inventory – the U.S. DOT National Highway-Rail Crossing Inventory. +Diagonal Crossing – a highway-rail crossing where the railroad tracks run diagonally +through the highway-highway intersection, thus bisecting the two roadways. Only one +Crossing Inventory Number is to be assigned to such locations. +Event Recorder – a device designed to resist tampering that monitors and records data +on information at the grade crossing location such as (but not limited to) train speed, +direction of motion, time, and distance over the most recent timeframe (e.g. last 24 or +48 hours) of the grade crossing warning system operation. +Flashing Light Pairs – two red-colored light units that flash alternately at a rate of 45 to +65 times per minute. The main components of a flashing light pair are the hood, +background, roundel, lamp, lamp holder, reflector, and housing. The background is 20 +Appendix D-2 +or 24 inches in diameter and is painted a nonreflecting black to provide a contrast for +the red light. The hood is also painted black. +Gate – an automatically-operated traffic control device which, when activated into a +horizontal position, is intended to physically impede users such that they are +discouraged from entering a particular grade crossing. +Two Quadrant Gates – a gate configuration featuring gates only on entrance lanes +leading on to the crossing. If a crossing does not have any gates on any exit lanes +leading off the crossing, then it is to be considered a “two-quadrant gate” crossing. +Note: A gated crossing on a one-way street is to be considered a “2 Quad” gate +configuration. +Three Quadrant Gates – a specific gate configuration featuring gates on all +entrance lanes leading on to the crossing, but with only one exit leading off the +crossing that is equipped with a gate. +Four Quadrant Gates – a specific gate configuration that features gates on all +entrance and all exit lanes at the crossing. When four quadrant gates are activated +and fully lowered, all entrance lanes and all exit lanes are blocked by gates . +Full (Barrier) Resistance Gates – a gate-like device that is specifically designed to +physically prevent a highway vehicle from entering the crossing area when the +resistance gate system is fully deployed. +Median Gates (sometimes referred to as dual entrance gates) – a supplemental +gate installation located on a roadway’s median (to the left of the travel lanes) that +works in combination with a gate installed on the outside edge of the roadway (to the +right of the travel lanes) to jointly provide blockage of multiple lanes on a single +roadway approach to the crossing, with both gate arm tips meeting (2-foot maximum +gap) in the middle. +Grade Crossing – for purposes of the Inventory, either a highway-rail grade crossing, +pathway grade crossing or pedestrian station grade crossing. +Highway-Rail Crossing – for purposes of the Crossing Inventory, the location where +one or more railroad tracks intersect with a public highway, road, street, or private +roadway, either at-grade or grade-separated, including associated sidewalks. +A crossing includes those tracks that lie within the same pair of warning devices. Thus, +an intersection of a roadway with 3 tracks (2 mainline and 1 spur) where the mainline +tracks have flashing lights and the spur track has crossbucks would be considered two +crossings with two separate crossing inventory numbers. One crossing would consist of +the mainline tracks with the flashing lights and one crossing would consist of the spur +track that has crossbucks. +Appendix D-3 +Highway-Rail Grade Crossing – for purposes of the Crossing Inventory, a highway-rail +crossing that is at the same grade level as the railroad tracks. +Inventory Form – the U.S. DOT Crossing Inventory Form (Form FRA F 6180.71). +Inventory Number – the number assigned to a highway-rail crossing or pathway +crossing in the Crossing Inventory. +Median – a non-traversable portion of a divided highway separating the travel ways for +traffic in opposite directions. +MUTCD – the Manual on Uniform Traffic Control Devices published by the Federal +Highway Administration. +Open Crossing – a highway-rail crossing or pathway crossing where both railroad +operations and highway or pathway traffic are possible. +Operating Railroad – any railroad or urban rapid transit operator that operates one or +more trains through a highway-rail crossing or pathway crossing on, or connected to, +the general railroad system of transportation. +Pathway – a path for authorized users, outside the traveled way and physically +separated from the roadway by an open space or barrier and either within the highway +right-of-way or within an independent alignment. Pathways include shared-use paths, +but do not include sidewalks. +Pathway Crossing – a pathway that: (1) is explicitly authorized by a public authority or +a railroad; (2) is dedicated for the use of non-vehicular traffic including pedestrians, +bicyclists, and others, (3) is not associated with a public highway, road, or street, or a +private roadway; and (4) crosses one or more railroad tracks either at grade or gradeseparated. However, an area where pedestrians trespass, even routinely, is not +considered to be a pathway crossing. +Pathways that are contiguous with, or separate but adjacent to, highway-rail crossings +are presumed to be part of the highway-rail crossing and are not considered separate +crossings. However, pathways that are located more than 25 feet from the location +where a highway, road, or street intersects with one or more railroad tracks are +generally considered to be separate pathway crossings. +Pathway Grade Crossing - for purposes of the Crossing Inventory, a pathway crossing +that is at the same grade level as the tracks. +Pedestrian Crossing - See Pathway Crossing. +Appendix D-4 +Pedestrian Station Crossing (Station, Ped.) – a pathway crossing located within a +passenger station. +Pedestrian Station Grade Crossing – a pedestrian station crossing that is at the same +grade level as the tracks. +Plant Railroad – a plant or installation that owns or leases a locomotive, uses that +locomotive to switch cars throughout the plant or installation, and is moving goods +solely for use in the facility’s own industrial processes. The plant or installation could +include track immediately adjacent to the plant or installation if the plant railroad leases +the track from the general system railroad and the lease provides for (and actual +practice entails) the exclusive use of that trackage by the plant railroad and the general +system railroad for purposes of moving only cars shipped to or from the plant. A plant +or installation that operates a locomotive to switch or move cars for other entities, even +if solely within the confines of the plant or installation, rather than for its own purposes +or industrial practices, will not be considered a plant railroad because the performance +of such activity makes the operation part of the general railroad system of +transportation. +Primary Operating Railroad – the operating railroad that either owns or maintains the +track through the highway-rail or pathway crossing, unless the crossing is located within +a private company, port, or dock area. If more than one operating railroad either owns +or maintains the track through the highway-rail or pathway crossing, or if no operating +railroad owns or maintains the track through the highway-rail or pathway crossing, then +the operating railroad that operates the highest number of trains through the crossing is +the primary operating railroad. In the event that there is only one operating railroad that +operates one or more trains through a highway-rail or pathway crossing, that operating +railroad is the primary operating railroad. +For highway-rail and pathway crossings that are located within a private company, port, +or dock area, each railroad that owns track leading to the private company, port, or dock +area will be considered a primary operating railroad as applied to crossings within the +private company, port, or dock area. +Private Crossing – a highway-rail or pathway crossing that is not a public crossing. +Typical types of private crossings include farm crossings, industrial plant crossings, and +residential access crossings. +Public Authority – the public entity responsible for traffic control or law enforcement at +a highway-rail crossing or the public entity that authorized a pathway crossing. +Public Crossing – a highway-rail or pathway crossing where the approaches are under +the jurisdiction of and maintained by a public authority and open to public travel. All +approaches must be under the jurisdiction of the public authority and no approach may +be on private property, unless state law or regulation provides otherwise. +Appendix D-5 +For purposes of this definition “open to public travel” means that the road or pathway +section is available (except during scheduled periods, extreme weather or emergency +conditions) and open to the general public for use without restrictive gates, prohibitive +signs, or regulation. Restrictions for highway-rail crossings that are based on size, +weight, or class of registration do not apply. +In situations where a State has empowered a public agency (such as a State +Department of Transportation, State Highway Department, Public Utility Commission, +State Commerce Commission, etc.) to make a determination as to whether crossings +are public or private, such determinations will govern for Inventory purposes. +Quiet Zone – a segment of a rail line, within which is situated one or a number of +consecutive public highway-rail crossings at which locomotive horns are not routinely +sounded. +Remote Health Monitoring – an electronic system designed to remotely notify the +railroad (typically the railroad signal maintainer or a trouble desk) that components of +the automatic warning system are not functioning as intended. +Side Lights – a flashing light pair, typically mounted on the signal mast or cantilever +structure, used to warn vehicular traffic and/or pedestrians approaching from side +streets, parking lots, driveways or pathways. +Sidewalk – that portion of a street between the curb line, or lateral line of a roadway, +and the adjacent property line. Sidewalks also include easements on private property +that are paved or improved and intended for use by pedestrians. +Temporary Crossing – a highway-rail or pathway crossing created to serve a specific +activity for a temporary time period not to exceed six months. Temporary crossings do +not need an inventory number and do not need to be reported to the Crossing Inventory. +Through (Thru) Trains – trains whose primary responsibility is to operate over a route +with defined beginning and end points. +Appendix E-1 +APPENDIX E – Frequently Asked Questions (FAQs) +Q 1. Which types of crossings must be reported to the Crossing Inventory? +All crossings, Highway-Rail, Pathway (formerly known as Pedestrian) and +Pedestrian Station, either at-grade and grade-separated, must be reported to the +Crossing Inventory, with the exception of temporary crossings. Temporary +crossings are crossings that are created to serve a specific activity for a +temporary time period not to exceed six months. +An Inventory Number must be assigned to each crossing that is reported to the +Crossing Inventory, except for certain crossings that are discussed in more detail +in the Inventory Guide. +Q 2. If multiple operating railroads operate through a highway-rail or pathway +crossing, which operating railroad is responsible for getting the Inventory +number and filing the Inventory Forms? + With the exception of highway-rail and pathway crossings where multiple +railroads or urban rapid transit operators operate trains on separate tracks +through the same crossing, the primary operating railroad will be responsible for +requesting the Inventory Number and submitting crossing data (including periodic +updates) to the Crossing Inventory for a particular highway-rail or pathway +crossing. + +The primary operating railroad either owns or maintains the track through the +highway-rail or pathway crossing, unless the crossing is located within a private +company, port, or dock area. If more than one operating railroad either owns or +maintains the track through the highway-rail or pathway crossing, or if no +operating railroad owns or maintains the track through the highway-rail or +pathway crossing, then the operating railroad that operates the highest number +of trains through the crossing is the primary operating railroad. In the event that +there is only one operating railroad that operates one or more trains through a +highway-rail or pathway crossing, that operating railroad is the primary operating +railroad. For highway-rail and pathway crossings that are located within a private +company, port, or dock area, each railroad that owns track leading to the private +company, port, or dock area will be considered a primary operating railroad as +applied to crossings within the private company, port, or dock area. + Please refer to Appendix C for detailed guidance on reporting to the Crossing +Inventory when multiple railroads or urban rapid transit operators operate trains +on separate tracks through the same highway-rail or pathway crossing. + +Appendix E-2 +Q 3. Do I need to get an Inventory Number for a private crossing? +Yes. Railroads must obtain Inventory numbers for private crossings. +This includes crossings that are in a plant area owned by a private corporation, in +a port or dock area or in the rail yard of the operating railroad. The primary +operating railroad may decide whether to assign one Inventory Number for each +crossing on private property or for multiple crossings within the plant, port or dock +area or rail yard. +Q 4. Where can I get valid Crossing Inventory Numbers? +To acquire crossing numbers from FRA, please send an e-mail to: +RequestDOTGXNumber@dot.gov. +Q 5. How do I update the Crossing Inventory for my Railroad or State? +Please refer to Appendix B of this Inventory Guide, the Crossing Inventory +Responsibility Table, for information related to which data fields on the Inventory +Forms need to be updated by railroads and/or the States. +With the exception of Class I railroads who must submit updates to the Crossing +Inventory electronically, all non-Class I railroads and States may choose to +submit updates to the Crossing Inventory electronically or by mailing updated +Inventory Forms. +Please see FRA’s Web site for the correct mailing address for hardcopy +U.S. DOT Crossing Inventory (Crossing Inventory) submissions. +Q 6. Can I submit Inventory Forms electronically? +Yes. While Class I railroads are required to file Inventory data electronically, all +railroads and States are encouraged to file data electronically in accordance with +the instructions contained in this Inventory Guide. +Q 7. Do I have to submit Inventory Forms electronically? +Class I railroads must file their Inventory Forms electronically. Therefore, +Inventory updates, as well as the submission of Inventory data for new and +previously unreported crossings, will need to be submitted electronically to the +Crossing Inventory by Class I railroads. All other operating railroads and the +States may choose to submit Inventory Forms electronically, but are not required +to do so. + +Appendix E-3 +Q 8. Which parts of the Inventory Form must be completed for a new or +previously unreported crossing? +The type of crossing will dictate which parts of the Inventory Form must be +completed by railroads for the initial reporting of new and previously unreported +highway-rail and pathway crossings. The Inventory Form will be considered +“completed”, if the following parts of the Inventory Form are completed: + Public Highway-Rail Grade Crossing: Complete entire Inventory Form (with +the exception of I.20 and III.2.K); + Private Highway-Rail Grade Crossing: Complete Header, plus Parts I, II, and +III.2.K of the Inventory Form and the Submission Information section; + Public Pathway Grade Crossing: Complete Header, plus Parts I and II of the +Inventory Form (with the exception of I.20) and the Submission Information +section; + Private Pathway Grade Crossing: Complete Header, plus Parts I, II, and +III.2.K of the Inventory Form and the Submission Information section; + Pedestrian Station Grade Crossing (Station, Ped.): Complete Header, plus +Parts I and II of the Inventory Form (with the exception of I.20) and +Submission Information section; + Grade-separated Crossing (highway-rail, pathway and pedestrian station): +Complete Header, plus Part I of the Inventory Form (with the exception of +I.20) and the Submission Information section. +Q 9. Where do I send hardcopies of completed Inventory Forms? +Please see FRA’s webpage for correct mailing address for hard copy Crossing +Inventory Submissions. +Q 10. If I only need to submit a few Inventory Forms, can I scan them +electronically and then submit them to the Crossing Inventory? +Scanning a document for transmittal to the Crossing Inventory is considered a +paper submission. This type of transmission does NOT constitute an electronic +submission; therefore, Class I railroads may not use this form of submission. +Non-Class I railroads may transmit scanned documents to: +RsisRXIUpdates@dot.gov. This address goes to FRA’s data processing contractor +who will process the submittals in accordance with their workload. +Q 11. Can I update crossing records online? +Appendix E-4 +Yes, FRA will provide a new secure web page to allow users to find and update +data for highway-rail and pathway crossings that have already been entered into +the Crossing Inventory. +Q 12. Will use of the GX32 software count as an electronic submission? + No, the GX32 software will be replaced with a secure web-based application that +will provide the state/railroad user with similar functionality. This will allow the +crossing data to be current and updates will be made instantaneously (with +business rules in place to ensure that only allowable data elements can be +changed). The new system will allow for more accurate record keeping and +timely submissions. Use of this new web-based application will constitute +electronic submission. +Q 13. What if there is no change in the data that currently exists in the Crossing +Inventory? +Even if the railroad has verified that there is no change in the existing data in the +Crossing Inventory, the railroad must submit an update to the Crossing Inventory, +electronically or by using Form FRA F 6180.71 at least once every 3 years. In +this instance, the Header on the Inventory Form will need to be completed. With +respect to item C, “Reason for Update”, in the Header, the box for “Date Change +Only” should be checked, in order to signify that the current data in the Crossing +Inventory is correct. +Q 14. Do we have to update crossings that have been closed or are gradeseparated? +A crossing that has been reported to the Crossing Inventory as closed does not +require further updating unless it is reopened. A grade-separated crossing that +has been reported to the Crossing Inventory does not require further updating +unless it is physically removed in which case it should be reported as closed. +Q 15. Do we have to use the paper Form FRA F 6180.71 for updating? +No, Class I railroads must submit updates to the Crossing Inventory +electronically. All other railroads, urban rapid transit operators and the States are +encouraged to submit updates to the Crossing Inventory electronically, but may +submit hard copy updates. +Q 16. How long will it take for Inventory updates to appear on FRA’s Web site? +Electronic submissions will be updated to the inventory immediately following a +successful submission (i.e., all required data is provided and passes all validation +rules). It generally takes between 1 to 3 months before updates will appear on +Appendix E-5 +the Web site for hardcopy submissions. This is an estimate as the timeline is +dependent upon the number of hardcopy submissions received and the amount +of time to conduct manual data entry. +Q 17. What is the best way to get started updating records for a State or Railroad +that has thousands of crossings? +For States and Railroads with a large number of crossings, the best way to get +started updating the Crossing Inventory is to first determine which crossings have +been entered into the Crossing Inventory. This can be accomplished by +verification of the Inventory number in both the Crossing Inventory and the +respective State or Railroad File. Compare only the Inventory Numbers, and then +resolve the status of those that don’t match (Open or Closed, or non-existent in +either file). Next, carry the comparison further by verifying Public versus Private +crossing type, and then State or Operating Railroad. Once there is agreement +with regards to the existing number of crossings, Open or Closed status, Public +or Private crossing type, and in which State or on which Operating Railroad, then +the balance of the information can be checked, verified, and updated. + +Q 18. How do I get the most current Crossing Inventory data for our State or +Railroad? +The most current Crossing Inventory data is available for download from FRA’s +Safetydata Web site. +Q 19. We are planning to develop our own database software for our own +crossing inventory file. Are there consultants that have done this before +that we can contact, and is there anything specific that we should know or +do before we get started? +There are several States and Railroads who have hired consulting firms to +develop electronic databases for their crossing inventory records and for +managing their crossing improvement program and contracts. You will need to +contact the individual States or Railroads to determine which firms have +performed in a satisfactory manner. However, if you decide to contract with a firm +directly, you should instruct them to develop their data file structure to be +compatible with the FRA data file so that data can be directly transferred to FRA +without conversion. The consultant should use the Electronic Submission +Instructions when developing the software. The Electronic Submission +Instructions can be found on the Grade Crossing Inventory System (GCIS) +secure site. +Q 20. Where can I find information regarding the Format and Description of the +Crossing Inventory Data Fields for electronic submissions? +Appendix E-6 + Information regarding the Format and Description of the Crossing Inventory data +fields can be found in the Electronic Submission Instructions. The Electronic +Submission Instructions can be found on the GCIS secure site. +Q 21. How do I get crossing inventory data and information for my locale? +Crossing records can be accessed from FRA’s Safetydata Web site. +Q 22. Who is responsible for reporting a closed crossing in the Inventory and +how is it done? +The primary operating railroad must report the closure of a highway-rail or +pathway crossing to the Crossing Inventory, but the State may also report the +closure of a public crossing. +Reporting a closed a crossing in the Crossing Inventory is a very simple process. +A closed crossing can be reported by completing the Header information and +checking “closed” in section C, “Reason for Update”, in the Header of the +Inventory Form. The date of the closure, if known, may be shown in Part I.30 or +Part I.31, as appropriate. +A crossing that is closed remains in the Crossing Inventory forever. The +Inventory number remains with that location forever, and the number cannot be +reused at a different location. However, a crossing that has been closed can be +reopened in the Crossing Inventory at any time in the future by simply updating +the inventory record. +Q 23. How do I report a crossing that has previously been closed and is now reopened? +Complete all of the data fields in the Header and check the “Re-Open” box in +Item C of the Header of the Inventory Form. The reporting agency should +coordinate with the other agency to update all of the data fields on the Inventory +Form that have been assigned to the State and railroad for updating by Appendix +B to the Inventory Guide. +Finally, if a hardcopy Inventory Form update will be submitted to the Crossing +Inventory, the Submission Information section of the Inventory Form will also +need to be completed. +Q 24. How do I report the sale of a highway-rail or pathway crossing to the +Crossing Inventory? +First, complete all of the data fields in the Header of the Inventory Form. If the +sale of the highway-rail or pathway crossing will result in a new primary operating +Appendix E-7 +railroad, check the “Change in Primary Operating RR” box in Item C of the +Header of the Inventory Form. However, if the sale of the Highway-Rail or +Pathway Crossing will not result in a new primary operating railroad, check +“Change in Data” box in item C of the Header of the Inventory Form. +In addition, if the sale of the crossing will result in a change to any of the +following data fields, update the changed field: + Item 1 in Part I of the Inventory Form (“Primary Operating Railroad”) + Item 15 in Part I of the Inventory Form (“Parent RR”) + Item 16 in Part I of the Inventory Form (“Crossing Owner”) +Finally, if a hard-copy Inventory Form update will be submitted to the Crossing +Inventory, complete the Submission Information section of the Inventory Form as +well. +Q 25. Who needs to provide Latitude / Longitude data and in what format? +For new or previously unreported crossings, the primary operating railroad is +required to obtain and provide this information when submitting the initial +Inventory Form to the Crossing Inventory. By design, data cannot be added to +the Crossing Inventory without all applicable information being provided for a new +or previously unreported crossing. +States are expected to provide updates for latitude and longitude data for public +highway-rail crossings, including those that are grade-separated, and all public +pathway crossings. Railroads are to provide updates for latitude and longitude +data for private highway-rail crossings, including those that are grade-separated, +and all private pathway crossings. +The FRA Office of Safety uses the WGS-84 (World Geodetic System 1984) +datum standard. The Crossing Inventory requires Latitude and Longitude to be +submitted in “Degrees.Digital Degrees” (DDD) format. The coordinates are to be +measured at the center of the crossing. The measurement values are to be +entered in decimal (DDD) format as (nn.nnnnnnn) for Latitude and as (- +nnn.nnnnnnn) for Longitude. The values need to be taken to at least five (5) +decimal places, but seven (7) decimal places are preferred. Please refer to the +previous Inventory Guide discussion of Part I, Fields 27 and 28 on the Inventory +Form, for additional information which includes conversion instructions from the +“Degrees.Minutes.Seconds” (DMS) format. +Q 26. How do you determine whether separate Inventory numbers should be +assigned to crossings that are located in close proximity to each other? +Appendix E-8 +For purposes of the Crossing Inventory, a highway-rail crossing consists of those +railroad tracks that lie between a pair of warning devices. Therefore, each +crossing with its own pair of warning devices must have an Inventory number +assigned. +Q 27. Is a pathway ever considered to be a part of a highway-rail crossing? +Pathways that are contiguous with, or separate but adjacent to, highway-rail +crossings are presumed to be part of the highway-rail crossing and are not +considered separate crossings. However, pathways that are located more than +25 feet from the location where a highway, road, or street intersects with one or +more railroad tracks are generally considered to be separate pathway crossings. +Q 28. A crossing that was closed seven years ago is being reopened for highway +traffic. Does the crossing need a new inventory number? + No. Inventory numbers stay with the location to which they were originally +assigned. You must use the Inventory number that was previously assigned to +the crossing. +Q 29. A roadway is being modified which will result in the closure of an existing +crossing and the opening of a new crossing 100 feet down the track. Since +the crossing is essentially being relocated, can I use the Inventory number +that has already been assigned? + No. Inventory numbers stay with the location to which they were originally +assigned. A new, unused Crossing Inventory number must be assigned to the +new crossing. +Q 30. Can a railroad or State change all the fields in an existing Inventory +Record? + No. The Responsibility Table for Updating Crossing Inventory Data, in Appendix +B of this Guide, lists the data fields for which the railroads and States are +responsible for updating. Unless prior written notification has been provided to +FRA, if either party attempts to change fields that have not been assigned to it for +updating, those changes will be not be implemented. +Q 31. Can a railroad delegate to another railroad or state its responsibility to +update the inventory? + Yes, a railroad may allow a parent railroad or a State to update the inventory on +its behalf. However, the railroad will still be held responsible for timely and +accurate submission, regardless of any delegation. If the railroad would like to +delegate its responsibility to submit and crossing data to a State agency or a +Appendix E-9 +parent corporation, prior notification must be provided jointly to FRA in writing. +Q 32. How often must the Inventory Record be updated? +With the exception of crossing inventory records for grade-separated crossings +and closed highway-rail and pathway crossings, the crossing inventory record +must be updated at least every 3 years even if nothing has changed at the +crossing. However, any crossing closure, change in crossing surface (e.g., +timber to rubber) or change in the type of warning device (e.g., crossbuck to +flashing lights and gates) must be reported within three months. In addition, FRA +encourages updates as other crossing information changes. +Q 33. Would electronic submission allow a railroad or State to update fields for +which it is not responsible? +The Railroad only has the ability to update the data fields for which it is +responsible. Similarly, the State only has the ability to update the data fields for +which the State is responsible, regardless of the method used to provide the +update. The submitting entity should only submit updated data for processing for +which it is responsible. Exceptions to this policy are, however, permitted when +both entities have provided prior written notification to FRA. +Q 34. When a crossing is being changed from Private to Public, what data must +be provided by the submitting agency? + For a change from a private highway-rail grade crossing to a public highway-rail + grade crossing, railroads must complete the entire Inventory Form (with the + exception of I.20 and III.2.K) with updated information. + For a change from a private pathway grade crossing to a public pathway grade + crossing, railroads must update the Header, Parts I, II, and III.2.K of the + Inventory Form and the Submission Information section. +Q 35. If a private company, port or dock area, or a rail yard has multiple +crossings, is it possible to have more than one Inventory number assigned +to the facility? +A. Although one Inventory Number may be assigned for all of the crossings in +the facility, there are two reasons why a private company may have more +than one Inventory Number: +1. A railroad may assign Inventory Numbers to specific crossings while +assigning one Inventory Number to the remaining crossings. +2. If more than one operating railroad provides service to the private +company from its own track (e.g., one track off of railroad X’s track and +one track off of railroad Y’s track), each operating railroad must assign a +Appendix E-10 +unique Inventory number for the private company. If a crossing accident +occurs, the railroad that is involved in the collision must use the Inventory +number that it assigned to the private company. +Q36. How do I report a change in crossing characteristics (such as a change in +the crossing surface or a change in the crossing warning devices) that is +required by 49 CFR 234.411(c) at a public highway-rail grade crossing to +the Crossing Inventory? +Complete all of the data fields in the Header of the Inventory Form, checking the +“Change in Data” box in Item C. +The primary operating railroad must update all data fields in Parts II and III on the +Inventory Form. +Finally, if a hardcopy Inventory Form update will be submitted to the Crossing +Inventory, the primary operating railroad must complete the Submission +Information section of the Inventory Form as well. +Appendix F-1 +APPENDIX F – High-Speed Rail ID Corridor Designations and Codes +Key: “#” Use for Rail-Section Identifier (numeric 1 - 9) or use “X” if numeric not used. +For High Speed Rail Corridor Codes for any new corridors that are not listed above, +contact the FRA Crossing Inventory Program Manager. +High-Speed Rail Corridor Designations and Codes +Code Corridor Route +PNW# +Pacific +Northwest Vancouver - Seattle - Portland - Eugene +CAV# California San Diego - Los Angeles - Stockton - Sacramento/Bay Area +CAC# Los Angeles - Bay Area - Sacramento +CLL# Los Angeles - Las Vegas +CMM# Chicago Hub Chicago - Milwaukee - Minneapolis +CSK# Chicago - Springfield - St. Louis - Kansas City +CIC# Chicago - Indianapolis - Cincinnati +CKD# Chicago - Kalamazoo - Detroit +CTC# Chicago - Toledo - Cleveland +CIL# Indiana Extension: Indianapolis - Louisville +CCC# Ohio 3 C’s Cleveland - Columbus - Cincinnati +KEY# Keystone Philadelphia - Harrisburg - Pittsburgh +EMP# Empire New York - Albany - Buffalo +NEP# +Northern +New England Boston - Portland +NEM# +Northern +New England Boston - Montreal +NEW# New England Boston - Albany +NHS# +Southern +New England New Haven - Hartford - Springfield +NEC# +Northeast +Corridor +Washington - Baltimore - Philadelphia - New York - New Haven - +Boston +Appendix F-2 +High-Speed Rail Corridor Designations and Codes +Code Corridor Route +SER# Southeast Washington - Richmond - Raleigh +SES# Raleigh - Columbia - Savannah - Jesup - Jacksonville +SEC# +Raleigh - Durham - Greensboro - Charlotte - zGreenville - Atlanta - +Macon +SEV# Virginia Extension: Richmond - Hampton Roads +SEG# Georgia Connection: Macon - Jesup +FLX# Florida Miami - Orlando - Tampa + +GCA# Gulf Coast Atlanta - Birmingham - Meridian - New Orleans +GCM# Mobile - Biloxi - New Orleans - Houston +SCA# +South +Central Dallas/Ft Worth - Austin - San Antonia +SCT# Dallas/Ft Worth - Texarkana - Little Rock +SCO# Dallas/Ft Worth - Oklahoma City - Tulsa + + +FRA Guide for Preparing +Accident/Incident Reports +U.S. Department of Transportation +Federal Railroad Administration +Office of Railroad Safety +DOT/FRA/RRS-22 +Published: May 23, 2011 +Effective: July 1, 2011 +This page intentionally left blank + +MAIL MONTHLY ACCIDENT/INCIDENT REPORTING SUBMISSIONS TO: +FRA Project Office +2600 Park Tower Drive, Suite 1000 +Vienna, VA 22180 +Please refer to http://safetydata.fra.dot.gov/OfficeofSafety, and click on “Click Here for +Changes in Accident/Incident Recordkeeping and Reporting” for updated information. + + + +iv +Preface +The Federal Railroad Administration’s (FRA) regulations on reporting railroad +accidents/incidents are found primarily in Title 49 Code of Federal Regulations (CFR) Part 225.1 + +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. + +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 U.S.C. chapters 51, 201–213. + + + +v +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 +1.3 Miscellaneous Provisions and Information .................................................................... 12 +1.3.1 Assistance and Guidance ......................................................................................... 12 +1.3.2 Copies of the Regulations ........................................................................................ 12 +1.3.3 Reporting Decisions ................................................................................................. 12 +1.3.4 Claimed But Not Admitted Submissions ................................................................. 12 +1.3.5 Penalties ................................................................................................................... 13 +1.3.6 Public Examination and Use of Reports .................................................................. 13 +1.4 Questions and Answers .................................................................................................. 14 +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 ............................................................................................. 34 +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 ................................................................................................................... 48 +6.4 Covered Data ................................................................................................................. 49 +6.5 Employee On-Duty Injury/Illness Reporting ................................................................. 50 +6.5.1 Questions and Answers on Employee On-Duty Injury/Illness Reporting ............... 50 +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 + + + +vi +6.7.1 Questions and Answers on New Cases .................................................................... 64 +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 ................................................ 66 +6.9 Restricted Work ............................................................................................................. 70 +6.9.1 Questions and Answers on Restricted Work ........................................................... 71 +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 90 +6.12.6 Miscellaneous Questions and Answers .................................................................... 91 +6.13 Reporting of Injuries to Persons Other Than Railroad Employees ................................ 98 +6.13.1 Questions and Answers on Injuries to Persons Other Than Railroad Employees . 100 +6.14 Miscellaneous Guidance .............................................................................................. 102 +6.14.1 Coding Instructions Injuries Due to Passenger Station Platform Gap Incidents ... 103 +6.15 Instructions for Completing Form FRA F 6180.55a (Continuation) ........................... 105 +7. Form FRA F 6180.54 - Rail Equipment Accident/Incident Report ...................................... 113 +7.1 Requirement. ................................................................................................................ 113 +7.1.1 Reporting Threshold .............................................................................................. 113 +7.1.2 Employee Human Factor Reporting and Notification Requirements .................... 113 +7.1.3 Coexistent Reporting Requirements ...................................................................... 113 +7.2 General Instructions and Interpretations ...................................................................... 114 +7.2.1 Identification of Train Accident/Incident .............................................................. 114 +7.2.2 Classification of Train Accident/Incident .............................................................. 114 +7.2.3 Calculating Costs ................................................................................................... 114 +7.2.4 Joint Operations ..................................................................................................... 115 +7.2.5 Responsibility for Reporting Multiple Consist Accidents ..................................... 115 +7.2.6 Responsibility for Reporting Accidents on Industry Track ................................... 115 +7.2.7 Reporting Exceptions ............................................................................................. 115 +7.3 Instructions for Completing Form FRA F 6180.54 ..................................................... 116 +7.4 Questions and Answers on Rail Equipment Accident Reporting ................................ 131 +7.5 Common Reporting Errors ........................................................................................... 136 +8. Form FRA F 6180.81 - Employee Human Factor Attachment ............................................. 137 +8.1 Requirement ................................................................................................................. 137 +8.2 General Instructions and Interpretations ...................................................................... 137 +8.3 Submission ................................................................................................................... 138 +9. Form FRA F 6180.78 - Notice to Railroad Employee Involved in Rail Equipment +Accident/Incident Attributed to Employee Human Factor: Employee Statement +Supplementing Railroad Accident Report ............................................................................ 139 +9.1 Requirement ................................................................................................................. 139 + + + +vii +9.1.1 Employee Action upon Receipt of Notification ..................................................... 140 +10. Forms FRA F 6180.57 - Highway-Rail Grade Crossing Accident/Incident Report & FRA F +6180.150 – Highway User Injury Inquiry Form ................................................................... 141 +10.1 Requirement ................................................................................................................. 141 +10.2 Additional Requirements ............................................................................................. 141 +10.3 General Instructions and Interpretations ...................................................................... 142 +10.4 Instructions for Completing Form FRA F 6180.57 ..................................................... 144 +10.5 Questions and Answers ................................................................................................ 158 +10.6 Common Reporting Errors ........................................................................................... 159 +10.7 Requirements for Form FRA F 6180.150 .................................................................... 160 +10.8 Instructions for Completing Form FRA F 6180.150 ................................................... 162 +11. Form FRA F 6180.56 - Annual Railroad Report of Employee Hours and Casualties, by State +............................................................................................................................................... 164 +11.1 Requirement ................................................................................................................. 164 +11.2 General Instructions and Interpretations ...................................................................... 164 +11.3 Instructions for Completing Form FRA F 6180.56 ..................................................... 164 +12. Supplemental Information: Contractors; Commuter and Other Passenger Rail Operations 166 +12.1 General ......................................................................................................................... 166 +12.2 Contractors ................................................................................................................... 166 +12.2.1 Contractors – non-railroad employees ................................................................... 166 +12.2.2 Contractors – railroad employees .......................................................................... 166 +12.3 Train Operations .......................................................................................................... 167 +12.3.1 Performed by Railroad ........................................................................................... 167 +12.3.2 Performed by Contractor ........................................................................................ 167 +12.3.3 Form 6180.55 ......................................................................................................... 168 +12.3.4 Form 6180.55a ....................................................................................................... 169 +12.3.5 Form 6180.54 ......................................................................................................... 169 +12.3.6 Form 6180.57 ......................................................................................................... 169 +13. Form FRA F 6180.107 - Alternative Record for Illnesses Claimed to be Work-Related .... 171 +13.1 Purpose ......................................................................................................................... 171 +13.2 Provision ...................................................................................................................... 171 +13.3 Questions and Answers ................................................................................................ 173 +Index +Appendices +FRA Guide for Preparing Accident/Incident Reports +1 +Executive Summary +Executive Summary +In 1910, Congress enacted the Accident Reports Act, Public Law No. 165, recodified at +49 U.S.C. §§ 20901–20903, as amended. The Accident Reports Act, as amended, requires, in +part, that railroad carriers file with the Secretary of Transportation reports on “all accidents and +incidents resulting in injury or death to an individual or damage to equipment or a roadbed +arising from the carrier’s operations during the month” (emphasis added). The Secretary of +Transportation subsequently delegated the authority to carry out the Accident Reports Act to the +Federal Railroad Administration (FRA). 49 U.S.C 103(c)(1); 49 CFR 1.49(c)(11). The +accident/incident reporting regulations at 49 CFR Part 225 were originally issued pursuant to the +Accident Reports Act of 1910. +Sixty years later, Congress enacted the Federal Railroad Safety Act of 1970. Public Law No. 91- +458, recodified primarily at 49 U.S.C. chapter 201, with penalty provisions in 49 U.S.C. chapter +213, as amended. FRA’s accident/incident reporting requirements, 49 CFR Part 225, are +currently issued under the dual statutory authority of the Accident Reports Act of 1910 and the +Federal Railroad Safety Act of 1970. +On December 29, 1970, Congress enacted the Occupational Safety and Health Act (OSH Act). +While the OSH Act gives the Secretary of Labor a broad, general authority to regulate working +conditions that affect the occupational safety and health of employees, it also recognizes the +existence of similar authority in other Federal agencies. Section 4(b)(1) of the OSH Act provides +that the OSH Act shall not apply to working conditions to which another Federal agency +exercises statutory authority to prescribe or enforce standards or regulations affecting +occupational safety or health. The OSH Act also requires that the Secretary of Labor issue rules +to develop and maintain an effective program of collection, compilation, and analysis of +occupational safety and health statistics. This data is compiled in a national database by the +Department of Labor (DOL) and used to chart the magnitude and nature of occupational injury +and illness problems across the country. +Because FRA exercises statutory authority to prescribe and enforce standards and regulations for +all areas of railroad safety under the Federal Railroad Safety Act of 1970, the Occupational +Safety and Health Administration’s (OSHA) jurisdiction may be preempted by FRA under +section 4(b)(1) of the OSH Act with regard to certain matters related to railroad safety. See +Policy Statement asserting FRA jurisdiction over matters involving the safety of railroad +operations, 43 FR 10584 (March 14, 1978). With respect to employee injury and illness +recordkeeping, however, the Occupational Safety and Health Review Commission (OSHRC) +ruled that employee injury and illness recordkeeping does not come within the purview of +section 4(b)(1) of the OSH Act and, therefore, OSHA’s jurisdiction has not been displaced by +FRA’s recordkeeping regulations. Secretary of Labor v. Conrail (OSHRC Docket No. 80-3495, +1982). Consequently, a railroad over which FRA exercises jurisdiction must comply with the +employee injury and illness recordkeeping requirements promulgated by both FRA and OSHA. +Nevertheless, because FRA’s employee injury and illness recordkeeping/reporting requirements +employ equivalent standards to those promulgated by OSHA, OSHA does not require railroad +FRA Guide for Preparing Accident/Incident Reports +2 +Executive Summary +carriers to maintain OSHA records in addition to FRA records. Rather, railroad carriers are only +required to record and report employee injuries and illnesses to FRA in accordance with FRA’s +regulations. See 29 CFR § 1904.3. +Consequently, FRA’s accident/incident reporting regulations that concern railroad occupational +casualties should be maintained, to the extent practicable, in general conformity with OSHA’s +recordkeeping and reporting regulations to permit comparability of data on occupational +casualties between various industries, to allow integration of railroad industry data into national +statistical databases, and to improve the quality of data available for analysis of casualties in +railroad accidents/incidents. FRA makes all employee injury and illness data available to OSHA +for use in its complementary program of regulation and provides the data to the Bureau of Labor +Statistics each year. +In order to have a database that allows accurate comparison between industries, the rules that +FRA uses must be modified whenever OSHA makes significant changes that affect the number +and types of work-related deaths, injuries, and illnesses for which records are to be maintained, +and the manner in which these are to be classified. Such a change occurred for the first time +(since OSHA’s original reporting requirements were implemented in 1971) on January 1, 2002, +when revised OSHA recordkeeping requirements became effective. In response, FRA amended +its own accident/incident reporting rules, effective May 1, 2003, to conform with OSHA’s +amended rules in addition to making other miscellaneous amendments. +FRA now finds it necessary to make appropriate changes to its regulations in response to issues +identified by FRA in its administration of the current accident/incident recordkeeping and +reporting program. Specifically, FRA is amending its accident/incident reporting regulations in +order to: +• Better conform certain of the regulations’ definitions to those set forth in 49 U.S.C. +20102, as amended. +• Require the reporting and recording of certain suicide data. +• Require the reporting of longitude and latitude for trespasser casualties and reportable rail +equipment accidents. +• Include a comprehensive list of accident/incident reporting exceptions. +• Allow for consolidated accident/incident reporting by integrated railroad systems. +• Add necessary definitions. +• Set system standards for the electronic retention of accident/incident reporting records by +railroads. +• Clarify ambiguous definitions and regulations. +• Update regulatory text, as applicable. +• Enhance the quality of information available for railroad casualty analysis. +FRA Guide for Preparing Accident/Incident Reports +3 +Executive Summary +• Limit which highway-rail grade crossing fatalities must be telephonically reported to the +National Response Center (NRC). +• Amend the Telephonic Reporting Chart to conform to the regulatory text. +• Clarify and refine the requirements and criteria for using and retaining Form FRA +F6180.107, “Alternative Record for Illnesses Claimed to be Work-Related,” and the +alternative railroad-designed record. +• Eliminate the oath and notarization requirements on Form FRA F6180.55, “Railroad +Injury and Illness Summary.” +• Allow for the electronic submission of Form FRA F 6180.55, “Railroad Injury and Illness +Summary.” Allow for submission of Form FRA F 6180.55 and Form FRA F 6180.81 in +.pdf or .jpg format. +• Set forth record retention requirements for certain accident/incident recordkeeping and +reporting records not previously addressed. +• Set forth requirements for electronic accident/incident recordkeeping systems. +• Update FRA’s address information. +• Require railroads to try to obtain documentation regarding: cause of death for trespassers +and, in particular, suicides. +• Require railroads to obtain information about the nature and severity of highway-rail +grade crossing casualties by contacting highway users in writing using the Form FRA F +6180.150, “Highway User Injury Inquiry Form,” and, if unsuccessful, by phone. +• Set forth the requirements for the Form FRA F 6180.150 and the accompanying cover +letter (See sample cover letter contained in Appendix N). +In addition to amending its regulations, FRA is revising the FRA Guide for Preparing +Accident/Incident Reports (FRA Guide), certain accident/incident recordkeeping and reporting +forms, and its companion guide: Guidelines for Submitting Accident/Incident Reports by +Alternative Methods (Companion Guide). +Please refer to http://safetydata.fra.dot.gov/OfficeofSafety and click on “Click Here for Changes +in Accident/Incident Recordkeeping and Reporting” for updated information regarding changes. +FRA Guide for Preparing Accident/Incident Reports +4 +Accident/Incident Recordkeeping and Reporting Requirements +1. Overview of Railroad Accident/Incident Recordkeeping and Reporting +Requirements and Miscellaneous Provisions and Information +1.1 General +This chapter provides an overview of FRA’s accident/incident recordkeeping and reporting +requirements. +1.1.1 Purpose of the FRA Guide for Preparing Accident/Incident Reports +The FRA Guide provides instructions and guidance associated with FRA’s accident/incident +recordkeeping and reporting requirements. The FRA Guide is a supplement to Part 225 and is +not a replacement for the regulatory text. Federal railroad safety regulations at § 225.11 and +§ 225.21 require that each railroad subject to Part 225 complete reports and records of +accidents/incidents in accordance with the current FRA Guide. +1.1.2 Applicability +To determine if Part 225 applies to a railroad, in whole or in part, see § 225.3, “Applicability.” +See also “Extent and Exercise of FRA’s Safety Jurisdiction,” Part 209, Appendix A, and +“Statement of Agency Policy Concerning Waivers Related to Shared Use Trackage or Rights-ofWay by Light Rail and Conventional Operations,” Part 211, Appendix A. +1.1.3 Consolidated Reporting +Under certain circumstances, a parent corporation with commonly controlled railroad carriers +that operate as a single, seamless, integrated U.S. rail system, may be considered by FRA as a +single railroad for purposes of Part 225 compliance. See § 225.6. +1.2 Major Recordkeeping and Reporting Requirements Under Part 225 +There are many recordkeeping and reporting requirements arising from Part 225. The following +is a summarized listing of FRA’s major recordkeeping and reporting requirements for all +railroads subject to Part 225. This listing is a summary only and does not replace the regulatory +text or requirements set forth in the Code of Federal Regulations. Narratives are included when +supplemental information, requirements, or guidance is warranted. +1.2.1 Telephonic Reporting +Railroads must make immediate telephonic notification of certain accidents/incidents. See +§ 225.9. For supplemental information, see Appendix M. +FRA Guide for Preparing Accident/Incident Reports +5 +Accident/Incident Recordkeeping and Reporting Requirements +Additional Telephonic Reporting Requirements Related to Accidents. There are four additional +sections in chapter II of 49 CFR that require telephonic reporting related to accidents. These +sections are listed below for informational purposes. +49 CFR 229.17 – Railroad Locomotive Safety Standards; Accident reports. Under this +section, in the case of an accident due to a failure from any cause of a locomotive or any part +or appurtenance of a locomotive, or a person coming in contact with an electrically energized +part or appurtenance, which results in serious injury (i.e., an injury that results in the +amputation of any appendage, the loss of sight in an eye, bone fracture, or confinement in a +hospital for a period of more than 24 consecutive hours) or death of one or more persons, the +railroad operating the locomotive must immediately report the accident by toll-free telephone +number: (800) 424-0201. +49 CFR 233.5 – Signal Systems Reporting Requirements; Accidents resulting from signal +failure. Under this section, a railroad must report to FRA within 24 hours, by toll-free +telephone number: (800) 424-0201, whenever it learns of the occurrence of an +accident/incident arising from the failure of an appliance, device, method, or system to +function or indicate as required by Part 236 that results in a more favorable aspect than +intended or other condition hazardous to the movement of a train. +49 CFR 234.7 – Grade Crossing Signal System Safety; Accidents involving grade crossing +signal failure. Under this section, a railroad must report to FRA every impact between ontrack railroad equipment and an automobile, bus, truck, motorcycle, bicycle, farm vehicle, or +pedestrian at a highway-rail grade crossing involving an activation failure. Notification shall +be provided to the National Response Center within 24 hours of occurrence at: (800) 424- +0201. +49 CFR 219.209(a) – Control of Alcohol and Drug Use; Reports of tests and refusals. +Under this section, a railroad that has experienced a qualifying accident/incident or other +event for which specimens were obtained must provide immediate telephonic notification +summarizing such events to the National Response Center at: (800) 424-8802 and to FRA’s +Office of Railroad Safety at: (202) 493-6313. +1.2.2 Annual Reports to FRA +Railroads must submit to FRA an annual report of employee hours worked and casualties by +State on Form FRA F 6180.56. The report must be included with the railroad’s monthly +submission for December. See § 225.21(d). +1.2.3 Monthly Reports to FRA +Railroads must submit to FRA monthly reports of all reportable accidents/incidents. See +§ 225.11. The railroad’s report must be submitted within 30 days following the month to which +it applies. The report shall be made on the forms prescribed in § 225.21 in hardcopy or by means +FRA Guide for Preparing Accident/Incident Reports +6 +Accident/Incident Recordkeeping and Reporting Requirements +of optical media or electronic submission via the Internet in accordance with § 225.37, approved +by FRA. +The Form FRA F 6180.55 (Railroad Injury and Illness Summary) must be submitted each month, +even if there were no reportable accidents/incidents during the month. Corresponding forms +FRA F 6180.55a, FRA F 6180.54, FRA F 6180.81, and FRA F 6180.57 must also be completed +and submitted for reportable accidents/incidents occurring during the report month. +Monthly reports of accidents/incidents (which are being submitted as hardcopies) and related +correspondence, and optical media are to be addressed to: +FRA Project Office +2600 Park Tower Drive, Suite 1000 +Vienna, VA 22180 +Please refer to http://safetydata.fra.dot.gov/OfficeofSafety and click on “Click Here for Changes +in Accident/Incident Recordkeeping and Reporting” for updated information. +Primary Groups of Reportable Accidents/Incidents. Reportable accidents/incidents are divided +into three major groups for reporting purposes. See § 225.19. These groups correspond to +different FRA forms and are as follows: +1. Group I – Highway-rail grade crossing accident/incident (Form FRA F 6180.57) +Note: For highway-rail grade crossing accidents/incidents only, railroads are required to +contact potentially injured highway users involved in a highway-rail accident/incident, by +mail, using a Highway User Injury Inquiry Form record (Form FRA F 6180.150) and, if +unsuccessful, by phone. The Form FRA F 6180.150 shall be sent with a cover letter +drafted in accordance with the requirements set forth in the FRA Guide and a +preaddressed, prepaid return envelope. Railroads are to use the information gathered to +comply with FRA’s accident/incident reporting and recording requirements. +2. Group II – Rail equipment accident/incident (Form FRA F 6180.54) +Note: Accident reports citing an employee human factor as a cause must be accompanied +by an Employee Human Factor Attachment (Form FRA F 6180.81). In addition, each +implicated employee must be provided with a Notice to Railroad Employee Involved in +Rail Equipment Accident/Incident Attributed to Employee Human Factor (Form FRA +F 6180.78). +Note: In preparing a rail equipment accident/incident report, the railroad must inquire +into the possible involvement of alcohol/drug use or impairment and report such +information to FRA as required by § 225.18. +FRA Guide for Preparing Accident/Incident Reports +7 +Accident/Incident Recordkeeping and Reporting Requirements +3. Group III – Death, injury, or occupational illness (Form FRA F 6180.55a) +Note: In preparing a Form FRA F 6180.55a for a fatality involving a trespasser, the +railroad is responsible for acquiring additional documentation with regard to cause of +death. +The specific requirements for completing the various types of accident/incident forms are +described in the chapters addressing the individual forms. A single form is usually sufficient to +report most events; however, there are situations when multiple report forms are necessary. An +example is a highway-rail grade crossing collision resulting in reportable injuries. An accident +of this type would require the completion of a Form FRA F 6180.55a for each FRA reportable +injury sustained, and a Form FRA F 6180.57. In addition, if reportable on-track equipment and +track damage in this accident exceeds the current monetary threshold for train accidents, then a +Form FRA F 6180.54 must also be prepared. + +Reports are to be arranged in the following order: +1. Form FRA F 6180.55 +2. Form FRA F 6180.55a +3. Form FRA F 6180.54 (Attach Form FRA F 6180.81 when applicable) +4. Form FRA F 6180.57 +5. Form FRA F 6180.56 (December report only) +1.2.4 Late, Amended, and Updated Reports +Late Reports. When a railroad finds that an accident/incident was omitted from a previous +month’s submission, a completed report and a letter explaining the reason for the late filing are +to be sent to FRA. The late report and letter are to be forwarded no later than the next monthly +filing. See § 225.13. +Late reports are not to be attached to or included in counts of reports prepared for the current +month. Any late report is to be filed for the year and month in which the original event occurred. +Take, for example, the following scenario: An employee sustains a minor injury in June, but +none of the reporting criteria are satisfied. He or she is reexamined in July because of +complications and is instructed to take prescription medication and remain off work for 3 days. +In this instance, a late report for the month of June must be prepared. +Amended Reports. When a railroad discovers that an accident/incident has been improperly +reported on a previous month’s submission, then an amended report must be submitted to FRA +with a letter of explanation. The amended report and letter are to be forwarded no later than the +next monthly filing. See § 225.13. The report should have the notation “Amended Report” at +the top of the form, and items being changed are to be circled in red. +FRA Guide for Preparing Accident/Incident Reports +8 +Accident/Incident Recordkeeping and Reporting Requirements +When a railroad discovers that a report has been erroneously submitted for a non-reportable +event, a copy of the report is to be submitted with the notation “DELETE – Non-reportable” in +red. Those who submit reports electronically using Accident/Incident Report Generator (AIRG) +software provided by FRA must print out a copy of the report that is to be deleted as nonreportable, and note in red “DELETE – Non-reportable,” and submit this copy to FRA. +Close of the Calendar Year. FRA publishes final accident/incident counts following the +conclusion of a reporting year. Submission of the December report concludes the reporting year. +However, railroads are still required to provide to FRA late reports of unreported +accidents/incidents, and amended reports that correct or update earlier submissions. +FRA will receive and process late and amended reports for a period of 5 years following the +calendar year to which an amended or late report relates. This accommodation does not relieve a +railroad of its obligation to promptly file a late or amended report upon becoming aware of an +omission, mistake or otherwise, in accordance with § 225.13 and the late and amended reporting +guidance set forth in this Guide. FRA will continue to publish its Annual Report of Railroad +Safety Statistics; because the accident/incident databases will remain open for updating for a +period of 5 years, the statistics published in the Annual Report will be subject to change. The +authoritative source for rail safety statistics will now be the Office of Railroad Safety’s Web site: +http://safetydata.fra.dot.gov/OfficeofSafety. +To clarify: +(1) Railroads must file amended reports with FRA (unless otherwise specified in paragraph 3 +below) through December 1 of the year following the year in which the accident/incident +was initially reported. +(2) Railroads must file late reports with FRA for 5 years (following the end of the calendar +year to which the accident/incident relates) for all unreported accident/incidents. +(3) Railroads must file amended reports for 5 years after the end of the calendar year to +which they relate for the following changes: +a) Railroad Injury and Illness Summary (Continuation Sheet) (Form FRA F 6180.55a): +Change from Injury to Fatality (only if the injured person dies within 180 days from +the date of the injury). +b) Highway-Rail Grade Crossing Accident/Incident Report (Form FRA F 6180.57): +Change from Injury to Fatality, change in Grade Crossing ID, change in the Rail +Equipment Involved. +c) Rail Equipment Accident/Incident Report (Form FRA F 6180.54): Change from +Injury to Fatality, change in Grade Crossing ID, Rail Equipment Involved, Primary +Cause Code, Contributing Cause Code, Type of Territory, Number of Cars Releasing +Hazardous Material or Evacuation. +FRA Guide for Preparing Accident/Incident Reports +9 +Accident/Incident Recordkeeping and Reporting Requirements +d) Railroad Injury and Illness Summary (Continuation Sheet) (Form FRA F 6180.55a): +A significant change in the number of reportable days away from work or days +restricted; a significant change is at least a 10% variance in the number of actual +reportable days away from work or days restricted compared to the number of days +already reported. +e) Railroad Equipment Accident/Incident Report (Form FRA F 6180.54): A significant +change in the damage costs for reportable rail equipment accidents/incidents; a +significant change is a 10% variance between the damage amount reported to FRA +and the current cost figures. +Computer Submission of Reports. In order to assist railroads in maintaining and submitting +records and reports required by this rule, FRA developed the AIRG software package for +personal computers that have Microsoft Windows-based operating systems. See 61 FR 59485 +(Nov. 22, 1996). FRA will provide copies of this software free of charge upon request by the +reporting officer. You can find information on how to obtain AIRG by referring to +http://safetydata.fra.dot.gov/OfficeofSafety and clicking on “Click Here for Changes in +Accident/Incident Recordkeeping and Reporting.” From that page, click on the +Forms/Publications tab and then click on the link “Current Railroad Accident/Incident +Recordkeeping and Reporting Procedures.” Finally, click the link in Answer 5 that says “Click +here for AIRG Request Form.” You can also access this information by clicking on the +Forms/Publications tab and clicking the link for FRA Forms. From the FRA Forms page, choose +Accident Incident Report Generator Request Form, then download and print. See Appendix K to +this FRA Guide. +Applicable Reporting/Recording Standards/Forms. When determining whether (and which +form(s) to use) to report/record an accident/incident, a railroad must use the forms and standards +that were in effect on the date that the accident/incident occurred. Therefore any reports, +including late reports, or records created for an accident/incident that occurred prior to June 1, +2011, are subject to the standards (and required to use the forms) that were in effect prior to the +Miscellaneous Amendment to the FRA’s Accident/Incident Reporting Requirements; Final Rule, +which became effective June 1, 2011. 75 FR 68862, November 9, 2010. When amending or +correcting a report/record after June 1, 2011, for an accident/incident that occurred prior to +June 1, 2011, a railroad should simply amend or correct the report/record that was originally +created for the accident/incident. +1.2.5 Recordkeeping +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 employeereportable injury/illness. See §§ 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 7 +working days after receiving information or acquiring knowledge that an employee injury or +illness has occurred. See § 225.25(f). +FRA Guide for Preparing Accident/Incident Reports +10 +Accident/Incident Recordkeeping and Reporting Requirements +Note that for certain claimed occupational illness cases only, railroads may maintain an alternate +record (Form FRA F 6180.107 or the alternative railroad-designed record). See §§ 225.25(i) and +(j). +Make Available to Employees Copies of Forms or Records of Employee Injury or Illness. +Railroads must make available to an employee, upon request, a copy of the completed Railroad +Employee Injury and/or Illness Record (Form FRA F 6180.98) or the alternative railroaddesigned record, as well as a copy of forms or reports required to be maintained or filed under +Part 225 pertaining to the employee’s own work-related injury or illness. See § 225.25(c). +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 each reportable on-track accident/incident. +See §§ 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 +7 working days after receiving information or acquiring knowledge that a rail equipment +accident/incident has occurred. See § 225.25(f). +1.2.6 Access to Records +Access to Records and Reports. Railroads must provide to FRA access to records and reports +upon request within specified time limits. See §§ 225.25(g) and 225.35. +1.2.7 Posting of Injuries and Illnesses +Post Listing of All Injuries and Occupational Illnesses Reported to FRA. Railroads must post a +listing of all injuries and occupational illnesses reported to FRA as having occurred to employees +of an establishment, in a conspicuous location at that establishment, within 30 days after the +expiration of the month during which the injuries and illnesses occurred. Each monthly posting +shall remain continuously displayed for the next 12 consecutive months. If there are no +reportable injuries or occupational illnesses associated with an establishment for that month, the +posting must make reference to that fact. +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. See § 225.25(h)(15). See also § 225.5 for definition of “privacy concern +case.” +1.2.8 Record Retention +Retain Accident/Incident Records and Duplicates of Reports for Specified Periods of Time. +Railroads must retain accident/incident records and duplicates of reports for specified periods of +FRA Guide for Preparing Accident/Incident Reports +11 +Accident/Incident Recordkeeping and Reporting Requirements +time. See §§ 225.27(a)–(c). Electronic recordkeeping systems must conform to FRA’s +standards. See § 225.27(d). +1.2.9 Internal Control Plan +Adopt and Comply with an Internal Control Plan (ICP). Railroads must adopt and comply with +an ICP. See § 225.33. FRA believes that an ICP, as prescribed by § 225.33, best provides the +procedures necessary to ensure that complete, reliable, and accurate data is obtained, maintained, +and disclosed by the railroads. See Appendix I to this Guide for model ICPs. FRA +investigations have repeatedly found instances in which departments within an individual +railroad failed to provide to the railroad reporting officer information critical to determining +reportability, or information necessary for filing an accurate and complete report. +The ICP is a performance standard that ensures the accuracy of a process and, in this case, the +process is accident/incident reporting. The ICP dictates the necessity for communication within +each railroad to ensure that proper reporting will be accomplished. The ICP may vary in size, +from one that is a few pages for smaller railroads and shortlines to one of considerable size for +the major carriers. +The ICP challenges the railroads to develop a total quality management (TQM) system to ensure +that there are no errors in reporting. “No errors” means that all reportable accidents and +incidents are reported to FRA and that each report is accurately completed prior to submission to +FRA; in other words, a “zero tolerance” policy with respect to inaccurate reporting. TQM +focuses on continuous and incremental improvements of process performance. +The ICP addresses intimidation and harassment of any person calculated to prevent or discourage +such person from either receiving proper medical treatment for an injury/illness or from +reporting an accident, incident, illness, or injury. FRA is aware that many railroad employees +fail to disclose their injuries to the railroad or fail to accept reportable treatment from a physician +because they wish to avoid potential harassment from management or possible discipline that is +sometimes associated with the reporting of such injuries. FRA is also aware that in some +instances, supervisory personnel and mid-level managers are urged to engage in practices that +may undermine or circumvent the reporting of injuries and illnesses. Railroads must remain +proactive in accurate reporting of all reportable accidents, injuries, and illnesses, and must not +engage in practices that could manipulate reportability of these incidents. In some instances, +railroads report an injury or illness to FRA only after FRA inspectors make management aware +that a particular injury or illness was not reported. Many times, FRA inspectors conduct an +investigation pursuant to a complaint from an employee alleging that his or her injury/illness was +not properly reported or was not reported at all. Again, the railroad usually reports this +injury/illness to FRA only after FRA informs management of the situation. Each railroad shall +adopt and comply with a written ICP that shall be maintained at the office where the railroad’s +reporting officer conducts his or her official business. Each railroad shall amend its ICP, as +necessary, to reflect any significant changes to the railroad’s internal reporting procedures. The +ICP shall be designed to maintain absolute accuracy and shall include, at a minimum, each of the +11 components set forth in § 225.33(a)(1–11). +FRA Guide for Preparing Accident/Incident Reports +12 +Accident/Incident Recordkeeping and Reporting Requirements +1.3 Miscellaneous Provisions and Information +1.3.1 Assistance and Guidance +In deciding on the reportability of an accident/incident, or otherwise fulfilling the reporting +obligation, assistance may be obtained by contacting any of the regional offices or FRA +Headquarters as listed in Appendix G. +1.3.2 Copies of the Regulations +Copies of Federal regulations may be obtained by contacting the Superintendent of Documents, +Government Printing Office, Washington, DC 20402-9328 (telephone: 202-512-1803; +http://www.gpo.gov). +1.3.3 Reporting Decisions +Ordinarily, the reporting officer will decide whether an accident/incident is reportable. This +decision cannot be an arbitrary one, but must be based on a thorough review of all evidence, as +opposed to speculation, related to the accident/incident in question and must be in accordance +with the requirements of the accident reports statute (49 U.S.C. §§ 20901–20903), Part 225, and +the guidelines provided in this Guide. If you are certain that a particular situation is outside the +scope of the reporting requirements, then the basis on which this determination was made must +be thoroughly documented before the case may be omitted from the monthly submission. +Neither the fact that there were no witnesses to an accident/incident nor the refusal of the railroad +to accept responsibility for an event is grounds for failing to report. A report must be made +whenever there is credible information that a reportable situation may have occurred. Later, if it +is determined that the event was not reportable, a request to delete it from FRA’s files is to be +made. If there is any uncertainty as to whether to report an accident/incident, it is recommended +that a report be made. Later, as additional information is developed, or following consultation +with FRA Office of Safety Assurance and Compliance personnel, a request may be made to +delete the incident from the file. See § 225.17. +Note that FRA cannot delegate authority to decide matters of judgment when facts are in dispute. +In such cases, FRA will make the final decision as to reportability. In arriving at this decision, +FRA will review all investigatory material associated with the case, including, but not limited to, +the following: the initial report filed by the affected person, witness statements, transcripts of +hearings, medical records, time and attendance records, and the purpose of payouts made in +connection with the accident/incident. Based upon its review, FRA will determine whether the +injury or illness is accountable or reportable. +1.3.4 Claimed But Not Admitted Submissions +When facts affecting the reportability of a case are in dispute, a report may be filed with FRA as +“Claimed But Not Admitted.” An accident/incident reported under this provision is given +FRA Guide for Preparing Accident/Incident Reports +13 +Accident/Incident Recordkeeping and Reporting Requirements +special examination by FRA, but must still be recorded on the appropriate form and be included +as part of the report package for that month. A copy of all evidence relating to the event and a +letter summarizing the reasons why it should be excluded from the file must be provided. FRA +will examine all documentation. If the facts are sufficient to support the railroad’s position, the +case will not be charged against the railroad; otherwise, it will be added to the file. In either +case, FRA will advise the railroad of the agency’s determination. It is suggested that prior to +making such a filing that FRA be contacted by telephone (FRA telephone numbers are listed in +Appendix G) to discuss the overall merits of the case. +1.3.5 Penalties +Any person (including a railroad and any manager, supervisor, official, or other employee or +agent of a railroad) who violates any requirement of Part 225 or causes the violation of any such +requirement is subject to a civil penalty. The person may also be subject to criminal penalties. +FRA may issue these civil penalties pursuant to 49 U.S.C. §§ 21301, 21302, and 21304. Also +see Appendix A to Part 209 of the CFR for other sanctions. Criminal penalties and/or +imprisonment provided for in 49 U.S.C. § 21311 may also be imposed on any individual who +knowingly and willfully makes a false entry in a record or report required by the accident +reporting regulations or other regulations issued under 49 U.S.C. chapter 201; who destroys, +mutilates, changes, or falsifies such a record or report; who does not enter required specified +facts in a such record or report; who makes or preserves such a record or report in violation of +such a regulation or order; or who files a false record or report with FRA. FRA wants to make +clear to all railroads that the agency will be diligent in its efforts to ensure that all parties adhere +to and comply with the intimidation and harassment policy in the ICP. It should be noted that +FRA will be aggressive in pursuing enforcement sanctions against any person found to be in +violation of the railroad’s harassment and intimidation policy. +1.3.6 Public Examination and Use of Reports +Accident reports may be inspected at FRA’s Office of Railroad Safety. FRA will provide copies +of accident/incident reports under the Freedom of Information Act (FOIA) upon written request. +Written requests for copies of accident/incident reports should be accompanied by the +appropriate fee and addressed to: +Freedom of Information Act Coordinator + Office of Chief Counsel + Federal Railroad Administration + U.S. Department of Transportation + RCC-10, Mail Stop 10 + West Building 3rd Floor, Room W33-437 + 1200 New Jersey Avenue, SE. + Washington, DC 20590 +FRA Guide for Preparing Accident/Incident Reports +14 +Accident/Incident Recordkeeping and Reporting Requirements +Each request should be clearly marked “FOIA Request for Accident/Incident Report.” See +§ 225.7. +1.4 Questions and Answers +Q1. We are required to post a listing of all reported injuries and occupational +illnesses to employees at that establishment. Although this listing does not +contain personal identifiers, e.g., names, Social Security numbers, it may be +possible to ascertain the identity of the person, particularly in small +establishments, based on the information listed. There may be conditions +that are reportable about which the employee or the railroad is especially +sensitive regarding the information being displayed in such a fashion. Are +there any exceptions to this requirement? +A1. Yes. The purpose of this listing is to raise the awareness of employees at the +establishment of the hazards that exist in the workplace, and to include the +employees in the reporting process. It was neither FRA’s intent nor its desire to +have conditions that an employee would prefer to keep confidential displayed on +this listing. Section 225.25(h)(15) permits a railroad not to post information on an +occupational injury or illness case that is a “privacy concern case.” This includes +cases in which the employee independently and voluntarily requests in writing to +the railroad reporting officer that his or her injury or illness not be posted. (See +§ 225.5 for full definition of privacy concern case.) +Q2. In a single large facility, such as a major yard, must a railroad maintain the +records and reports required by this regulation at each individual location +where the employees of that facility report to work? +A2. No. FRA has always exercised a certain amount of flexibility concerning the +locations where these records must be kept. FRA does not require that separate +records be maintained for the various distinct activities that take place in a large +facility. Work locations that are near each other can be treated as a single +establishment when they are part of a larger facility at that location. Permanent +work sites that are physically distant from each other, e.g., in another city, are +separate establishments and are covered by the term, “single physical location,” +contained in this FRA Guide. See §§ 225.25(g), 225.27 and 225.35 for FRA’s +requirements related to record maintenance and access. +Q3. Are there any particular forms that must be used to record injuries, illnesses, +accidents and/or incidents? +A3. For recording an accountable or reportable injury or illness for a railroad +employee, either the Railroad Employee Injury and/or Illness Record (Form FRA +F 6180.98), or an alternative railroad record can be used. If the alternative record +FRA Guide for Preparing Accident/Incident Reports +15 +Accident/Incident Recordkeeping and Reporting Requirements +is used, the regulation states that it “shall contain all of the information required +on the Railroad Employee Injury and/or Illness Record.” See § 225.25(b). +For initially recording an accountable or reportable rail equipment +accident/incident, either the Initial Rail Equipment Accident/Incident Record +(Form FRA F 6180.97) or an alternative railroad-designed record can be used. If +the alternative record is used, the regulation states that it “shall contain all of the +information required on the Initial Rail Equipment Accident/Incident Record.” +See § 225.25(e). +Q4. I currently maintain a database of all conditions reported by employees, +passengers and others, regardless of severity or consequences. A lot of these +injuries require no treatment, or only need first aid. I document every +potential case, just in case it later becomes reportable. Does the requirement +to record entries involving employees on the Form FRA F 6180.98 or an +alternative railroad-designed form make it necessary for me to have two logs, +one for “accountable” injuries to employees and a separate record for +others? If possible, I would like to consolidate all of my records into a single +file. +A4. No, the alternative railroad-designed record may be used to record the additional +information described. The regulation only requires that you maintain certain +information about your employees which FRA inspectors may ask to see in order +to verify compliance. For example, the regulation does not require that Form +FRA F 6180.98 contain information about contractors or volunteers. You may +include records for any class of person in your file, and you may also include +additional information beyond what is required. To avoid any confusion about +those entries that are required by the regulation and additional records you may +choose to include in your file, there must be a means of identifying the two +categories incorporated in your system design. These same general guidelines +also apply for alternative railroad-designed Initial Rail Equipment +Accident/Incident Record, Form FRA F 6180.97, described in Chapter 5. +Q5. Does this mean we can maintain this information electronically? If so, what +are the requirements for centralized processing of this data? +A5. Yes. FRA addresses electronic record retention at § 225.27, where FRA sets forth +minimum system requirements for the electronic retention of accident/incident +records. Note the exception, however, with respect to FRA Form F 6180.55, +“Railroad Injury and Illness Summary.” If a railroad submits FRA Form +F 6180.55 to FRA electronically, the railroad must maintain a hard copy of the +original signed form and the electronic notification of receipt of the form. See +§ 225.27(c). +FRA Guide for Preparing Accident/Incident Reports +16 +Definitions +2. Definitions +Section 225.5 contains definitions as used in Part 225. Section 225.19 sets forth which +accidents/incidents are reportable. The definitions and guidance listed below are supplemental to +the definitions found in Part 225, and are provided to assist railroads in the context of +accident/incident reporting. +Casualty. A reportable death, injury, or illness arising from the operation of a railroad. +Casualties may be classified as either fatal or nonfatal. +Classification of Persons. +Worker on Duty–Railroad Employee (Class A). An individual who receives direct +monetary compensation from the railroad. Whether the worker is under pay will generally, +but not always, be the deciding factor for determining “on duty” status. An employee who is +not under pay, but engaged in work-related activity is “on duty.” +Note: An employee in deadhead transportation is considered an “employee on duty,” +regardless of the mode of transportation. Deadhead transportation occurs when an employee +is traveling at the direction or authorization of the carrier to or from an assignment, or the +employee is involved with a means of conveyance furnished by the carrier or compensated +for by the carrier. +Exception: If an employee is housed by the carrier in a facility such as a motel, and part of +the service provided by the motel is the transportation of the employee to and from the work +site, any reportable injury to the employee during such transit is to be recorded as that of a +Railroad Employee Not On Duty (Class B). Likewise, if the employee decides upon other +means of transportation that is not authorized or provided, and for which he would not have +been compensated by the railroad, the injury is not considered work-related. +Railroad Employee Not On Duty (Class B). An individual who receives direct monetary +compensation from the railroad and who is on railroad property for purposes connected with +his or her employment or with other railroad permission but is not “on duty.” +Worker on Duty–Contractor (Class F). An employee of a contracting agency for a +railroad who does not receive direct monetary compensation from the railroad and who, +while on railroad property, is engaged in either 1) the operation of on-track equipment, or 2) +any other safety-sensitive function for the railroad as defined in § 209.303. +Section 209.303 describes “safety-sensitive functions” as applying to the following +individuals: +FRA Guide for Preparing Accident/Incident Reports +17 +Definitions +(a) Railroad employees who are assigned to perform service subject to the Hours of Service +Act (45 U.S.C. 61-64b2 +) during a duty tour, whether or not the person has performed or is +currently performing such service, and any person who performs such service; + (b) Railroad employees or agents who: +(1) Inspect, install, repair, or maintain track and roadbed; +(2) Inspect, repair, or maintain, locomotives, passenger cars, and freight cars; +(3) Conduct training and testing of employees when the training or testing is required by +the FRA’s safety regulations; or +(c) Railroad managers, supervisors, or agents when they: +(1) Perform the safety-sensitive functions listed in paragraphs (a) and (b) of this section; +(2) Supervise and otherwise direct the performance of the safety-sensitive functions listed +in paragraph (a) and (b) of this section; or +(3) Are in a position to direct the commission of violations of any of the requirements of +parts 213 through 236 of this title. +Note: There have been amendments and additions to the set of railroad safety regulations +found in the CFR; thus, the term “safety-sensitive functions” in § 209.303(c)(3) is interpreted +to include railroad managers, supervisors, etc., when they are in a position to direct the +commission of violations of any of the requirements of Parts 213 through 240 of 49 CFR. +Hours worked by persons in the Class F, G, H, and I categories are not reported on any FRA +form. +Contractor–Other (Class G). A contractor employee for a railroad who does not receive +direct monetary compensation from the railroad and who is not engaged in either 1) the +operation of on-track equipment, or 2) any other safety-sensitive function for the railroad. +Hours worked by this person are not reported on any FRA form. +Worker on Duty–Volunteer (Class H). A volunteer who does not receive direct monetary +compensation from the railroad and who is engaged in either 1) the operation of on-track +equipment, or 2) any other safety-sensitive function for the railroad as defined in § 209.303. +(See this list under “Worker on Duty–Contractor.”) + +2 + In 1994, the Hours of Service Act was repealed by Congress as part of a broad recodification of the Federal +transportation laws. See Act of July 5, 1994, Pub. L. No. 103-272, 108 Stat. 745. The Act, which had been in Title +45, was repealed and recodified primarily as Chapter 211 of 49 U.S.C. Congress made clear that the recodification +was not intended to make substantive changes in the affected laws, even though it altered their arrangement and +language in certain respects. See Pub. L. No. 103-272, § 6(a), 108 Stat. 1378; H.R. Rep. No. 180, 103d Cong., 1st +Sess. 1-5 (1993), reprinted in 1994 U.S. CODE CONG. & ADMIN. NEWS 818-822. +FRA Guide for Preparing Accident/Incident Reports +18 +Definitions +Hours worked by a “Worker on Duty–Volunteer” (Class H) are not reported on any FRA +form. + +Volunteer–Other (Class I). A volunteer who does not receive direct monetary +compensation from the railroad and who is not engaged in either 1) the operation of on-track +equipment, or 2) any other safety-sensitive function for the railroad as defined in +§ 209.303. Hours worked by this person also not reported on any FRA form. +Passengers On Trains (Class C). Persons who are on, boarding, or alighting railroad cars +for the purpose of travel. +Nontrespassers–On Railroad Property (Class D). Persons lawfully on that part of railroad +property that is used in railroad operation (other than those herein defined as employees, +passengers, trespassers, volunteers, or contractor employees), and persons adjacent to +railroad premises when they are injured as the result of the operation of a railroad. This class +also includes other persons on vessels or buses, whose use arises from the operation of a +railroad. +Nontrespassers–Off Railroad Property (Class J). An injury “off railroad property” +includes an injury resulting from an event, such as a derailment or collision, that begins on +railroad property but ends on public or private non-railroad property, so long as the injury is +incurred while the person is physically located off railroad property. Similarly, if a +derailment results in a release of hazardous materials onto public or private non-railroad +property and the hazardous material injures a “Nontrespasser” located on public or private +non-railroad property, the injury is reported as an injury to “Nontrespassers–Off Railroad +Property” (Class J). Conversely, injuries to nontrespassers occurring while on public or +private railroad property are reported as injuries to “Nontrespassers–On Railroad Property” +(Class D). +Trespassers (Class E). Persons who are on the part of railroad property used in railroad +operation and whose presence is prohibited, forbidden, or unlawful. Employees who are +trespassing on railroad property are to be reported as “Trespassers” (Class E). +Note: A person on a highway-rail grade crossing should not be classified as a Trespasser +(Class E) unless: 1) the crossing is protected by gates or other similar barriers, which were +closed when the person went on the crossing, or 2) the person attempted to pass over, under, +or between cars or locomotives of a consist occupying the crossing. A person or vehicle that +enters the crossing without a physical barrier (e.g., gates in a lowered position) is not +classified as a trespasser, even when the highway-rail grade crossing lights are activated or +other warning systems are functioning. The person would be classified as a nontrespasser. +FRA Guide for Preparing Accident/Incident Reports +19 +Definitions +Closed Crossing. A closed crossing is a location where a crossing has been physically +removed, or where rail operations, pathway traffic, or highway traffic is not possible. This +does not include crossings that are temporarily closed for repairs to the track structure, +crossing surface, or roadway approaches. Examples are locations where the crossing has +been permanently barricaded and crossing surface material removed; where the railroad +tracks have been cut or barricaded or physically removed; where a connecting turnout has +been removed; or where rail operations are not possible because the railroad tracks are paved +over, etc. Crossings along such inactive railroad lines are closed. +Temporary Barricaded Crossing. A highway-rail grade crossing that is temporarily +closed to highway users by using temporary methods to block highway traffic, such as +barrels. A temporary barricaded crossing does not constitute a “closed” crossing. +Consist Responsibility. The railroad employing the crewmembers operating the consist at +the time of the accident normally determines the consist owner for reporting purposes. An +exception to this rule is when a railroad is under contract to operate another railroad on an +ongoing basis. This situation often exists in connection with commuter operations where the +entity is known to the general public as the commuter authority, not the railroad under +contract (see Chapter 12 for additional guidance). +Collision. A collision is defined as an impact between on-track equipment consists while +both are on rails and where one of the consists is operating under train movement rules or is +subject to the protection afforded to trains. This definition includes instances where a portion +of a consist occupying a siding is fouling the mainline and is struck by an approaching train. +It does not include impacts occurring while switching within yards, as in making up or +breaking up trains, shifting or setting out cars, etc. Impacts of this type are to be classified as +“Other Impacts” accidents (Code “12” in Item 7 on Form F 6180.54), when all consists +involved are part of the switching movement. +The timetable, or schedule direction, should govern the classification of collisions when +either one of the trains or the locomotives is at rest, or when its incidental movement +temporarily differs from the schedule direction. +Head-On Collision. A collision in which the trains or locomotives, or electric multipleunit (EMU) or diesel multiple-unit (DMU) trains, involved are traveling in opposite +directions on the same track, provided that both consists have a locomotive (or EMU or +DMU trains). +Rear-End Collision. A collision in which the trains or locomotives (or EMU or DMU +trains) involved are traveling in the same direction on the same track, provided that both +consists have a locomotive (or EMU or DMU trains). +FRA Guide for Preparing Accident/Incident Reports +20 +Definitions +Side Collision. A collision at a turnout where one consist strikes the side of another +consist. +Raking Collision. A collision between parts or lading of a consist on an adjacent track, +or with a structure such as a bridge. +Broken Train Collision. A collision in which a moving train breaks into parts and an +impact occurs between these parts, or when a portion of the broken train collides with +another consist. +Note: The several parts of a broken train are not to be treated as separate consists for +reporting purposes. Information concerning such trains are to be reported on a +single form. +Railroad Crossing Collision. A collision between on-track railroad equipment at a point +where tracks intersect. +Costs and Reportable Damage. +Reporting Threshold. The amount of total reportable damage resulting from a train +accident which, if exceeded, requires the preparation and forwarding of Form FRA +F 6180.54 by the railroads involved. For accidents that occurred in calendar years +2002–2005, the reporting threshold was $6,700. For accidents that occurred in calendar +year 2006, the reporting threshold is $7,700; for accidents that occur in calendar year +2007, the reporting threshold is $8,200; for accidents that occur in calendar year 2008, +the reporting threshold is $8,900; and, for accidents that occur in calendar year 2010, the +reporting threshold is $9,200. Pursuant to § 225.19(e), the reporting threshold will be +revised annually according to the formula set forth in Appendix B to Part 225. Please +refer to http://safetydata.fra.dot.gov/OfficeofSafety and click on “Click Here for Changes +in Accident/Incident Recordkeeping and Reporting” for updated information. +Reportable Damage. Reportable damage includes labor costs and all other costs to +repair or replace in-kind, damaged on-track equipment, signals, track, track structures, or +roadbed. Reportable damage does not include the cost of clearing a wreck; however, +additional damage to the above-listed items caused while clearing the wreck is to be +included in the damage estimate. +Examples of other costs included in reportable damage are: 1) rental and/or operation of +machinery such as cranes, bulldozers, including the services of contractors, to replace or +repair the track right-of-way and associated structures; and 2) costs associated with the +FRA Guide for Preparing Accident/Incident Reports +21 +Definitions +repair or replacement of roller bearings on units that were derailed or submerged in +water. (Replacement costs include the labor costs resulting from a wheelset change out.) +Equipment Damage. All costs, including labor and material, associated with the repair +or replacement in-kind of on-track rail equipment. Trailers/containers on flatcars are +considered to be lading and damage to these is not to be included in on-track equipment +damage. Damage to a flatcar carrying a trailer/container is to be included in reportable +damage. +When on-track equipment is damaged beyond repair, the total reproduction cost of the +equipment, including betterments and additions, is to be calculated in accordance with +Rule 107 of the current edition of the field manual of the Association of American +Railroads (AAR) Interchange Rules. The total reproduction cost may be depreciated to +reflect the amount of usage to which the equipment has been subjected. Depreciation +percentages will be determined at 3 percent annually for a maximum of 30 years; +equipment over 30 years old will be valued at 10 percent of the total reproduction cost. +Replacement-in-kind costs for equipment damaged beyond repair is the result of these +calculations. +Track Damage. All costs, including labor and material, associated with the repair or +replacement in-kind of signals, track, track structures (including bridges or tunnels), +damaged equipment detectors (e.g., hot box detector), switches, or other electronic +equipment; or roadbeds that were damaged in a collision, derailment, or other reportable +event. +When track, signals, structures, etc., are damaged beyond repair, the current cost of new +materials is to be used. However, replacement of secondhand rail with secondhand rail +may be charged at the current cost of such rail. +When estimating damage costs, the labor costs to be reported are only the direct labor +costs to the railroad, e.g., hourly wages, transportation costs, and hotel expenses. The +cost of fringe benefits is excluded when calculating direct labor costs. Overhead is also +excluded when calculating damage costs due to the unacceptable non-uniform treatment +of overhead under the current process. +For services performed by a contractor, a direct hourly labor cost is calculated by +multiplying the contractor’s total labor hours charged to the railroad by the applicable +direct hourly wage rate for a railroad worker in that particular craft. However, if a +railroad cannot match the equivalent craft to the labor hours spent by a contractor, then +the railroad must use the loaded rate, i.e., the cost by hour for labor, fringe benefits, and +FRA Guide for Preparing Accident/Incident Reports +22 +Definitions +other costs and fees for services charged by the contractor for the tasks associated with +the repair of the track, equipment, and structures due to a train accident. +Derailment. A derailment occurs when on-track equipment leaves the rail for a reason other +than a collision, explosion, highway-rail grade crossing impact, etc. +Direct Train Control. This is an FRA umbrella term and refers to modern-day derivatives of +traditional timetable/train order methodology. These methods of control have greatly +modernized and simplified train operations by eliminating timetable schedules, train registers, +superiority, and the attendant array of complicated operating rules. These systems are predicated +on the train dispatcher having direct and continuous radio contact with all trains; hence the +informal name “radio train dispatching.” In place of the train order, there is a written document +known variously as a track warrant, Direct Traffic Control (DTC) clearance, Occupancy Control +System (OCS) clearance, track permit, Form D, etc. There are two basic DTC systems presently +in use on today’s railroads: one that uses fixed blocks (i.e., the limits are constant and are +identified both in the timetable and by wayside signs); and one that uses variable blocks (i.e., the +limits are not constant and are created by the train dispatcher for each train). +These systems are variously identified in the industry as: + + 1. Track Warrant Control (TWC) + 2. Direct Traffic Control (called Direct Train Control on some roads) (DTC) + 3. Form D Control System (DCS) + 4. Occupancy Control System (OCS) + 5. Manual Block System (MBS) + ________________ + (Note: these could all be considered standalone methods of operation and may be + shown as such.) +Drug/Alcohol Test. A drug/alcohol test produces a physical or chemical reaction by which a +substance may be detected or its properties ascertained, and includes both Federal and employerauthorized tests to determine alcohol or drug usage. A test performed under FRA requirements +is considered positive when the test result has been verified as positive by a medical review +officer and reported to the employer. A test performed under other authorization is considered +positive when the employer will defend the results if legally challenged. (Refer to 49 CFR +Part 219, Control of Alcohol and Drug Use, for additional information.) +First-Aid Treatment. Treatment that is limited to simple procedures used to treat minor +conditions, such as abrasions, cuts, bruises, and splinters. First-aid treatment is typically +confined to a single treatment and does not require special skills or procedures. First aid +treatment is specifically addressed in Chapter 6 of this Guide. +FRA Guide for Preparing Accident/Incident Reports +23 +Definitions +Hazardous Material. A substance or material, including a hazardous substance, which has been +determined by the Secretary of Transportation to be capable of posing an unreasonable risk to +health, safety, and property when transported in commerce, and which has been so designated. +See § 171.8. +Hazardous Material Residue. The hazardous material remaining in a packaging, including a +tank car, after its contents have been unloaded to the maximum extent practicable and before the +packaging is either refilled or cleaned of hazardous material and purged to remove any hazardous +vapors. +Additional guidance concerning Federal requirements as to the identification and shipment of +hazardous material can be found in 49 CFR Parts 100 to 180. +Miles Traveled. +Passenger-mile. The movement of a passenger for a distance of 1 mile. +Train-mile. The movement of a train for a distance of 1 mile. Mileage is not to be increased +because of the presence of multiple locomotives in the train. (See definition of “train.”) +Yard Switching Train-Mile. May be computed at the rate of 6 mph for the time actually +engaged in yard switching service (or any other method that will yield a more accurate count) +if actual mileage is not known. +Operation of a Railroad. Inclusive term used to describe all activities of a railroad related to +the performance of its rail transportation business. +Other Accidents. +Highway-Rail Grade Crossing Accident/Incident. Any impact between on-track railroad +equipment and a highway user at a highway-rail grade crossing. Highway-rail grade crossing +means: (1) a location where a public highway, road, or street, or a private roadway, including +associated sidewalks, crosses one or more railroad tracks at grade; or (2) a location where a +pathway explicitly authorized by a public authority or a railroad carrier that is dedicated for +the use of non-vehicular traffic, including pedestrians, bicyclists, and others, that is not +associated with a public highway, road, or street, or a private roadway, crosses one or more +railroad tracks at grade. The term “sidewalk” means that portion of a street between the curb +line, or the lateral line of a roadway, and the adjacent property line or, on easements of +private property, that portion of a street that is paved or improved and intended for use by +pedestrians. (See figure one below) The term “highway user” includes automobiles, buses, +FRA Guide for Preparing Accident/Incident Reports +24 +Definitions +trucks, motorcycles, bicycles, farm vehicles, pedestrians, and all other modes of surface +transportation motorized and un-motorized. All crossing locations within industry and rail +yards, ports, and dock areas are considered highway-rail grade crossings within the meaning +of the term. +The below illustration is intended to provide additional clarification regarding sidewalks +associated with highway-rail grade crossings. +Figure 1: Illustration of sidewalks associated with highway-rail grade crossings. +Obstruction Accident. An accident/incident in which a consist strikes: 1) a bumping post +or a foreign object on the track right-of-way; 2) a highway vehicle at a location other than a +highway-rail grade crossing site; 3) derailed equipment; or 4) a track motorcar or similar +work equipment not equipped with AAR couplers and not operating under train rules. +Explosion-Detonation. An accident/incident caused by the detonation of material carried or +transported by rail. A detonation occurs when a shock wave exceeds the speed of sound. +Explosions-detonations resulting from mishaps during loading or unloading operations, and +those caused by fire aboard on-track equipment, are included in this definition. +Fire or Violent Rupture. An accident/incident caused by combustion or violent release of +material carried by or transported by rail. Examples of this type include fuel and electrical +equipment fires, crankcase explosions, and violent releases of liquefied petroleum gas or +anhydrous ammonia. + +FRA Guide for Preparing Accident/Incident Reports +25 +Definitions +Other Impacts. An accident/incident, not classified as a collision, that involves contact +between on-track equipment. Generally, these involve single cars or cuts of cars that are +damaged during switching, train makeup, setting out, etc., operations. If both consists +contain a locomotive, an EMU locomotive, or a DMU locomotive, the event should be +classified as a collision between trains. +Other Accidents/Incidents. Events not classified as one of the preceding types. +On-Track Rail Equipment. +Equipment Consist. An equipment consist is a train, locomotive(s), cut of cars, or a single +car not coupled to another car or locomotive. +Car. A car is: +(1) Any unit of on-track equipment designed to be hauled by +locomotives, or +(2) Any unit of on-track work equipment such as a track motorcar, highway-rail vehicle, +push car, crane, or ballast tamping machine. +Locomotive. A locomotive is a piece of on-track equipment other than hi-rail, specialized +maintenance, or other similar equipment: +(1) With one or more propelling motors designed for moving other equipment; +(2) With one or more propelling motors designed to carry freight or passenger traffic or +both; or +(3) Without propelling motors but with one or more control stands. +Control Cab Locomotive. A locomotive without propelling motors but with one or more +control stands. Note: A control [cab] car locomotive is to be counted as a car and not as a +locomotive unit in the Rail Equipment Accident/Incident Report. +DMU Locomotive. A diesel-powered multiple-unit operated locomotive with one or more +propelling motors designed to carry passenger traffic. Note: A DMU locomotive is to be +counted as a car and not as a locomotive unit in the Rail Equipment Accident/Incident +Report. + +EMU Locomotive. An electric multiple-unit operated locomotive: +FRA Guide for Preparing Accident/Incident Reports +26 +Definitions +(1) With one or more propelling motors designed to carry freight or passenger traffic or +both; or +(2) Without propelling motors but with one or more control stands. +Note: An EMU locomotive is to be counted as a car and not as a locomotive unit in the Rail +Equipment Accident/Incident Report. +See special instructions in Chapter 7 when reporting DMUs, EMUs, or cab car locomotives. +Motorcar. A self-propelled unit of equipment designed to carry freight or passenger traffic. +(Does not include track motor cars or similar work equipment.) +Train. For purposes of accident/incident reporting, a train is a locomotive or locomotives +coupled with or without cars, and with or without markers displayed. This definition +includes trains consisting entirely of self-propelled units designed to carry passengers, freight +traffic, or both. +Yard Switching Trains. Trains operated primarily within yards for the purpose of switching +other equipment. Examples include the making up or breaking up of trains, service industrial +tracks within yard limits, storing or classifying cars, and other similar operations. +Note: Switching performed by a road crew that is incidental to the road operation is not +included. +Work train. Work trains are non-revenue trains used for the administration and upkeep +service of the railroad. Examples are: official trains, inspection trains, special trains running +with a company fire apparatus to save the railroad’s property from destruction, trains that +transport the railroad’s employees to and from work when no transportation charge is made, +construction and upkeep trains run in connection with maintenance and improvement work, +and material and supply trains run in connection with operations. +Passenger Station Platform Gap. The horizontal space between the edge of the passenger +boarding platform and the edge of the rail car door threshold plate, and the vertical difference +from the top of the passenger boarding platform and the top of the rail car threshold. +Passenger Station Platform Gap Incident. A reportable injury involving a person who, while +involved in the process of boarding or alighting a passenger train at a rail car door threshold plate +at a high-level passenger boarding platform (i.e., a platform that is 48" or more above the top of +the rail), has one or more body parts enter the area between the carbody and the edge of the +platform or traveling between passenger cars. The following are examples of a Passenger +Station Platform Gap Incident: +FRA Guide for Preparing Accident/Incident Reports +27 +Definitions +• While boarding or alighting a passenger train at a high-level passenger boarding platform +a person misjudges the passenger station platform gap, resulting in the person’s leg +entering the passenger station platform gap. +• While boarding or alighting a passenger train at a high-level passenger boarding +platform, a person is struck by a closing door, resulting in the person’s leg entering the +passenger station platform gap. +The following are not examples of a passenger station platform gap incident: +• While boarding or alighting a passenger train at a high-level passenger boarding +platform, a person misjudges the gap and falls into the vestibule or platform, without a +body part entering the gap. +• While walking on a passenger station at a high-level passenger boarding platform, a +person slips on the platform, at a location other than the rail car door threshold, resulting +in the person’s leg entering the gap. +Passenger station platform gap injuries usually occur when the high-level platform station is +concave, convex, or there is misalignment between the platform and passenger car, or when a +person is traveling between cars and has one or more body parts enter the area between the cars. +Person. Includes all categories of entities covered under 1 U.S.C. § 1, including, but not limited +to a railroad; any manager, supervisor, official, or other employee or agent of a railroad; any +owner, manufacturer, lessor, or lessee of railroad equipment, track, or facilities; any passenger; +any trespasser or nontrespasser; any independent contractor providing goods or services to a +railroad; any volunteer providing goods or services to a railroad; and any employee of such +owner, manufacturer, lessor, lessee, or independent contractor. +Prescription Medication. Substances whose availability and distribution are controlled by +registered medical professionals such as doctors, pharmacists, or nurses, and that are +manufactured and packaged with the legend: “Caution–Federal Law Prohibits Dispensing +Without Prescription,” or a similar warning. +Physician or Other Licensed Health Care Professional (PLHCP). A healthcare professional +operating within the scope of his or her license, registration, or certification. In addition to +licensed physicians, the term “Other Licensed Health Care Professional” includes members of +other occupations associated with patient care and treatment, such as chiropractors, podiatrists, +physician’s assistants, psychologists, and dentists. +FRA Guide for Preparing Accident/Incident Reports +28 +Definitions +Remote Controlled Locomotive (RCL). This term refers to on-track rail equipment that is +controlled by an employee or contractor using a remote transmitter/receiver designed to control +the locomotive, maintenance machine, or other type of self-propelled on-track rail equipment. +Special coding instructions are to be used when casualties to persons, rail equipment +accidents/incidents, and highway-rail grade crossing accidents/incidents occur when an RCL is +in use. +Tracks and Types of Tracks. +Main Track. A track, other than an auxiliary track, extending through yards or between +stations, upon which trains are operated by timetable or train order or both, or the use of +which is governed by a signal system. +Industry Track. A switching track, or series of tracks, serving the needs of a commercial +industry other than a railroad. +Siding. A track auxiliary to the main track used for meeting or passing trains. +Yard Track. A system of tracks within defined limits used for the making up or breaking up +of trains, for the storage of cars, and for other purposes over which movements not +authorized by timetable or by train order may be made, subject to prescribed signals, rules or +other special instructions. Sidings and industry tracks are not included, nor is main line +within yard limits. +Vehicle. Includes automobiles, buses, trucks, motorcycles, bicycles, farm vehicles, and all other +modes of surface transportation, motorized and unmotorized. +FRA Guide for Preparing Accident/Incident Reports +29 +F 6180.55 +3. Form FRA F 6180.55 - Railroad Injury and Illness Summary +3.1 Requirement + +Form FRA F 6180.55, titled “Railroad Injury and Illness Summary,” is used to summarize a +railroad’s accident/incident data for a given month. A report must be filed each month, even +when no accidents/incidents occurred during the reporting month. See § 225.21(b). +3.2 General Instructions and Interpretations +If there were no accidents/incidents for the month being reported, this fact must be noted on the +form. +If actual operational data (mileage, hours worked, etc.) are not available when the report is due, +then an estimate must be provided. An amended report must be sent when actual figures are +known. See § 225.13. +If there are substantial fluctuations in month-to-month operational data, the reason for such +variations (seasonal operation, strikes, consolidation, line abandonment, etc.) are to be explained. +A late or amended report is not to be included in the counts for the current month. If such a +report is forwarded with the regular submission, it must have a separate cover letter indicating +that it is an amended report, or, for late submissions, explaining why the report is being filed late. +See § 225.13. Entries changed on amended reports should be circled in red. +If an Item, such as “Passenger-Miles Operated,” does not apply to your railroad, enter “N/A.” +Fractions and decimals are to be rounded to the nearest whole number. +3.3 Instructions for Completing Form FRA F 6180.55 +Item Instruction +1. Name of Reporting Railroad +Enter the full name of the reporting railroad. +2. Alphabetic Code +Enter the reporting railroad’s code, found in Appendix A. +3. Report Month & Year +Enter the month and year covered by the report. +FRA Guide for Preparing Accident/Incident Reports +30 +F 6180.55 +4. State Alphabetic Code +Enter the code for the State in which the report was signed, found in Appendix B. +5. County +Enter the name of the county or parish in which the report was signed. +6. Name of Reporting Officer +Enter the reporting officer’s name. +7. Official Title +Enter the reporting officer’s official title. +8. Address +Enter the reporting officer’s mailing address. +9. Telephone +Enter the reporting officer’s telephone number. +10. Date and sign as directed (notarization no longer required). +Operational Data and Accident/Incident Counts for Report Month. In Items 11–14, do not +duplicate mileage in more than one block. For example, do not include yard switching train +miles in the total for either freight or passenger train-miles. For Items 11–17, report only the +miles and hours associated with your operations. +****************************************************************************** +Example for calculating Items 12 (Passenger Train Miles), 16 (Passenger Miles Operated), and +17 (Number of Passengers Transported): +Enter miles and passengers into a spreadsheet, listed by date of each trip, and then enter totals +into correct items in the FRA Form F 6180.55. Note: Be sure to first multiply each separate +trip’s “Passengers Transported” by each separate trip’s “Passenger Train-Miles” to get each +separate trip’s “Passenger-Miles Operated,” and then sum each of these results to get the total. +For the case of having multiple trips, DO NOT multiply “Total” “Passengers Transported” by +“Total” “Passenger Train-Miles” to find total “Passenger-Miles Operated.” +FRA Guide for Preparing Accident/Incident Reports +31 +F 6180.55 +See example below: + Item 17: Item 12: Item 16: +Date Pass. Transp. x Pass. Train Miles = Pass. Miles Oper. +07/01/2006 85 x 12 = 1,020 +07/15/2006 121 x 8 = 968 +07/21/2006 217 x 8 = 1,736 +07/23/2006 177 x 8 = 1,416 +Total 600 36 5,140 +In this example, 600 would be entered into Item 17, 36 into Item 12, and 5140 into Item 16. +****************************************************************************** +11. Freight Train-Miles +Enter the number of train-miles, in freight service, run during the month. +Note: Be careful not to report freight train-miles that are being reported by +another railroad. This may occur if one railroad’s equipment is being operated +over the track by a different railroad’s crew. In this case, the railroad of the crew +operating the equipment will enter the freight train-miles on their FRA Form +12. Passenger Train-Miles +Enter the number of train-miles, in passenger service, run during the month. +13. Yard Switching Train-Miles +Enter the number of yard switching miles run during the month. +14. Other Train-Miles +Enter any other train-miles run that are not included in freight, passenger, or yard +switching train-miles. +15. Railroad Worker [Employee] Hours +Enter the number of hours worked by all railroad employees during the month. +Include all employees in the occupation categories shown in Appendix D. Do not +include time paid, but not actually worked, such as holidays or vacations. Only +those hours worked by employees defined as “Class A” are to be counted. Hours +worked by volunteers, contractors, etc., are excluded. +FRA Guide for Preparing Accident/Incident Reports +32 +F 6180.55 +16. Passenger-Miles Operated +If your railroad operates a rail passenger service, enter the number of passengermiles run during the month. If passenger-miles are shown, the number of +passengers transported must be entered in Item 17. +Please take special care when recording information on passenger service. Our +data verification procedures examine the relationship among the number of +passenger train-miles reported in Item 12, the number of passenger miles reported +in Item 16, and the number of passengers transported as reported in Item 17. If +any of these items contains an entry greater than 0, then it is generally assumed +that all three items must have a count. A simple example of a single train +movement can demonstrate this: A passenger train containing 250 passengers +traveled from point A to point B for a distance of 100 miles. This would be +recorded as 100 passenger train-miles; 25,000 passenger miles (250 passengers x +100 miles); and 250 passengers transported. +17. Number of Passengers Transported +Enter the number of passengers transported by rail for the month being reported. +18. Reported Casualties +Reportable casualties to all types of persons are to be reported on this form and +are to be categorized according to the type of person. All fatalities, including +those due to illness, are to be recorded in the appropriate blocks under the “Fatal” +column. All remaining cases, including nonfatal occupational illnesses, are to be +shown under the “Nonfatal” column. If no reportable casualties occurred during +the report month, enter the word “None” for the “Grand Total.” All casualties +shown must also be reported individually on Form FRA F 6180.55a. +Each person is to be classified as one of the following: +a. Worker on Duty–Railroad Employee (Class A), +b. Railroad Employee Not On Duty (Class B), +c. Passengers on Trains (Class C), +d. Nontrespassers–On Railroad Property (Class D), +e. Trespassers (Class E), +f. Worker on Duty–Contractor (Class F), +g. Contractor–Other (Class G), +h. Worker on Duty–Volunteer (Class H), +FRA Guide for Preparing Accident/Incident Reports +33 +F 6180.55 +i. Volunteer–Other (Class I), and +j. Nontrespassers–Off Railroad Property (Class J). +Casualties, due to suicides and attempted suicides, that meet the general reporting criteria +shall also be included in the casualty count. There is no special category for reporting suicide or +attempted suicide counts. A casualty due to a suicide or attempted suicide is an incident that +happens to a person. The injury to an employee on duty that attempts suicide should be counted +as a Worker on Duty–Railroad Employee (Class A). The fatality to a trespasser that commits +suicide should be counted as a Trespasser (Class E). +19. Number of FRA Forms Attached +List the number of FRA report forms completed during the month: +F 6180.54 Enter the number of forms used to report collisions, derailments, +and similar events when a rail equipment accident/incident is being +reported. +F 6180.55a Enter the number of forms used to record reportable casualties. If, +during the report month, a person is injured and dies on the +following day, or on any day prior to the end of the month, this +should be reported as a fatality on Form FRA F 6180.55a. +F 6180.56 Enter the number of forms used to report employee hours and +casualties. This is usually “0”for each month, except for +December, where “1” is normally entered. +F 6180.57 Enter the number of forms used to report impacts between railroad +and highway users at crossings. +F 6180.81 Enter the number of Employee Human Factor Attachments which +are attached. +20. Remarks Section +Enter any remarks, including explanations for unusual fluctuations in train-miles +operated; employee hours; passenger counts, etc.; or operational characteristics +that result in contradictory or confusing counts (for example, train-miles are +reported, but there are no railroad worker [employee] hours). +FRA Guide for Preparing Accident/Incident Reports +34 +F 6180.55 +3.4 Common Reporting Errors +Missing Data. If the information required for an item is not available at the time a report is to be +filed, an estimate should be used. Later, if it is determined that the actual value was substantially +different from the estimated value, an amended report must be forwarded. +Math Errors. The total number and distribution of casualties reported must agree with the sum +of the individual casualties on Form FRA F 6180.55a. +Contradictory Information. If employee casualties are reported, the number of railroad worker +hours cannot be “0.” +If Rail Equipment Accident/Incident Reports (Form FRA F 6180.54) or Highway-Rail +Grade Crossing Accident/Incident Reports (Form FRA F 6180.57) were prepared for +accidents/incidents involving moving trains, the total number of miles run during the month +cannot be “0.” +If the entry in “Passenger-Miles Operated” is greater than “0,” the entry in “Number of +Passengers Transported” cannot be “0,” and vice versa. +If passenger casualties are reported, the entry in “Number of Passengers Transported” cannot be +“0.” +3.5 Submission and Retention +Railroads must submit a hardcopy of the Railroad Injury and Illness Summary (Form FRA +F 6180.55), signed under penalty of perjury by the railroad’s reporting officer. In lieu of +the hardcopy, a railroad may submit to FRA, via email at aireports@frasafety.net, an +electronic image of the completed and signed hardcopy form, in .pdf or .jpg formats only. See +§ 225.37(b)(3). If a railroad submits the form(s) to FRA electronically, via the Internet, the +railroad must retain the original signed hardcopy submission for at least 5 years after the +calendar year to which it pertains. See § 225.27. If the submission is made using the Internet, +the railroad must also retain a hardcopy of FRA’s acknowledgement of receipt for a period of +5 years. +FRA Guide for Preparing Accident/Incident Reports +35 +F 6180.98 +4. Form FRA F 6180.98 - Railroad Employee Injury and/or Illness Record +4.1 Requirement +Each railroad shall maintain either the Railroad Employee Injury and/or Illness Record (Form +FRA F 6180.98) or an alternative railroad-designed record of all reportable and all accountable +injuries and illnesses of its employees. Include reportable and accountable injuries and illnesses +of railroad employees (that is, Worker on Duty–Railroad Employee (Class A) or Railroad +Employee Not On Duty (Class B)). See §§ 225.25(a)–(b). Do not include injuries or illnesses of +volunteers or contractors. See also § 225.3 regarding certain railroads exempted from the duty to +record “accountables.” +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. +The alternative railroad-designed record may be used in lieu of the Railroad Employee Injury +and/or Illness Record (Form FRA F 6180.98). Any such alternative record shall contain all of +the information required on the Railroad Employee Injury and/or Illness Record. Although this +information may be displayed in a different order from that on the Railroad Employee Injury +and/or Illness Record, the order of the information shall be consistent from one such record to +another such record. The order chosen by the railroad shall be consistent for each of the +railroad’s reporting establishments. Railroads may list additional information on the alternative +record, beyond the information required on the Railroad Employee Injury and/or Illness Record. +Furthermore, railroads may use their alternative record to collect information on conditions that +do not meet the “accountable” or “reportable” definitions, or to make entries for individuals +other than employees of the railroad. (See question Q4 and corresponding answer in Chapter 1 +for additional guidance.) +It would be difficult, if not impossible, for a railroad to monitor self-treatment of minor injuries. +Thus, the type of injuries that are generally expected to be recorded on the Railroad Employee +Injury and/or Illness Record (Form FRA F 6180.98) are those that create a “documentation trail.” +This documentation could include records such as incident reports, healthcare provider records, +or any other records that may identify the fact that an employee has sustained physical harm +while in the work environment that required examination or treatment by a qualified healthcare +professional. See § 225.5, definition of “accountable injury or illness.” This broad scope is +necessary since all conditions, regardless of severity, must be evaluated to determine if the +requirements necessary for reporting the injury/illness have been met. +FRA Guide for Preparing Accident/Incident Reports +36 +F 6180.98 +A primary purpose for the recording of accountable cases is to establish a standardized set of +data that the reporting officer will use in deciding whether to report a case. It also serves as a +tool for FRA Safety Assurance and Compliance officers to use during reviews to determine if +proper reporting decisions are being made. Once it has been determined that a particular case is +reportable and has been forwarded on Form FRA F 6180.55a, it is no longer necessary to +continue to update this record; however, the railroad should update “Was the case reported?” on +Form FRA F 6180.98 (or update, in the alternative railroad-designed record, if a Form FRA +F 6180.55a has been filed with FRA). Changes to counts of days absent or restricted duty are to +be made on Form FRA F 6180.55a, not Form FRA F 6180.98. +Each railroad shall enter each reportable and each accountable injury and illness on the +appropriate record as early as practicable, but no later than 7 working days after receiving +information or acquiring knowledge that an injury or illness has occurred. See § 225.25(f). +Railroads must create a Form FRA F 6180.98 for employee fatalities and injuries due to suicides +and attempted suicides that are accountable or reportable. +The records described above may be maintained at the local establishment or, alternatively, at a +centralized location. If the records are maintained at a centralized location, but not through +electronic means, then a paper copy of the records that is current within 35 days of the month to +which it applies shall be available for that establishment. If the records are maintained at a +centralized location through electronic means, then the records for that establishment shall be +available for review in a hardcopy format within 4 business hours of FRA’s request. FRA +recognizes that circumstances outside the railroad’s control may preclude it from fulfilling the +4 business-hour time limit. In these circumstances, FRA will not assess a monetary penalty +against the railroad for its failure to provide the requested documentation provided the railroad +makes a reasonable effort to correct the problem. See § 225.25(g). +Do not submit this form or an alternate railroad-designed record. If a case is determined to be +reportable, it must be recorded on Form FRA F 6180.55a and included with the reports filed for +that month. +The information required to be recorded on Form FRA F 6180.98 is self-explanatory; therefore, +specific instructions for completion are not needed. However, it is important to note that the +“Case/Incident Number” identified in Block 2 must be used on Form FRA F 6180.55a for any +case determined to be reportable. +The alternative record shall contain, at a minimum, the following information: +1. Name of railroad. +2. Case/incident number. +3. Full name of railroad employee. +FRA Guide for Preparing Accident/Incident Reports +37 +F 6180.98 +4. Date of birth of railroad employee. +5. Gender of railroad employee. +6. Railroad employee identification (ID) number. +7. Date the railroad employee was hired. +8. Home address of railroad employee, including the street address, city, State, zip code, and +home telephone number with area code. +9. Name of facility where railroad employee normally reports to work. +10. Address of facility where railroad employee normally reports to work, including the +street address, city, State, and zip code. +11. Job title of railroad employee. +12. Department assigned. +13. Specific site where accident/incident/exposure occurred, including the city, county, State, +and zip code. +14. Date and time of occurrence, indicated using military time or a.m./p.m.. +15. Time employee’s shift began, indicated using military time or a.m./p.m.. +16. Whether employee was on premises when injury occurred. +17. Whether employee was on or off duty. +18. Date and time when employee notified company personnel of condition, indicated using +military time or a.m./p.m.. +19. Name and title of railroad official notified. +20. Description of the general activity this employee was engaged in prior to the +injury/illness/condition. +21. Description of all factors associated with the case that are pertinent to an understanding +of how it occurred. Include a discussion of the sequence of events leading up to it, and +the tools, machinery, processes, material, environmental conditions, etc., involved (When +appropriate, a railroad must indicate that an employee fatality or injury is considered +“suicide data” in this the narrative section). +22. Description, in detail, of the injury/illness/condition that the employee sustained, +including the body parts affected. If a recurrence, list the date of the last occurrence. +23. Identification of all persons and organizations used to evaluate or treat the condition, or +both. Include the facility, provider, and complete address. +24. Description of all procedures, medications, therapy, etc., used or recommended for the +treatment of the condition. +25. Extent and outcome of injury or illness to show the following, as applicable: +FRA Guide for Preparing Accident/Incident Reports +38 +F 6180.98 +a. Fatality–enter date of death. +b. Restricted work, number of days, beginning date. +c. Occupational illness, date of initial diagnosis. +d. Instructions to obtain prescription medication, or receipt of prescription medication. +e. If missed 1 or more days of work or next shift, provide number of work days and +beginning date. +f. Medical treatment beyond “first aid”. +g. Hospitalization for treatment as an inpatient. +h. Multiple treatments or therapy sessions. +i. Loss of consciousness. +j. Transfer to another job or termination of employment. +k. Significant injury/illness, one meeting specific case criteria, or a covered data case. +26. Each railroad shall indicate if the Railroad Injury and Illness Summary (Continuation +Sheet) (FRA Form F 6180.55a) has been filed with FRA for the injury or illness. If FRA +Form F 6180.55a was not filed with FRA, then the railroad shall provide an explanation +of the basis for its decision. +27. The railroad shall indicate if the injured or ill railroad employee was provided an +opportunity to review his or her file. +28. The railroad shall identify the preparer’s name, title, telephone number with area code, +and the date the record was initially signed/completed. +FRA Guide for Preparing Accident/Incident Reports +39 +F 6180.97 +5. Form FRA F 6180.97 - Initial Rail Equipment Accident/Incident Record +5.1 Requirement + +Each railroad shall maintain an Initial Rail Equipment Accident/Incident Record (Form FRA +F 6180.97) or an alternative railroad-designed record as described in the following section, of all +reportable and accountable rail equipment accidents/incidents. 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. See §§ 225.21(i) and +225.25(d)–(g). See also § 225.3 regarding certain railroads exempted from recording +“accountables.” +The alternative railroad-designed record may be used in lieu of the Initial Rail Equipment +Accident/Incident Record (Form FRA F 6180.97). Any such alternative record shall contain all +of the information required on the Initial Rail Equipment Accident/Incident Record. Although +this information may be displayed in a different order from that on the Initial Rail Equipment +Accident/Incident Record, the order of the information shall be consistent from one such record +to another such record. The order chosen by the railroad shall be consistent for each of the +railroad’s reporting establishments. Railroads may list additional information in the alternative +record beyond the information required on the Initial Rail Equipment Accident/Incident Record. +Where there are joint operations, each railroad involved must contact all parties involved to +determine the extent of the damages for determining reportability. If the property of more than +one railroad is involved in an accident/incident, the reporting threshold is calculated by +including the damages sustained by all of the railroads involved. When total reportable damage +to all railroads directly involved in an accident/incident exceeds the reporting threshold, the +railroad must make a report even though its damages were below the threshold. +Any railroad indicating the involvement of another railroad in the accident on its Initial Rail +Equipment Accident/Incident Record must promptly notify the other carrier (FRA may be +contacted to obtain telephone numbers) and exchange information concerning the accident and +obtain the other carriers’ reportable damage. +FRA Guide for Preparing Accident/Incident Reports +40 +F 6180.97 +The alternative record shall contain, at a minimum, the following information: +1. Date and time of accident. +2. Reporting railroad, and accident/incident number. +3. Other railroad, if applicable, and other railroad’s accident/incident number. +4. Railroad responsible for track maintenance, and that railroad’s incident number. +5. The classification of a rail equipment accident/incident by type, which is +determined by the first event in the accident/incident sequence. For example, if, +following a derailment, a derailed car or locomotive strikes a consist on an +adjacent track, the accident/incident would be classified as a derailment, not a +collision or other impact. The valid classification of accidents/incidents are as +follows: +Derailment Highway-rail crossing collision +Head-on collision Railroad grade crossing collision +Rear-end collision Obstruction + Side collision Explosion-detonation + Raking collision Fire/violent rupture + Broken train collision Other impacts + Other (describe in narrative) +6. Number of cars carrying hazardous materials that derailed or were damaged, and +number of cars carrying hazardous materials that released product. +7. Subdivision: + The full name of the subdivision on which the accident occurred, i.e. the track +owner’s subdivision name. If the railroad is not so divided, enter the word +“system.” In the event of a joint accident involving Amtrak, the host railroad’s +subdivision will apply. +Note: If the accident occurred in a major terminal and subdivision is not +applicable, enter “Terminal/Yard Name.” +8. Nearest city or town. +9. County (added in 2003). +10. State. +FRA Guide for Preparing Accident/Incident Reports +41 +F 6180.97 +11. Milepost (to the nearest tenth). +12. Specific site. +13. Speed (indicate if actual or estimate). +14. Train number or job number. +15. Type of equipment (freight, passenger, yard switching, etc.). +16. Type of track (main, yard, siding, industry). +17. Total number of locomotives in train. +18. Total number of locomotives that derailed. +19. Total number of cars in train. +20. Total number of cars that derailed. +21. Total amount of damage in dollars to equipment for this accident/incident-based +on computations as described in this Guide: +Enter the total amount of damage to all of the consists involved in this +accident/incident, and if there are other railroads involved in this accident/incident +that have equipment damages, add this to the total. +Then, in the narrative provide a breakdown of the damages by each railroad. + +Note: For railroads that are using the AIRG software application to maintain +their accident/incident data, AIRG will be modified to accept both sets of +information (i.e., the total amount of damage to the railroad’s equipment, +and the total amount of damage to the railroad’s equipment added to all +other of the railroad’s equipment damage). +22. Total amount of damage in dollars to track, signal, way, and structures based on +computations as described in this Guide. +Enter the total amount of damage, in dollars, to the track, signal, way, and +structures for the accident/incident. If another railroad is responsible for +maintaining the track on which the accident/incident occurred, contact this carrier +to obtain the cost of damages to the track, signals, roadbed, track structures, etc., +then keep this amount for the Initial Rail Equipment Accident/Incident Record. +23. Primary cause. Enter into this field the most applicable cause code that describes +the cause of the accident from Appendix C, “Train Accident Cause Codes.” The +instructions for entry into this field are the same as for Item 38 of FRA Form +F 6180.54, as shown in Chapter 7. +FRA Guide for Preparing Accident/Incident Reports +42 +F 6180.97 +24. Contributing cause. Enter into this field the most applicable cause code that +describes the contributing cause of the accident from Appendix C, “Train +Accident Cause Codes.” The instructions for entry into this field are the same as +for Item 39 of FRA Form F 6180.54, as shown in Chapter 7. +25. Number of persons injured and persons killed, broken down into the following +classifications: worker on duty–railroad employee, railroad employee not on +duty, passenger on train, nontrespasser–on railroad property, trespasser, worker +on duty–contractor, contractor–other, worker on duty–volunteer, volunteer–other, +and nontrespasser—off railroad property. + + Note: Injuries and fatalities, due to suicides and attempted suicides, that meet the +general reporting criteria shall also be included in this field. +26. Narrative description of the accident: +Enter a description of the accident, including a list of the breakdown of the +equipment damages incurred by each railroad for the accident/incident, and +specify which consist this specific Initial Rail Equipment Accident/Incident +Record is for. The breakdown is as follows: +Railroad (Enter Code) - Each consist’s equipment damages (e.g., Consist A +equipment damage, Consist B equipment damage, etc.), and all other railroads +(Enter Codes) and their equipment damages. +Note: Where an accountable or reportable rail equipment accident/incident is +caused by a suicide or attempted suicide, the railroad shall indicate that fact in this +field. +27. Whether the accident/incident was reported to FRA: If the rail equipment +accident/incident exceeds the current threshold limit and a Form FRA F 6180.54 +is being submitted, specify “Yes.” For highway-rail grade crossing +accidents/incidents (which are always reportable), and other non-reportable rail +equipment accidents/incidents, specify “No”; however, if a highway-rail grade +crossing accident/incident’s damages exceed the current threshold, then specify +“Yes.” +28. Preparer’s name, title, telephone number with area code, and signature. +29. Date the record was initially signed/completed. +Each railroad shall enter each reportable and accountable rail equipment accident/incident on the +appropriate record as early as practicable, but no later than 7 working days after receiving +information or acquiring knowledge that a rail equipment accident/incident has occurred. See +§ 225.25(f). +FRA Guide for Preparing Accident/Incident Reports +43 +F 6180.97 +The records described above may be maintained at the local establishment or, alternatively, at a +centralized location. If the records are maintained at a centralized location, but not through +electronic means, then a paper copy of the records that is current, within 35 days of the month to +which it applies, shall be available for that establishment. If the records are maintained at a +centralized location through electronic means, then the records for that establishment shall be +available for review in a hardcopy format within 4 business hours of FRA’s request. FRA +recognizes that circumstances outside the railroad’s control may preclude it from fulfilling the +4-business-hour time limit. In these circumstances, FRA will not assess a monetary penalty +against the railroad for its failure to provide the requested documentation, provided the railroad +makes a reasonable effort to correct the problem. See § 225.25(g). +Do not submit this form or an alternate railroad-designed record. If an incident is determined to +be reportable, it must be recorded on Form FRA F 6180.54 and must be included with the reports +filed for that month. If there are any reportable casualties, they must be reported on Form FRA +F 6180.55a. Once a determination has been made that the rail equipment accident/incident has +become reportable, any further updating should be done on the Form FRA F 6180.54, and you +need not update Form FRA F 6180.97; however, you should go back and check off “Yes” for +Item 32 (or equivalent item on alternative railroad-designed record) of Form FRA F 6180.97 +“Was this accident reported to FRA?” +It is important to note that the “Case/Incident Number” identified in Block 4 must be used on +Form FRA F 6180.54 and/or Form FRA F 6180.57 for any case determined to be reportable. +5.2 Questions and Answers +Q1. A coupler broke during a switching operation, and the cars behind the +broken coupler hit the train it separated from. Would this event mean that +the railroad should complete the Initial Rail Equipment Accident/Incident +Record? +A1. This event would qualify as a broken train collision. As this is a collision, if there +is damage and that damage impairs the functioning or safety of the railroad ontrack equipment (standing or moving), signals, track, track structures, or roadbed +involved, then the railroad would be required to complete an Initial Rail +Equipment Accident/Incident Record, Form FRA F 6180.97. If the reportable +damages exceed the annual reporting threshold, then Rail Equipment +Accident/Incident Report Form FRA F 6180.54 must also be completed and +submitted to FRA. +FRA Guide for Preparing Accident/Incident Reports +44 +F 6180.97 +Q2. Our switch crew had a minor derailment involving one set of wheels of +one car. Would this event qualify for the Initial Rail Equipment +Accident/Incident Record? +A2. This event would qualify as a derailment and, as such, it is an accountable rail +equipment accident/incident. Therefore, an Initial Rail Equipment +Accident/Incident Record, Form FRA F 6180.97, must be completed. If the +reportable damages exceed the annual reporting threshold, then the Rail +Equipment Accident/Incident Report Form FRA F 6180.54 must be completed +and submitted to FRA. +Q3. What about highway-rail grade crossing accidents? Would these events +qualify for the Initial Rail Equipment Accident/Incident Record? +A3. All highway-rail grade crossing accidents/incidents must be reported to FRA on +Form FRA F 6180.57. An Initial Rail Equipment Accident/Incident Record, +Form FRA F 6180.97, must be completed if the highway-rail grade crossing +accident/incident also results in an accountable or reportable rail equipment +accident/incident. If the reportable damages exceed the annual reporting +threshold, then the Rail Equipment Accident/Incident Report Form FRA +F 6180.54 must also be completed and submitted to FRA. +Q4. Our mechanical department personnel reported that they fixed a broken +trainline bracket on a box car. It appears that the bracket broke because of +normal wear and tear, and was not the result of an accident. Would events +like this qualify for an Initial Rail Equipment Accident/Incident Record? +A4. No, if there is no evidence of an accident/incident, e.g., collision, derailment, fire, +explosion/detonation, obstruction incident, other impact, etc., and the damage +resulted from normal wear and tear, then an Initial Rail Equipment +Accident/Incident Record, Form FRA F 6180.97, is not required. +FRA Guide for Preparing Accident/Incident Reports +45 +F 6180.55a +6. Form FRA F 6180.55a - Railroad Injury and Illness Summary +(Continuation Sheet) +6.1 Requirement + +As set forth in § 225.11 and § 225.19(d), each death, injury, or occupational illness that is a new +case and meets the general reporting criteria listed in paragraphs (d)(1) through (d)(6) of this +Section shall be reported to FRA on Form FRA F 6180.55a, Railroad Injury and Illness +Summary (Continuation Sheet), if an event or exposure arising from the operation of a railroad is +a discernable cause of the resulting condition or a discernable cause of a significant aggravation +to a preexisting injury or illness. The event or exposure arising from the operation of a railroad +need only be one of the discernable causes; it need not be the sole or predominant cause. A new +case is presumed work-related if an event or exposure arising from the operation of a railroad is a +contributing factor to the injury, illness, or significant aggravation of a preexisting condition. If +it is not obvious whether the precipitating event or exposure arose from the operation of a +railroad or elsewhere, the railroad must evaluate the circumstances surrounding the injury or +illness (e.g., work duties, environment, etc.) to decide whether it is more likely than not that one +or more events or exposures arising from the operation of a railroad contributed to the resulting +condition or significantly aggravated a preexisting condition. The general injury/illness +reporting criteria are as follows: +(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; +(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; + (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; +FRA Guide for Preparing Accident/Incident Reports +46 +F 6180.55a +(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; +(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. +6.2 Reporting Exceptions +In accordance with § 225.15(a), the following accidents/incidents are not reportable: + (a) Persons other than railroad employees. A railroad is not to report injuries that occur +at highway-rail grade crossings that do not involve the presence or operation of on-track +equipment, or the presence of railroad employees then engaged in the operation of a railroad; + (b) Employees on Duty. A railroad is not to report the following injuries to or illnesses of +a railroad employee as Worker on Duty – Employee (Class A), if any of the following conditions +in paragraphs (b)(1) through (b)(3) of this section are met. This exception does not affect a +railroad’s obligation to report these injuries as other types of persons (i.e. Employee Not On +Duty (Class B); Passengers On Trains (Class C); Nontresspassers – On Railroad Property (Class +D)), or a railroad’s obligation to maintain a “Railroad Employee Injury/Illness Record” (Form +FRA F 6180.98 or alternative railroad-designed form). + (1) The injury or illness occurred in or about living quarters not arising from the +operation of a railroad; + (2) At the time of the injury or illness, the employee was present in the work environment +as a member of the general public rather than as an employee; or + (3) The injury or illness is caused by a motor vehicle accident and occurs on a company +parking lot or company access road while the employee is commuting to or from work. + (c) Employees on or off Duty. A railroad is not to report the following injuries to or +illnesses of a railroad employee, Worker on Duty – Employee (Class A) or Employee Not On +Duty (Class B), if any of the following conditions in paragraphs (c)(1) through (c)(7) of this +section are met. + (1) The injury or illness involves signs or symptoms that surface at work but result solely +from a non-work-related event or exposure that occurs outside the work environment; +FRA Guide for Preparing Accident/Incident Reports +47 +F 6180.55a + (2) The injury or illness results solely from voluntary participation in a wellness program +or in a medical, fitness, or recreational activity such as blood donation, physical examination, flu +vaccination shot, exercise class, racquetball, or baseball; + (3) The injury or illness is solely the result of an employee eating, drinking, or preparing +food or drink for personal consumption. Note: However, if the employee is made ill by ingesting +food contaminated by workplace contaminants (such as lead), or gets food poisoning from food +supplied by the employer, the case would be considered reportable if the case meets the general +reporting criteria set forth at §225.19(d)(1)-(d)(6), and reported as either a Worker on Duty – +Employee (Class A) or Employee not on Duty (Class B) depending on the employee’s duty +status; + (4) The injury or illness is solely the result of an employee doing personal tasks +(unrelated to their employment) at the establishment outside of the employee’s assigned working +hours; + (5) The injury or illness is solely the result of personal grooming, self medication for a +non-work-related condition, or is intentionally self-inflicted (except that for FRA reporting +purposes a railroad shall not exclude an accountable or reportable injury or illness that is the +result of a suicide or attempted suicide); + (6) The illness is the common cold or flu (Note: contagious diseases such as tuberculosis, +brucellosis, hepatitis A, or plague are considered work-related if the employee is infected at +work); or + (7) The illness is a mental illness. Mental illness will not be considered work-related +unless the employee voluntarily provides the employer with an opinion from a physician or other +licensed health care professional with appropriate training and experience (psychiatrist, +psychologist, psychiatric nurse practitioner, etc.) stating that the employee has a mental illness +that is work-related. + (d) Contractors and volunteers. A railroad is not to report injuries to contractors and +volunteers that are listed in paragraphs (b) and (c) of this section. For purposes of this paragraph +only, an exception listed in paragraphs (b) and (c) referencing “work environment” is construed +to mean for contractors and volunteers only, on property owned, leased, operated over or +maintained by the railroad for railroad operations. + (e) Rail equipment accident/incidents. The following exceptions do not impact the +railroad’s obligation to maintain records of accidents/incidents as required by § 225.25 (Form +FRA F 6180.97, “Initial Rail Equipment Accident/Incident Record”), as applicable. A railroad is +not to report the following rail equipment accidents/incidents: + (1) Cars derailed on industry tracks by non-railroad employees or non-railroad employee +vandalism, providing there is no involvement of railroad employees; and + (2) Damage to out of service cars resulting from high water or flooding (e.g., empties +placed on a storage or repair track). This exception does not apply if such cars are placed into a +moving consist and as a result of this damage a reportable rail equipment accident results. +FRA Guide for Preparing Accident/Incident Reports +48 +F 6180.55a +6.3 Suicide Data +Suicides and attempted suicides are no longer exceptions to FRA’s reporting requirements and +must be reported to FRA as “suicide data” on Form FRA 6180.55a when the casualty meets the +general reporting criteria. Therefore, a railroad must evaluate the injury or fatality to determine +whether it needs to create a report. Although self-inflicted wounds not inflicted for the purpose +of committing suicide are still excluded (i.e., an employee intentionally cuts his hand without +intending to kill himself). See § 225.15(c)(5). +Suicide data is data regarding the death of an individual due to that individual’s commission of +suicide as determined by a coroner, public police officer or other public authority; or injury to an +individual due to that individual’s attempted commission of suicide as determined by a public +police officer or other public authority. A railroad police officer is not considered a public police +officer within the meaning of the term. A public authority is a Federal, State, or local +governmental agency with the legal authority to declare a casualty a suicide or an attempted +suicide. Only the death of or injury to the individual who committed the suicidal act is +considered to be suicide data. Therefore, an injury or fatality caused to a person by another +person who committed suicide or attempted to commit suicide is not suicide data. For example, +if the impact between the railroad on-track equipment and a highway user occurred because the +highway user committed or attempted to commit suicide (as determined by a coroner, public +police officer, or other public authority), the death of or injury to that highway user must be +reported to FRA. +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 that 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. +When appropriate, railroads must report suicide data on Forms FRA F 6180.55a, FRA F +6180.54, and FRA F 6180.57, as follows: +1. Form FRA F 6180.55a–Place an “X” representative of “suicide or attempted suicide” in +Block 5r. +2. Form FRA F 6180.54–Place the following Miscellaneous Cause Codes, as applicable, in +Block 38: (a) Code M309 “Suicide (Highway-Rail Grade Crossing Accident)”; (b) Code +M310 “Attempted Suicide (Highway-Rail Grade Crossing Accident)”; (c) Code M509 +“Suicide (Other Misc.)”; and (d) Code M510 “Attempted Suicide (Other Misc.).” These +codes can be found in Appendix C, “Train Accident Cause Codes” to this Guide. +FRA Guide for Preparing Accident/Incident Reports +49 +F 6180.55a +3. Form FRA F 6180.57–Mark in Block 41, “Driver Action,” the selection for “Suicide or +Attempted Suicide.” Include the suicides and attempted suicides in the casualty counts in +Blocks 46, 49, and 52, as applicable. +When applicable, railroads must record/report suicide data on the below forms as follows: +1. Form FRA F 6180.97: A railroad shall include casualties that result from suicides and +attempted suicides in the casualty count. In addition, where an accountable or reportable +rail equipment accident/incident is caused by a suicide or attempted suicide, the railroad +shall indicate that fact in the narrative field. +2. Form FRA F 6180.98: A railroad must indicate in the narrative section that the +accountable or reportable injury or fatality resulted from the person’s suicidal act. +In addition, railroads must include suicide data in the casualty count on Form FRA F 6180.55. +FRA will maintain suicide data in a database that is not publically accessible. FRA will +not include suicide data (as defined in § 225.5) in its periodic summaries of data on the +number injuries and illnesses associated with railroad operations. See § 225.41, Suicide +Data. Suicide data will not be available on FRA’s Web site for individual reports or +downloads. Suicide data will, however, be available to the public in aggregate format on +FRA's website and via requests under the Freedom of Information Act (FOIA). For +additional information on FOIA requests, see FRA’s Web site at +http://www.fra.dot.gov/us/foia. FRA will not report suicide data to DOL. Suicide data +will also be available to FRA inspectors and State agencies participating in investigative +activities under part 212. See § 225.31. States will also be able to obtain individual +reports directly from the railroads pursuant to § 225.1. See § 225.1. +6.4 Covered Data +Covered data is information that must be reported to FRA so that FRA’s reporting requirements +remain consistent with OSHA. Covered data concerns railroad employee injuries or illnesses +that are reportable exclusively because a physician or other licensed health care professional: +1. Recommends in writing that: +a. The employee take 1 or more days away from work when the employee instead +reports to work (or would have reported had he or she been scheduled) and takes no +days away from work in connection with the injury or illness and returns to full duty +(no restricted days); +b. The employee work restricted duty for 1 or more days when the employee instead +works unrestricted (or would have worked unrestricted had he or she been scheduled) +and takes no days of restricted work activity in connection with the injury or illness; +FRA Guide for Preparing Accident/Incident Reports +50 +F 6180.55a +c. The employee take over-the-counter (OTC) medication at a dosage equal to or greater +than the minimum prescription strength, whether or not the employee actually takes +the medication; or +2. Makes a one-time topical application of a prescription-strength medication to the +employee’s injury. +Although “covered data” cases will be retained in the files and will be accessible on FRA’s Web +site, these cases will not be included in the casualty counts found in FRA’s regular publications, +e.g., Annual Report of Railroad Safety Statistics. +6.5 Employee On-Duty Injury/Illness Reporting +Basic Requirement. See Chapter 6.1 of this Guide. See also § 225.11 and § 225.19(d), +6.5.1 Questions and Answers on Employee On-Duty Injury/Illness Reporting +Q1. What if the injury was caused by the employee’s own negligence or was a +result of events beyond the railroad’s control, e.g., an employee was assaulted +by a trespasser, or two employees were engaged in horseplay. Would this +make a difference in terms of whether the injury or illness must be reported? +A1. No. Responsibility or fault is not a consideration when deciding whether to +report. FRA notes that many circumstances that lead to a reportable work-related +injury or illness are “beyond the employer’s control,” at least as that phrase is +commonly interpreted. Nevertheless, because such an injury or illness was +caused, contributed to, or significantly aggravated by an event or exposure arising +from the operation of the railroad, it must be reported (assuming that it meets one +or more of the reporting criteria and does not qualify for a reporting exception +under § 225.15.) This approach is consistent with the no-fault reporting system +FRA has adopted, which includes work-related injuries and illnesses, regardless +of the level of employer control involved. +The following do not affect reportability if there is evidence an employee was +injured or made ill while in the work environment: +1. The event or exposure was not witnessed. +2. The employee did not immediately notify a supervisor. +3. The employee did not require medical treatment at the time of the +condition. +4. The condition was the result of an employee’s error. +FRA Guide for Preparing Accident/Incident Reports +51 +F 6180.55a +5. The condition was caused by outside factors, e.g., assault on an employee, +an insect or animal bite, lightening strike, other act of nature. +6. The condition did not meet all the necessary conditions for reporting at the +time of the initial event, activity, or exposure. +7. The condition was the culmination of a series of activities. +8. The employee cannot specifically identify when or how he or she was +injured. +Q2. How do I decide whether a particular injury or illness of an employee on +duty is reportable? +A2. The following decision tree shows the basic steps involved in making this +determination: +Did the employee experience +an injury or illness? +Is the injury or illness workrelated? +Is the injury or illness a new case? +No +Update the previously +reported injury or +illness entry if +necessary. +Does the injury or illness meet the +general reporting criteria or the +application to specific cases? +Do not report the +injury or illness (may +require Form FRA +F 6180.98). +No +No +Report the injury or +illness on form FRA +F 6180.55a. +Yes +Yes +Yes +Yes +No +FRA Guide for Preparing Accident/Incident Reports +52 +F 6180.55a +6.6 Determination of Work-Relatedness +You must consider an injury or illness to be work-related if an event or exposure in the work +environment discernibly caused or contributed to the resulting condition, or if an event or +exposure occurring in the work environment is a discernable cause of a significant aggravation to +a preexisting injury or illness. The work event or exposure need only be one of the causes of, or +contributors to, the resulting injury or illness; it need not be the sole or predominant cause or +contributor. Work-relatedness is presumed for injuries and illnesses resulting from events or +exposures occurring in the work environment, even if the injury or illness does not have a clear +connection to a specific work activity or is not occupational in nature. +Injuries and illnesses that occur at work may not have a clear connection to a specific work +activity, condition, or substance that is peculiar to the employment environment. For example, +an employee may trip for no apparent reason while walking across a level factory floor; be +sexually assaulted by a co-worker; or be injured accidentally as a result of an act of violence +perpetrated by one co-worker against a third party. In these and similar cases, the employee’s +job-related tasks or exposures did not create or contribute to the risk that such an injury would +occur. Nevertheless, these cases are work-related. The causal connection is established by the +fact that the injury would not have occurred but for the conditions and obligations of +employment that placed the employee in the position in which he or she was injured or made ill. +An injury or illness is not reportable if the injury or illness involves signs or symptoms that +manifest themselves at work but result solely from a non-work-related event or exposure that +occurs outside the work environment. See reporting exceptions listed at § 225.15. +If it is not obvious whether the precipitating event or exposure that caused or contributed to an +injury or illness occurred in the work environment or elsewhere, the employer must evaluate the +employee’s work duties and environment to decide whether one or more events or exposures in +the work environment caused or contributed to the resulting condition, or significantly +aggravated a preexisting condition. As long as the event or exposure occurred at work and is a +discernable cause of the injury or illness or is a discernable cause of a significant aggravation to +a preexisting injury or illness, the injury or illness is work-related. If an injury is within the +presumption of work-relatedness, the employer can rebut work-relatedness only by showing that +the case falls within an exception listed in § 225.15. This means that the employer must make a +determination as to whether it is more likely than not that work events or exposures were a +discernable cause of the injury or illness, or a discernable cause of a significant aggravation to a +preexisting condition. The evaluation might include consultation with an ergonomics expert as +well as a PLHCP. A review of the job description, alone, is not sufficient without reviewing all +of the employee’s collateral duties. If the employer decides the case is not work-related, and +FRA subsequently issues a citation for failure to report, the Government would have the burden +of proving that the injury or illness was work-related. +FRA Guide for Preparing Accident/Incident Reports +53 +F 6180.55a +6.6.1 Interpretations on Work-Relatedness + +Scenario 1: +An employer asks if an injury or illness sustained by an on-duty employee while he or she is +engaged in an activity, such as walking or bending, is considered work-related. The employer +notes that a case is presumed to be work-related if an event or exposure in the work environment +discernibly caused or contributed to the injury or illness. The work event or exposure need only +be one of the causes or contributions to the injury or illness; it need not be the sole or +predominant cause. +Response 1: +The question employers must answer is whether there is an identifiable event or exposure that +occurred in the work environment and resulted in the injury or illness. Thus, if an employee trips +while walking across a level shop floor, the resulting injury is considered work-related because +the precipitating event—the tripping accident—occurred in the workplace. The case is workrelated even if the employer cannot determine why the employee tripped, or whether any +particular workplace hazard caused the accident to occur. +The activity engaged in by the employee at the time of the injury—walking—is an “event” that +would trigger application of the presumption. Other examples of events include sneezing, +climbing, tripping, and bending down. In the absence of evidence to overcome the presumption, +the injury is work-related. Thus, in the absence of evidence to overcome the presumption, an +ankle injury caused by a trip that occurred while the employee was walking down a level +seamless hallway at work is work-related, regardless of whether the accident is attributable to a +defect in the hall. By the same reasoning, if the activity of walking down a hallway caused the +employee’s knee to buckle or to sprain the ankle, the injury is work-related. If an injury or +illness did not result from an identifiable event or exposure in the work environment, but only +manifested itself during work, the injury is not work-related. For example, if the employee had a +non-occupational event or exposure, and there is no evidence of a work-related event or exposure +that caused or contributed to the injury or illness, the injury should not be reported. +There is also the issue of whether the determination of work-relatedness is affected by an +employee’s preexisting condition. For reporting purposes, a preexisting condition is an injury or +illness resulting solely from a non-work-related event or exposure. If an employee’s preexisting +condition is worsened as a result of an event or exposure at work, the case is work-related if the +work event or exposure “significantly aggravated” the preexisting condition (i.e., discernibly +caused the case to meet any of the general criteria). +If an employee with a previous work-related injury to a body part suffers a subsequent workrelated injury of the same type to the same body part, the subsequent injury is reportable +(assuming the general reporting criteria are met) if it is a “new case” as described in this chapter. +FRA Guide for Preparing Accident/Incident Reports +54 +F 6180.55a +If the subsequent injury is not a “new case,” then the railroad is required to update the previously +submitted injury or illness report if necessary. +Scenario 2: +An employee reported to work at 7:00 a.m. At 12:15 p.m., the employee reported that his toes +on his left foot started swelling and his foot started hurting. The employee wanted to go to a +doctor for evaluation. +On the first report of injury that the employee completed before he went to the doctor, +the employee indicated that the cause of the illness was “unknown.” +When answering the doctor’s question: “How did the injury occur?,” the employee answered +that the only thing he could think of was that his feet were wet all the previous day due to work +in the morning at a cooling tower. The cooling tower water is treated to remove bacteria and +then used in process operations in the plant. +The doctor described the illness/injury as foot edema/cellulitis. The doctor also diagnosed the +injury as an occupational disease, prescribed an antibiotic, and the employee missed 1 day of +work. The company sent the employee to a second doctor who said to continue using the +antibiotic. Neither doctor could state conclusively that the foot edema/cellulitis was or was not +due to the employee’s feet being wet due to work at the cooling tower. Neither doctor is a +specialist in skin disorders. +During an incident review at the site, the employee again said he did not know if his feet being +wet all day the previous day caused the injury/illness. The employee also stated that he had not +worn the personal protective equipment—rubber boots—prescribed for this task. +The company determined that this injury/illness was not work-related (did not occur in the +course of or as a result of employment), since neither physician nor the employee could state +with certainty that the injury/illness was caused by the employee’s feet being wet all day due to +work at the cooling tower. Since the injury/illness was determined to not be work-related, the +company deemed the incident non-reportable. +Response 2: +A case is work-related if it is more likely than not that an identifiable event or exposure in the +work environment was a discernable cause of the injury or illness. The work event or exposure +need only be one of the causes; it need not to be the sole or predominant cause. In this case, the +fact that neither the physician nor the employee could state with absolute certainty that the +employee’s edema was caused by working with wet feet is not dispositive. In these situations, +the railroad should evaluate the surrounding circumstances and relevant information (i.e., the +FRA Guide for Preparing Accident/Incident Reports +55 +F 6180.55a +physician’s description of the edema as an “occupational disease,” the employee’s statement that +working with wet feet was “the only thing he could of” as the cause, the employee’s medical +history and events surrounding the injury/illness) to determine whether it is more likely that the +identifiable event (working with wet feet) was a cause. The fact that the employee did not wear +proper protective equipment is irrelevant for reporting purposes. If the railroad determines that +the case it reportable, the case must be recorded on the Railroad Employee Injury and/or Illness +Record, Form FRA F 6180.98, and reported to FRA on Form FRA F 6180.55a. +Scenario 3: +An employee was to report to work by 8:00 a.m. The employee drove into the company parking +lot at 7:30 a.m. and parked the car. The employee exited the car and proceeded to the office to +report to work. The parking lot and sidewalks are privately owned by the facility and both are +within the property line, but not the controlled access points (i.e., fence, guards). The employee +stepped onto the sidewalk and slipped on the snow and ice. The employee suffered a back injury +and missed multiple days of work. The company believes that the employee was still in the +process of the commute to work since the employee had not yet checked in at the office. Since a +work task was not being performed, the site personnel deemed the incident not work-related and +therefore not reportable. +Response 3: +Company parking lots and sidewalks are part of the employer’s establishment for injury/illness +reporting purposes. In this case, the employee slipped on an icy sidewalk while walking to the +office to report for work. In addition, the event or exposure that occurred does not meet any of +the work-related exceptions. The employee was on the sidewalk because of work not because +the employee was a member of the general public or a trespasser. The event or exposure +occurred in the work environment and caused or contributed to the resultant injury. Therefore, +the case is work-related, regardless of the fact that he had not actually checked in, and must be +reported as a case involving a Railroad Employee Not On Duty (Class B). See reporting +exceptions listed at § 225.15. +Scenario 4: +An employee reports to work. Several hours later, the employee goes outside for a “smoke break +and to get a pair of sunglasses from his truck.” The employee slips on ice and injures his back. +Since the employee was not performing tasks related to the employee’s work, the company has +deemed this incident non-work-related and therefore not reportable. +FRA Guide for Preparing Accident/Incident Reports +56 +F 6180.55a +Response 4: +An injury or illness is not work-related if it is solely the result of an employee doing personal +tasks (unrelated to their employment) at the establishment outside of the employee’s assigned +working hours. See reporting exceptions listed at § 225.15. In order for this exception to apply, +the case must meet both of the stated conditions. The exception does not apply here because the +injury or illness occurred within normal working hours as “breaks” during normal working hours +are considered within assigned working hours. Therefore, this case is work-related, and must be +recorded on the Railroad Employee Injury and/or Illness Record, Form FRA F 6180.98, and +reported on Form FRA F 6180.55a. +Scenario 5: +An employee drove into the company parking lot at 7:30 a.m., exited his car, and proceeded to +cross the parking lot to clock in to work. A second employee, also on the way to work, +approached the first employee, and the two individuals got into a physical altercation in the +parking lot. The first employee broke an arm during the altercation. The employee went to the +doctor and received medical treatment for his injury. +The company deemed this a non-work-related incident, and therefore non-reportable, since the +employees had not yet reported to work and a work task was not being performed at the time of +the altercation. +Response 5: +The reporting requirements contain no general exception for purposes of determining workrelatedness for cases involving acts of violence in the work environment. Company parking +lots/access roads are part of the employer’s premises and therefore part of the employer’s +establishment. Whether the employee had not clocked in to work does not affect the outcome for +determining work-relatedness. Therefore, this case is work-related and must be recorded on the +Railroad Employee Injury and/or Illness Record, Form FRA F 6180.98, and reported on Form +FRA F 6180.55a. +Scenario 6: +An employee injured a knee performing work-related activities in 2005. The accident was +FRA-reportable. The employee had arthroscopic knee surgery 11 months later and was released +to full duty a month and a half after the arthroscopic surgery. +The employee had a second knee injury 3 months after the return to work release (after the first +surgery). After the second surgery, the doctor prescribed Vioxx® as an anti-inflammatory drug. +FRA Guide for Preparing Accident/Incident Reports +57 +F 6180.55a +Approximately 1½ months after the second knee surgery, the employee was given another full +release to return to work full duty, and returned to work. However, the doctor told the employee +to continue to take Vioxx® as prescribed (as needed) and to return to the doctor as needed. The +employee scheduled a followup appointment with the doctor. The day before the appointment, +the employee bumped his knee at work. During his scheduled doctor’s appointment (which was +to be the last followup visit), the employee mentioned the latest incident (bumping the knee) to +the doctor and showed him where the pain was occurring due to bumping his knee. The doctor +stated that the employee had an inflamed tendon (Grade 1 lateral collateral ligament sprain) that +was not part of the initial surgery (patellar tendonitis). The doctor stated in the diagnosis that the +original injury that required knee surgery was resolved. The doctor told the employee to +continue taking Vioxx® for the inflamed tendon. Since the employee was already taking the +medication prescribed (Vioxx®), the railroad does not believe this is reportable as a second +incident. +Response 6: +In the accident/incident regulation and reporting guidelines, the employer is required to follow +any determination a physician or other licensed healthcare professional has made about the status +of a new case. The inflamed tendon is a new case because the employee had completely +recovered from the previous injury and illness and a new event or exposure had occurred in the +work environment. +Scenario 7: +An employee knits a sweater for her daughter during a lunch break. She lacerates her hand and +needs sutures. She is engaged in a personal task. Are lunch breaks or other breaks considered +“assigned working hours?” Is the case reportable? +Response 7: +This case must be reported because it does not meet the exception to work-relatedness for +injuries that occur in the work environment but are solely due to personal tasks. For the +“personal tasks” exception to apply, the injury or illness must: 1) be solely the result of the +employee doing personal tasks (unrelated to their employment) and 2) occur outside of the +employee’s assigned working hours. The exception does not apply to injuries and illnesses that +occur during breaks in the normal work schedule. Here, the exception does not apply because +the injury occurred during the employee’s lunch break. +Scenario 8: +Does an employee become a part of the general public once they have timed out? Or, are they +considered part of the workforce from the time they get out of their car coming in to work to the +time they step into their car to go home at the end of their work day? +FRA Guide for Preparing Accident/Incident Reports +58 +F 6180.55a +Response 8: +For purposes of FRA recordkeeping, injuries, and illnesses occurring in the work environment +are considered work-related. Punching in and out with a time clock (or signing in and out) does +not affect the outcome for determining work-relatedness. If the employee experienced a workrelated injury or illness that meets the requirement for recording on a Form FRA F 6180.98 +record, then the paperwork must be retained on file. If it satisfies one or more of the general +reporting criteria, it must be reported on Form FRA F 6180.55a. The only distinction is whether +to report it as a Railroad Employee On Duty (Class A) or Railroad Employee Not On Duty +(Class B). Employees are considered members of the general public when they are present in the +work environment for reasons solely unconnected with their employment or without their +employer’s permission. Again, an employee does not become a member of the general public +solely by being present in the work environment outside of assigned work hours. For example, +an employee of a passenger railroad maybe considered a member of the general public in the +work environment when they are a passenger on the train for personal reason unconnected to +work (i.e., personal vacation). +Scenario 9: +An employee times out and chooses to linger in the plant. Then, she goes to her locker to lock up +her personal items, and falls. Is the injury work-related? +Response 9: +Since the resultant injury occurred in the work environment, it is work-related, unless a specific +exception applies. There are not enough factual details provided in the scenario for FRA to fully +evaluate whether an exception under § 225.15 applies in the circumstances described. However, +if employees normally keep personal items in a locker at the plant, FRA would not consider the +employee’s actions in going to her locker before leaving the plant to be a personal task, unrelated +to employment, for purposes of the exception. +6.6.2 Questions and Answers on Employees—Determination of Work-Relatedness +Q3. Are there situations in which an injury or illness occurs to an employee while +in the work environment, but would not be reported as an injury to, or +illness of, an employee on duty? +A3. Yes. An injury or illness occurring in the work environment that falls under one +of the reporting exceptions set forth at § 225.15(b) would not be reported as one +to an employee on duty. These situations must be evaluated to determine if the +employee’s condition is reportable using the criteria for individuals who are not +employees on duty, e.g., employee not on duty, nontrespasser. +FRA Guide for Preparing Accident/Incident Reports +59 +F 6180.55a +Q4. What activities are considered “personal grooming” for purposes of the +exception to the geographic presumption of work-relatedness for employees +on duty? +A4. Personal grooming activities are activities directly related to personal hygiene, +such as combing and drying hair, brushing teeth, clipping fingernails, and the like. +Bathing or showering at the workplace, when necessary, because of an exposure +to a substance at work, is not within the personal grooming exception. Thus, if an +employee slips and falls while showering at work to remove a contaminant to +which he has been exposed at work, and sustains an injury that meets one of the +general reporting criteria, the case is reportable. +Q5. What are “personal tasks” for purposes of the reporting exception under +§ 225.15? +A5. “Personal tasks” are tasks that are unrelated to the employee’s job. For example, +if an employee uses a company break to perform work on his or her personal +automobile that is not part of his or her job duties, he or she is engaged in a +personal task. However, this example would still be reportable as the employee is +performing a personal task during a lunch break, which is within assigned work +hours. Note that a case is reportable unless it meets both prongs of the exception +under § 225.15: the case must involve first, personal tasks at the establishment; +and second, must have occurred outside of the employee’s assigned working +hours. See Q7 and A7, below. +Q6. If an employee stays at work after normal work hours to prepare for the next +day’s tasks and is injured, is the worker considered to be an employee on +duty? For example, if an employee stays after work to prepare equipment +and is injured, is the case work-related? +A6. Yes. This individual’s injury is considered to be work-related. A case is workrelated any time an event or exposure in the work environment either causes or +contributes to an injury or illness, or significantly aggravates a preexisting injury +or illness, unless one of the specific exceptions in this section applies. The work +environment includes the establishment and other locations where one or more +employees are working or are present as a condition of their employment. The +case in question would be work-related if the employee was injured as a result of +an event or exposure at work, regardless of whether the injury occurred after +normal work hours and regardless of whether the employee was in pay status. +FRA Guide for Preparing Accident/Incident Reports +60 +F 6180.55a +Q7. An employee was injured in the workplace while performing a personal task +(unrelated to their employment) outside of the employee’s assigned working +hours; is the injury reportable? +A7. In order to correctly apply the reporting exception, the case must meet both of the +following conditions. The case must involve first, personal tasks at the +establishment; and second, must have occurred outside of the employee’s +assigned working hours. In this case, the conditions are met. Thus, this case +would not be reportable as an injury to a Railroad Employee On Duty (Class A). +Q8. How do I handle a case if it is not obvious whether the precipitating event or +exposure occurred in the work environment or occurred away from work? +A8. You must evaluate the employee’s work duties and environment to decide +whether it is more likely than not that one or more events or exposures in the +work environment either caused or contributed to the resulting condition or +significantly aggravated a preexisting condition. The evaluation might include +consultation with an ergonomics expert as well as a PLHCP. A review of the job +description alone is not sufficient without reviewing all of the employee’s +collateral duties. +Q9. How do I know if an event or exposure in the work environment +“significantly aggravated” a preexisting injury or illness? +A9. A preexisting injury or illness has been significantly aggravated, for purposes of +FRA injury and illness recordkeeping, when: + With respect to any person: +(1) Death, provided that the preexisting injury or illness would likely not have +resulted in death but for the occupational event or exposure. +(2) Loss of consciousness, provided that the preexisting injury or illness would +likely not have resulted in loss of consciousness but for the occupational event +or exposure. +(3) Medical treatment in a case where no medical treatment was needed for the +injury or illness before the workplace event or exposure, or a change in +medical treatment was necessitated by the workplace event or exposure. +With respect to a railroad employee: +(1) One or more days away from work, days of restricted work, or days of job +transfer that otherwise would not have occurred but for the occupational event +or exposure. +FRA Guide for Preparing Accident/Incident Reports +61 +F 6180.55a +Q10. Which injuries and illnesses are considered preexisting conditions? +A10. An injury or illness is a preexisting condition if it resulted solely from a nonwork-related event or exposure that occurred outside the work environment, e.g., +diabetes. +Q11. An employee-on-duty was injured at work and received medical treatment. +The employee was also tested for alcohol and drugs. The test was positive for +alcohol. The employee admitted that he had been previously treated for +alcohol abuse. An investigation determined that this event or exposure +would not have occurred except for the alcohol impairment. Since the +employee already had an existing problem with alcohol abuse, would this +injury meet the reporting exception that the injury or illness involves signs or +symptoms that manifest themselves at work but result solely from a nonwork-related event or exposure that occurs outside the work environment? +A11. The positive drug/alcohol history is not a qualifying reporting exception. There +are some medical conditions, such as epilepsy, that cannot be controlled by the +employee. The Americans with Disabilities Act, Public Law 101-336, prohibits +discrimination on the basis of epilepsy in employment. That is why OSHA has +excluded injuries occurring as a result of epilepsy from injury reporting with the +revised regulation, if the workplace environment did not trigger the epileptic +seizure. This exception allows the employer to exclude cases where a loss of +consciousness is due solely to a personal health condition, such as epilepsy, +diabetes, or narcolepsy. +This concept cannot be extended to alcohol dependency or the use of legal or +illegal drugs. Impairment by drugs or alcohol is a serious problem in the +workplace; however, it is not classified as a preexisting condition for purposes of +reporting injuries. The employer is expected to keep the workplace drug-free and +to report all injuries that meet FRA’s reporting criteria, including those that are +associated with a positive drug/alcohol test result. +Q12. How do I decide whether an injury or illness is work-related if the employee +is on travel status at the time the injury or illness occurs? +A12. Injuries and illnesses that occur while an employee is on travel status are workrelated if, at the time of the injury or illness, the employee was engaged in work +activities “in the interest of the employer.” Examples of such activities include +travel to and from customer contacts, conducting job tasks, and entertaining or +being entertained to transact, discuss, or promote business (work-related +FRA Guide for Preparing Accident/Incident Reports +62 +F 6180.55a +entertainment includes only entertainment activities being engaged in at the +direction of the employer). +Injuries or illnesses that occur when the employee is on travel status should be +evaluated as follows: +(1) An employee checks into a hotel or motel for 1 or more days. When a +traveling employee checks into a hotel, motel, or other temporary residence, +he or she establishes a “home away from home.” You must evaluate the +employee’s activities after he or she checks into the hotel, motel, or other +temporary residence for their work-relatedness in the same manner as you +evaluate the activities of a non-traveling employee. When the employee +checks into the temporary residence, he or she is considered to have left the +work environment. When the employee begins work each day, he or she reenters the work environment. If the employee has established a “home away +from home” and is reporting to a fixed worksite each day, you also do not +consider injuries or illnesses work-related if they occur while the employee is +commuting between the temporary residence and the job location. +Note: An employee in deadhead transportation is considered an +“employee on duty” regardless of the mode of transportation. +Deadhead transportation occurs when an employee is traveling at +the direction or authorization of the carrier to or from an +assignment, or the employee is involved with a means of +conveyance furnished by the carrier or compensated by the carrier. +- +Exception: If an employee is housed by the carrier in a facility such as a +motel, and part of the service provided by the motel is the +transportation of the employee to and from the worksite, any +reportable injury to the employee during such transit is to be +reported as that to a Railroad Employee Not On Duty (Class B). If +the employee had decided upon other means of transportation that +had not been authorized or provided, such as a ride from a friend, +and for which he would not have been compensated by the +railroad, the injury is not considered work-related. +(2) An employee takes a detour for personal reasons. Injuries or illnesses are not +considered work-related if they occur while the employee is on a personal +detour from a reasonably direct route of travel (e.g., has taken a side trip for +personal reasons). +Q13. This question involves the following sequence of events: Employee A drives +to work, parks her car in the company parking lot, and is walking across the +FRA Guide for Preparing Accident/Incident Reports +63 +F 6180.55a +lot, when she is struck by a car driven by Employee B, who is commuting to +work. Both employees are seriously injured in the accident. Is either worker +considered to be an employee on duty? +A13. Neither employees’ injuries are reportable as occurring to a Railroad Employee +On Duty (Class A). While the employee parking lot is part of the work +environment, injuries occurring there would be classified as injuries to Railroad +Employees Not On Duty (Class B). +Q14. How do I decide if a case is work-related when the employee is working at +home or telecommuting from another location? +A14. Injuries and illnesses that occur while an employee is working at home, including +work in a home office, will be considered work-related if the injury or illness +occurs while the employee is performing work for pay or compensation in the +home, and the injury or illness is directly related to the performance of work +rather than to the general home environment or setting. For example, if an +employee drops a box of work documents and injures his or her foot, the case is +considered work-related. If an employee is injured because he or she trips on the +family dog while rushing to answer a work phone call, the case is not considered +work-related. If an employee working at home is electrocuted because of faulty +home wiring, the injury is not considered work-related. +Q15. If an employee voluntarily takes work home and is injured while working at +home, is the case reportable? +A15. No. Injuries and illnesses occurring in the home environment are only considered +work-related if the employee is being paid or compensated for working at home +and the injury or illness is directly related to the performance of the work rather +than to the general home environment. +6.7 Determination of New Cases +You must consider an injury or illness to be a “new case” if: +1. The person has not previously experienced a reported injury or illness of the same type +that affects the same part of the body; or +2. The person previously experienced a reported injury or illness of the same type that +affected the same part of the body but had recovered completely (all signs and symptoms +had disappeared) from the previous injury or illness; and an event or exposure in the +work environment discernibly caused the signs or symptoms to reappear. +FRA Guide for Preparing Accident/Incident Reports +64 +F 6180.55a +The following criteria are used for determining whether any injury or illness, including a +musculoskeletal disorder, is to be treated as a new case or as the continuation of an “old” injury +or illness. First, if the employee has never had a reported injury or illness of the same type and +affecting the same part of the body, the case is automatically considered a new case and must be +evaluated for reportability. This provision will handle the vast majority of injury and illness +cases, which are new cases rather than recurrences or case continuations. Second, if the +employee has previously had a reported injury or illness of the same type and affecting the same +body part, but the employee has completely recovered from the previous injury or illness, and a +new workplace event or exposure causes the injury or illness (or its signs or symptoms) to +reappear, the case is a recurrence that the employer must evaluate for reportability. +When an employer has determined that an employee injury or illness is an old case, the employer +should review any additional or new information and amend the old records or reports when +appropriate. If it is a new case, it must be reviewed for reportability. +6.7.1 Questions and Answers on New Cases +Q16. How is an employer to determine whether an employee has “recovered +completely” from a previous injury or illness such that a later injury or +illness of the same type affecting the same part of the body resulting from an +event or exposure at work is a new case? If an employee’s signs and +symptoms disappear for a day and then resurface the next day, should the +employer conclude that the later signs and symptoms represent a new case? +A16. An employee has recovered completely from a previous injury or illness, for +purposes of this section, when he or she is fully healed or cured. The employer +must use his best judgment based on factors such as the passage of time since the +symptoms last occurred and the physical appearance of the affected part of the +body. If the signs and symptoms of a previous injury disappear for a day only to +reappear the following day, that is strong evidence the injury has not properly +healed. The employer may, but is not required to, consult a PLHCP. Where the +employer does consult a PLHCP to determine whether an employee has recovered +completely from a prior injury or illness, it must follow the PLHCP’s +recommendation. In the event the employer receives recommendations from two +or more PLHCPs, the employer may decide which recommendation is the most +authoritative and report the case based on that recommendation. +Q17. When an employee experiences the signs or symptoms of a chronic workrelated illness, do I need to consider each recurrence of signs or symptoms to +be a new case? +A17. No. For occupational illnesses where the signs or symptoms may recur or +continue in the absence of an exposure in the workplace, the case must only be +FRA Guide for Preparing Accident/Incident Reports +65 +F 6180.55a +reported once. Examples may include occupational cancer, asbestosis, byssinosis, +and silicosis. +Q18. When an employee experiences the signs or symptoms of an injury or illness +as a result of an event or exposure in the workplace, such as an episode of +occupational asthma, must I treat the episode as a new case? +A18. Yes. Since the episode or recurrence was caused by an event or exposure in the +workplace, the incident must be treated as a new case. +Q19. May I rely on a PLHCP to determine whether a case is a new case or a +recurrence of an old case? +A19. You are not required to seek the advice of a PLHCP to determine whether a case +is new or a recurrence of an old one. However, if you do seek such advice, you +must follow the PLHCP’s recommendation about whether the case is a new case +or a recurrence. If you receive recommendations from two or more PLHCPs, you +must make a decision as to which recommendation is the most authoritative (best +documented, best reasoned, or most persuasive), and report the case based upon +that recommendation. If a subsequent physician determines that the condition +does not exist or is not work-related following a review of the examining +physician’s tests, notes, diagnosis, etc., then it must be clearly documented why +the subsequent physician’s findings differ from the original physician. +6.8 General Reporting Criteria +FRA’s general reporting criteria for death, injury, or occupational illness is set forth in Chapter +6.1 of this Guide. +6.8.1 Questions and Answers on General Reporting Criteria +Q20. How do I decide if a case meets one or more of the general reporting criteria? +A20. A work-related injury or illness must be reported if it results in one or more of the +following: + +1. Death. +2. Days away from work. +3. Restricted work or transfer to another job. +4. Medical treatment beyond first aid. +5. Loss of consciousness. +FRA Guide for Preparing Accident/Incident Reports +66 +F 6180.55a +6. A significant injury or illness diagnosed by a PLHCP. +7. Needlestick or sharps injury. +8. Medical removal. +9. Occupational hearing loss. +10. Occupational tuberculosis. +11. Musculoskeletal disorder if this disorder is reportable under one or more of +the general reporting criteria. +12. Covered data case. +6.8.2 Questions and Answers on Days Away from Work +Q21. How do I report a work-related injury or illness that results in day(s) away +from work? +A21. When an injury or illness involves 1 or more days away from work, you must +report the injury or illness on Form FRA F 6180.55a and report the number of +calendar days away from work in Column 5o. (See definition of “day away from +work” and the section on counting days away from work and days of restriction.) +If the employee is out for an extended period of time, you must enter a best faith +estimate of the day(s) that the employee will be away, and update the day count +when the actual number of days is known. +Q22. Do I count the day on which the injury occurred or the illness began? +A22. No. You begin counting days away from work on the day after the injury +occurred or the illness began. +Q23. How do I report an injury or illness when a PLHCP recommends that the +worker stay at home, but the employee comes to work anyway? +A23. You must report these injuries and illnesses on Form FRA F 6180.55a. If a +PLHCP recommends days away, you should encourage your employee to follow +that recommendation. However, a minimum of 1 day away from work must be +reported when the injured or ill employee does not follow the PLHCP’s +recommendation and returns to work. If you receive recommendations from two +or more PLHCPs, you may make a decision as to which recommendation is the +most authoritative, and report the case based upon that recommendation. +Q24. How do I handle a case when a PLHCP recommends that the worker return +to work, but the employee stays at home for a day anyway? +FRA Guide for Preparing Accident/Incident Reports +67 +F 6180.55a +A24. A decision by an employee concerning the care or treatment of his or her own +condition is not to be considered when deciding to report. If an employee has an +injury that meets none of the standard criteria for reporting, then an employee’s +action, e.g., taking OTC medication at prescription strength without proper +authorization, would not make the injury reportable even if he or she informed his +or her employer that this level of dosage was used. +In the situation described, a report would not be made unless the day absent from +work was approved by the employer as necessary for recovery from an otherwise +reportable injury, e.g., prescription medication was recommended by a PLHCP. +If the employee contacted the appropriate official in the company and this official +authorized the time off because of the injury, then a day away from work is to be +counted. Authorization may also come from a PLHCP, e.g., he sees his own +physician the day after the injury and the employer is aware that the doctor +recommends that the employee take time off to recover. +Q25. An employee who sustained a work-related bruise on his knee was told by a +physician not to return to work until undergoing a magnetic resonance +imaging (MRI). The employee remained off work for some days before the +procedure could be performed. The MRI showed that no FRA-reportable +injury occurred. Since no injury occurred, should this case be reported to +FRA? +A25. Results of an MRI do not negate the reportability of a physician’s +recommendation. The case is FRA-reportable based on the physician’s +recommendation that the employee not return to work before undergoing an MRI +for his bruised knee. Railroads are instructed on how to record days-away cases +when a physician or PLHCP recommends that the injured or ill worker stay at +home or return to work but the employee chooses not to do so. FRA requires +employers to follow the physician’s or PLHCP’s recommendation when reporting +a case. For purposes of FRA recordkeeping, the case met the criteria for reporting +because the employee had sustained a work-related injury—a bruised knee— +involving 1 or more days away from work. The subsequent MRI results do not +change these facts. Accordingly, the negative results from the MRI results do not +change the fact that the employee was instructed not to return to work. +Q26. If an employee who sustains a work-related injury requiring days away from +work is terminated for drug use based on the results of a post-accident drug +test, how is the case reported? May the employer stop the day count upon +termination of the employee for drug use? +For another injury, it was later established during a hearing that the injury +was the result of a rules violation on the part of the employee. The employee +FRA Guide for Preparing Accident/Incident Reports +68 +F 6180.55a +was terminated because of the rules violation. When do we discontinue the +counting of days away from work? +A26. The purpose of counting days away from work is to provide an additional +measure of the severity of an injury. The employer may stop counting days away +from work if an employee who is away from work because of an injury or illness +leaves the company for some reason unrelated to the injury or illness, such as +retirement or scheduled seasonal layoff. However, when the employer conducts a +drug test based on the occurrence of an accident resulting in an injury at work and +subsequently terminates the injured employee, the termination is related to the +injury. The same is true for discipline involving suspension of duty for a rule +violation that is imposed following an injury. +Therefore, you must estimate the number of days in cases such as these where the +employee would have otherwise been away from work due to the injury, and enter +that number on Form FRA F 6180.55a. +Q27. Once I have reported a case involving days away from work, restricted work, +or medical treatment and the employee has returned to his or her regular +work or has received the course of recommended medical treatment, is it +permissible for the me to delete the case based on a company physician’s +recommendation that the days away from work, work restriction or medical +treatment were not necessary? +A27. The initial decision about the need for days away from work, a work restriction, +or medical treatment is based on the information available, including any +recommendation by a physician or other licensed health care professional at the +time the employee is examined or treated. At this time, if you receive +contemporaneous recommendations from two or more physicians or other +licensed health care professionals about the need for days away, a work +restriction, or medical treatment, the employer may decide which +recommendation is the most authoritative and report the case based on that +recommendation. However, once the days away from work or work restriction +has occurred or medical treatment has been given, the employer may not delete +the case because of a later physician’s conclusion that the days away, restriction +or treatment was unnecessary. +Q28. How long must a modification to a job last before it can be considered a +permanent modification? +A28. You may stop counting days of restricted work or transfer to another job if the +restriction or transfer is made permanent. A permanent restriction or transfer is +one that is expected to last for the remainder of the employee’s career. Where the +FRA Guide for Preparing Accident/Incident Reports +69 +F 6180.55a +restriction or transfer is determined to be permanent at the time it is ordered, you +must count at least 1 day of the restriction and enter “Y” for termination or +permanent transfer on Form FRA F 6180.55a in Block 5r. If the employee whose +work is restricted, or who is transferred to another job, is expected to return to his +or her former job duties at a later date, the restriction or transfer is considered +temporary rather than permanent. +Q29. If an employee loses his arm in a work-related accident and can never return +to his job, how is the case reported? Is the day count capped at 180 days? +A29. If an employee never returns to work following a work-related injury, the +employer must enter an estimate of the number of days the employee would have +required to recuperate from the injury, up to 180 days. +Q30. How do I count weekends, holidays, or other days the employee would not +have worked anyway? +A30. You must count the number of calendar days the employee was unable to work as +a result of the injury or illness, regardless of whether the employee was scheduled +to work on those day(s). Weekend days, holidays, vacation days or other days off +are included in the total number of days reported if the employee would not have +been able to work on those days because of a work-related injury or illness. +Q31. How do I report a case in which a worker is injured or becomes ill on a +Friday and reports to work on a Monday, and was not scheduled to work on +the weekend? +A31. You need to report this case only if you receive information from a PLHCP +indicating that the employee should not have worked, or should have performed +only restricted work, during the weekend. If so, you must report the injury or +illness as a case with days away from work or restricted work, and enter the day +counts, as appropriate. +Q32. How do I report a case in which a worker is injured or becomes ill on the day +before scheduled time off such as a holiday, a planned vacation, or a +temporary plant closing? +A32. You need to report a case of this type only if you receive information from a +PLHCP indicating that the employee should not have worked, or should have +performed only restricted work, during the scheduled time off. If so, you must +report the injury or illness as a case with days away from work or restricted work, +and enter the day counts, as appropriate. +FRA Guide for Preparing Accident/Incident Reports +70 +F 6180.55a +Q33. Is there a limit to the number of days away from work I must count? +A33. Yes. You may “cap” the total days away at 180 calendar days. You are not +required to keep track of the number of calendar days away from work if the +injury or illness resulted in more than 180 calendar days away from work and/or +days of job transfer or restriction. In such a case, entering 180 in the total days +away column will be considered adequate. +Q34. May I stop counting days if an employee who is away from work because of +an injury or illness retires or leaves my company? +A34. Yes. If the employee leaves your company for some reason unrelated to the +injury or illness, such as retirement, a plant closing, or to take another job, you +may stop counting days away from work or days of restriction/job transfer. If the +employee leaves your company because of the injury or illness, you must estimate +the total number of days away or days of restriction or job transfer and enter the +day count on Form FRA F 6180.55a. +Q35. If a case occurs during 1 year but results in days away during the next +calendar year, do I report the case in both years? +A35. No. You only report the injury or illness once. You must enter the number of +calendar days away for the injury or illness on Form FRA F 6180.55a for the year +in which the injury or illness occurred. If the employee is still away from work +because of the injury or illness at the time you are doing your initial closing out of +the calendar year (by April 15), you must provide a best faith estimate of the total +number of calendar days you expect the employee to be away from work, and file +a corrected copy of Form FRA F 6180.55a if the 180-day cap has not been +reached. +6.9 Restricted Work +An employee’s work is considered restricted when, as a result of a work-related injury or illness, +1) a PLHCP recommends that the employee not perform one or more of the routine functions of +his or her job (job functions that the employee regularly performs at least once per week), or not +work the full workday that he or she would otherwise have been scheduled to work; or 2) the +employer keeps the employee from performing one or more of the routine functions of his or her +job, or from working the full workday that he or she would otherwise have been scheduled to +work. +FRA Guide for Preparing Accident/Incident Reports +71 +F 6180.55a +6.9.1 Questions and Answers on Restricted Work +Q36. How do I report a work-related injury or illness that results in restricted +work or job transfer? +A36. When an injury or illness involves restriction of routine work functions as a +described in (1) of the first paragraph of this section, the case is reportable as one +resulting in restriction, and a count of restricted days must be maintained. If the +injury or illness was not reportable under (1), but met any other reporting criteria, +i.e., medical treatment; then, any restricted days that result as described in (2) +must be recorded, unless the count of these days is subject to other limitations, +e.g., see Q42 and A42 in this section. You must report the number of qualifying +restricted or transferred days in the restricted workdays, Column 5p. +Q37. How do I decide if the injury or illness resulted in restricted work? +A37. Restricted work occurs when, as the result of a work-related injury or illness: +1. You keep the employee from performing one or more of the routine functions +of his or her job, or from working the full workday that he or she would +otherwise have been scheduled to work; or +2. A PLHCP recommends that the employee not perform one or more of the +routine functions of his or her job, or not work the full workday that he or she +would otherwise have been scheduled to work. +An employee’s routine functions are those work activities the employee regularly +performs at least once per week. +Q38. An employee hurts his or her left arm and is told by the doctor not to use the +left arm for a week. The employee is able to perform all of his or her routine +job functions using only the right arm (though at a slower pace and the +employee is never required to use both arms to perform his or her job +functions). Would this be considered restricted work? +A38. No. If the employee is able to perform all of his or her routine job functions +(activities the employee regularly performs at least once per week), the case does +not involve restricted work. Loss of productivity is not considered restricted work +for FRA’s reporting purposes. +Q39. Do I have to report restricted work or job transfer if it applies only to the +day on which the injury occurred or the illness began? +FRA Guide for Preparing Accident/Incident Reports +72 +F 6180.55a +A39. No. You do not have to report restricted work or job transfers if you, or the +PLHCP, imposes the restriction or transfer only for the day on which the injury +occurred or the illness began. +Q40. If the railroad or a PLHCP recommends a work restriction, is the injury or +illness automatically reportable as a “restricted work” case? +A40. No. A recommended work restriction is reportable only if it affects one or more +of the employee’s routine job functions. To determine whether this is the case, +the employer must evaluate the restriction in light of the routine functions of the +injured or ill employee’s job. If the restriction from you or the PLHCP keeps the +employee from performing one or more of his or her routine job functions, or +from working the full workday that the injured or ill employee would otherwise +have worked, the employee’s work has been restricted and the employer must +report the case. For example, if the PLHCP restricts the employee from lifting +heavy objects, but the employee’s job never requires the lifting of heavy objects, +then there has been no restriction imposed that involves the employee’s routine +job functions. (An employee’s routine functions are those work activities the +employee regularly performs at least once per week.) +Q41. What do I do if a PLHCP recommends a job restriction meeting FRA’s +definition, i.e., limits routine job functions, but the employee does all of his or +her routine job functions anyway? +A41. You must report the injury or illness on Form FRA F 6180.55a as a restricted +work case. If a PLHCP recommends a job restriction, you should ensure that the +employee complies with that restriction. (This language is purely advisory and +does not impose an enforceable duty upon employers to ensure that employees +comply with the recommended restriction.) If you receive recommendations from +two or more PLHCPs, you may make a decision as to which recommendation is +the most authoritative, and report the case based upon that recommendation. In +the absence of conflicting opinions from two or more health care professionals, +the employer ordinarily must record the case if a health care professional +recommends a work restriction involving the employee’s routine job functions. +See Section 6.4, of this Guide, on Covered Data. +Q42. One of our employees experienced minor musculoskeletal discomfort. The +health care professional who examined the employee only provided first aid +treatment. In addition, it was determined that the employee is fully able to +perform all of her routine job functions. When the employee returned to +work, we decided to limit the duties of the employee for the purpose of +preventing a more serious condition from developing. Is this a restricted +work case? +FRA Guide for Preparing Accident/Incident Reports +73 +F 6180.55a +A42. No. Since the minor musculoskeletal discomfort has not met any of the general +criteria, e.g., medical treatment; the employer’s decision to impose a work +restriction following such minor musculoskeletal discomfort would not make this +a restricted work case. +Q43. Will the determination of whether or not a case involves restriction always be +made by the medical professional who examines an employee? +A43. No. Day(s) of restriction also occur if the employer restricts one or more of the +employee’s routine job functions in connection with an otherwise reportable case. +For example, an employee sustains an injury and is given a prescription to take +for a few days. The doctor tells the employee that he can return to work. The +employee’s routine job duties involve operating equipment. The employer does +not allow the employee to operate the machinery he normally would because of +concerns about the effects of the medication, and instead has the employee +perform an inventory. This would be a restricted work case. +Q44. Do I have to report a day of restriction if an employee fails to follow a +PLHCP’s recommended work restriction? +A44. You should ensure that the employee complies with the recommended restriction. +In the absence of conflicting opinions from two or more health care professionals, +the employer must report 1 day of restriction if a professional recommends a work +restriction involving the employee’s routine job functions, and if a day away from +work has not already occurred. See Section 6.4, of this Guide, on Covered Data. +Q45. How do I report a case where the worker works only for a partial work shift +because of a work-related injury or illness? +A45. A partial day of work is reported as a day of job transfer or restriction for +recordkeeping purposes, except for the day on which the injury occurred or the +illness began. +Q46. If the injured or ill worker produces fewer goods or services than he or she +would have produced prior to the injury or illness, but otherwise performs +all of the routine functions of his or her work, is the case considered a +restricted work case? +A46. No. The case is considered restricted work only if the worker does not perform +all of the routine functions of his or her job or does not work the full shift that he +or she would otherwise have worked. +FRA Guide for Preparing Accident/Incident Reports +74 +F 6180.55a +Q47. How do I handle vague restrictions from a PLHCP, such as that the +employee engage only in “light duty” or “take it easy for a week?” +A47. If you are not clear about the PLHCP’s recommendation, you may ask that person +whether the employee can do all of his or her routine job functions and work all of +his or her normally assigned work shift. If the answer to both of these questions +is “Yes,” then the case does not involve a work restriction and does not have to be +reported as such. If the answer to one or both of these questions is “No,” the case +involves restricted work and must be reported as a restricted work case. If you are +unable to obtain this additional information from the PLHCP who recommended +the restriction, report the injury or illness as a case involving restricted work. +Q48. If an employee who routinely works 10 hours a day is restricted from +working more than 8 hours following a work-related injury, is the case +reportable? +A48. Generally, the employer must report any case in which an employee’s work is +restricted because of a work-related injury. A work restriction occurs when the +employer keeps the employee from performing one or more routine functions of +the job, or from working the full workday the employee would otherwise have +been scheduled to work. The case in question is reportable if the employee +presumably would have worked 10 hours had he or she not been injured. +Q49. An employee was injured at work and work-relatedness is established for +reporting purposes. The employee was not able to drive himself to work. +The employee may have had a cast or splint on, arm in a sling, using +crutches, or leg immobilized, etc. The railroad had work the employee could +have done, if the employee could have gotten to work. The employee stated +he was not able to drive. Prior to the injury, the employee drove himself to +work every day. He was not in a car pool and didn’t catch a ride with coworkers, etc. Would this case be a days-away-from-work case or a restricted +work activity case? If the railroad provided transportation (even though not +required by the regulation to do so), could the company count the days as +restricted or must they still count the days as days away from work? Would +the answer be the same if the employee’s doctor wrote a restriction of “no +driving” but the company says “the employee can get a ride with someone +else; we have work available”? +What if an employee is injured and is placed under a work restriction by a +physician; however, the railroad does not have any available restricted work +for a period of time? +FRA Guide for Preparing Accident/Incident Reports +75 +F 6180.55a +A49. If the employee does not make it to work, the case must be reported as a case +involving days away from work. If the employee is driven to work by the +railroad, or anyone else, and the employee performs restricted work, the case must +be reported as a case involving restricted work activity. If a PLHCP places the +employee under a work restriction, but the employer has no available restricted +work, then this would be reported as a case involving days away from work. +Q50. How do I decide if an injury or illness involved a transfer to another job? +A50. If you assign an injured or ill employee to a job other than his or her regular job +for part of the day, the case involves transfer to another job. + Note: This does not include the day on which the injury or illness occurred. +Q51. Are transfers to another job reported in the same way as restricted work +cases? +A51. Yes. Both job transfers and restricted work cases are reported on Form FRA +F 6180.55a. For example, if you assign, or a PLHCP recommends that you +assign, an injured or ill worker to his or her routine job duties for part of the day +and to another job for the rest of the day, the injury or illness involves a job +transfer. You must report an injury or illness that involves a job transfer by +placing a “Y” (for yes) in the box for job transfer, 5r. +Q52. How do I count days of job transfer or restriction? +A52. You count days of job transfer or restriction in the same way you count days away +from work. The only difference is that if you permanently assign the injured or ill +employee to a job that has been modified or permanently changed in a manner +that eliminates the routine functions the employee was restricted from performing, +you may stop the day count when the modification or change is made permanent. +You must count at least 1 day of restricted work or job transfer for such cases. +6.9.2 Counting Days Away from Work and Days of Restriction +FRA needs a count of the days an employee is away from work and/or restricted while at work +because of an injury or occupational illness for classification of the severity of the injury/illness +and for other purposes. +Day away from work is defined at § 225.5. +Day of restricted work activity is defined at § 225.5. +FRA Guide for Preparing Accident/Incident Reports +76 +F 6180.55a +Frequently, an employee’s condition is such that it will result in lost or restricted days extending +beyond the 30-day filing deadline. If this occurs, you must make a good faith estimate of the +additional number of days that may accrue for the case and record this on the initial Form FRA +F 6180.55a. A record of the actual count of these days must be maintained for the affected +employee. After the employee returns to work at full capacity, or the actual days exceeds the +original estimate, a corrected report must be submitted that shows the actual count of days if +these are significantly different from the original estimate. A significant difference in this +context is a variance of 10 percent or more between the number of days that has been reported +and the count that you maintain in your records. +When reporting the count of days, the following guidelines are to be followed: +1. The day of the accident/incident is not to be included in either count. +2. If it is necessary, during a workday, for an employee to have a followup +examination or receive additional medical care, etc., the time spent going to and coming +from such an appointment is not considered restricted time. If the employee was not +already on restricted duty prior to going to or upon returning from such visits a day of +restriction need not be charged. If the employee does not report to work at all on such +days, a day away from work has occurred. +3. If an employee takes off to see a physician for an initial evaluation after the day of an +injury/illness, and provided that none of the reportability criteria is met, a day away from +work is not to be charged, since there has not been a reportable condition. +4. Damage to an employee’s personal effects, such as eye glasses, hearing aids, or dentures, +is not by itself reportable. If a reportable injury did not also occur, the work days lost +while awaiting repair or replacement of these articles are not to be charged. +6.10 Exceptions to Medical Treatment (First Aid) +“Medical treatment” is the management and care of a patient to combat disease or a disorder. +For the purposes of Part 225, medical treatment does not include: +1. Visits to a PLHCP solely for observation or counseling; +2. The conduction of diagnostic procedures, such as x-rays and blood tests, including the +administration of prescription medications used solely for diagnostic purposes (e.g., eye +drops to dilate pupils); or +3. “First aid treatment.” The following is a comprehensive list of first aid treatment.” If the +treatment given is not on this list, it is considered to be “medical treatment.” For the +purposes of Part 225, “First aid” means the following: +FRA Guide for Preparing Accident/Incident Reports +77 +F 6180.55a +a. Using a nonprescription medication at nonprescription strength. (For medications available +in both prescription and non-prescription form, a recommendation by a PLHCP to use +a non-prescription medication at prescription strength is considered medical treatment +for recordkeeping and reporting purposes.) +b. Administering tetanus immunizations. (Other immunizations, such as Hepatitis B vaccine +or rabies vaccine, are considered medical treatment.) +c. Cleaning, flushing, or soaking wounds on the surface of the skin. +d. Using wound coverings such as bandages, Band-Aids™, gauze pads, etc.; or using butterfly +bandages or Steri-Strips™. (Other wound-closing devices, such as sutures, staples, or +surgical glues, are considered medical treatment.) +e. Using hot or cold therapy, e.g., heating pads or ice packs. +f. Using any non-rigid means of support such as elastic bandages, wraps, non-rigid back belts, +etc. (Devices with rigid stays or other systems designed to immobilize parts of the body +are considered medical treatment for recordkeeping and reporting purposes.) +g. Using temporary immobilization devices while transporting an accident victim (e.g., splints, +slings, neck collars, back boards, etc.). +h. Drilling of a fingernail or toenail to relieve pressure, or draining fluid from a blister. +i. Using eye patches. +j. Removing foreign bodies from the eye using only irrigation or a cotton swab. +k. Removing splinters or foreign material from areas other than the eye by irrigation, tweezers, +cotton swabs, or other simple means. +l. Using finger guards. +m. Using massages. (Any other physical therapy, other than that identified as first aid, +provided by a PLHCP or administered under the supervision of a PLHCP, and +chiropractic treatment are considered medical treatment for recordkeeping and +reporting purposes. Examples include acupuncture and electronic stimulation.) +n. Drinking non-prescription fluids for relief of heat-related conditions. +o. Pre-hospital protocol. (During transport, the injured person may be restrained with a +body board or neck brace, they may receive oxygen, or they may have an IV needle +inserted. These pre-hospital protocol procedures are generally considered to be first +aid as long as they are performed without symptoms being exhibited that would +specifically require such treatment. See “Q&A” 65 and 66, below, for additional +guidance.) +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 +FRA Guide for Preparing Accident/Incident Reports +78 +F 6180.55a +eye patch may restrict the employees’ ability to perform their routine job functions. The +case then becomes reportable on the basis of restriction of work or transfer to another job. +6.10.1 Questions and Answers on First Aid +Q53. Is a physical therapist considered a “health care professional” under the +definition of health care professional? +A53. Yes. A physical therapist’s license allows him or her to independently perform, +or be delegated the responsibility to perform, physical therapy. +Q54. Are any other procedures included in first aid? +A54. No. This Guide has provided a complete list of all treatments considered to be +first aid for Part 225 purposes. +Q55. An extra gang laborer was clearing an overgrown area of soil, gravel, and +weeds. In doing so, he disrupted a yellow jacket nest, receiving multiple +stings to the hand, arm, ear, neck, and back areas. The employee was +immediately driven to a local clinic and seen by a physician. The employee +received injections of Benadryl™ and Kenalog and was advised to apply ice +packs, drink fluids, and rest. +In two separate communications, a second physician, while admitting that +the treating physicians’ use of Benadryl™ and Kenalog injections was +“within the standard of care” for the injury suffered, went on to state that +“many providers would have instead offered oral diphenhydramine +(Benadryl™) and topical triamcinalone (Kenalog).” In other words, the +second physician stated that the injury could have been treated by +administering first aid, and, therefore could have resulted in a nonreportable injury. +Since the second physician said the employee could have been effectively +treated by first aid treatment, do we need to report? +In addition, some of our employees carry a bee-sting kit and do their own +injections. When this occurs, do we need to report? +A55. A work-related injury or illness must be recorded on the Railroad Employee +Injury and/or Illness Record, Form FRA F 6180.98, and reported on Form FRA F +6180.55a, if it results in death, days away from work, restricted work or transfer +to another job, medical treatment beyond first aid, loss of consciousness, or +diagnosis of a serious injury or illness. Medical treatment is generally recognized +FRA Guide for Preparing Accident/Incident Reports +79 +F 6180.55a +to be “the management and care of a patient to combat disease or disorder.” First +aid (see section, of this FRA Guide, on First Aid and Medical Treatment) does not +fall within the definition of medical treatment. However, all prescription +medications, even those given as a single dose, are medical treatment. +In certain circumstances, FRA’s requirements permit a railroad to choose between +two conflicting or differing medical recommendations. When employees receive +contemporaneous recommendations (at the same time) from two or more PLHCPs +about the need for medical treatment, employers may decide which +recommendation is the most authoritative and report the case based on that +recommendation. However, once medical treatment is provided for a workrelated injury or illness, the case is reportable. +In regard to the question of self-injection, the answer is “Yes,” this must be +reported. If prescription medication is authorized for use by a PLHCP, it makes +no difference who administers the medication. +Q56. Are surgical glues used to treat lacerations considered “first aid?” +A56. No. Surgical glue is a wound-closing device. All wound-closing devices, except +for butterfly bandages and Steri-Strips™, are by definition “medical treatment” +because they are not included on the first-aid list. +Q57. The PLHCP used liquid bandages on a wound; is this medical treatment or +first aid? +A57. The concept that underlies the medical treatment vs. first aid distinction made +between this type of treatment centers around the basic difference between wound +coverings and wound closures using OTC vs. wound closures that are typically +performed by a PLHCP. Using wound coverings, such as bandages (including +liquid bandages), Band-Aids™, gauze pads, butterfly bandages or Steri-Strips™ +are deemed to be first aid treatment. The use of sutures, staples, and special +bonding glues used by a PLHCP are considered medical treatment. +Q58. Is the use of a rigid finger guard considered first aid? +A58. Yes. The use of finger guards is always first aid. +Q59. If prescription medications are prescribed as “PRN” (per required need), is +it reportable if the patient does not take or use the prescribed medicine? +A59. FRA has decided to retain its longstanding policy of requiring the reporting of +cases in which a healthcare professional issues a prescription, regardless of +FRA Guide for Preparing Accident/Incident Reports +80 +F 6180.55a +whether that prescription is filled or actually taken by the employee. A patient’s +refusal of the medication does not alter the fact that, in the healthcare +professional’s judgment, the case warrants medical treatment. In addition, a rule +that relied on whether a prescription is filled or taken, rather than on whether the +medicine was prescribed, would create administrative difficulties for employers, +because such a rule would mean that the employer would have to investigate +whether a given prescription had been filled or whether the medicine had actually +been used. Also, many employers and employees may consider an employer’s +inquiry about the filling or taking of a prescription to be an invasion of the +employee’s privacy. +Q60. The employee visited a PLHCP due to an on-the-job injury. The PLHCP +issued a single dose medication and no prescription was written. The +medication was to be taken only if needed (PRN). The employee chose not to +take the medication. Is this case FRA-reportable? +A60. Prescription medications, whether given once or over a longer period of time, are +not included in the list of first-aid treatments. FRA believes that the use of +prescription medications is not first aid, because prescription medications are +powerful substances that can only be prescribed by a PLHCP. The availability of +these substances is carefully controlled and limited, because they must be +prescribed and administered by a highly trained and knowledgeable professional. +Medications classified as first aid are only when employees use a nonprescription +medication at nonprescription strength. (For medications available in both +prescription and non-prescription form, a recommendation by a PLHCP to use a +non-prescription medication at prescription strength is considered medical +treatment for recordkeeping purposes). +FRA maintains its longstanding policy of requiring the reporting of cases in which +a healthcare professional issues a prescription or dispenses a single dose, whether +that prescription is filled or not. Medical treatment includes treatment that is used +as well as those that should have been used. The patient’s acceptance or refusal +of the treatment does not alter the fact that, in the healthcare professional’s +judgment, the case warranted a script for the issuance of prescription medicine. +For these reasons, the new recordkeeping rule continues FRA’s longstanding +policy of considering the recommendation of prescription medication as medical +treatment, regardless of the reason it is prescribed. +Q61. For medications such as Ibuprofen that are available in both prescription +and non-prescription form, what is considered to be prescription strength? +How is an employer to determine whether a non-prescription medication has +been recommended at prescription strength? +FRA Guide for Preparing Accident/Incident Reports +81 +F 6180.55a +A61. The prescription strength of such medications is determined by the measured +quantity of the therapeutic agent to be taken at one time, i.e., a single dose. The +single dosages that are considered prescription strength for four common OTC +drugs are: +• Ibuprofen (such as Advil™) - Greater than 467 mg +• Diphenhydramine (such as Benadryl™) - Greater than 50 mg +• Naproxen Sodium (such as Aleve™) - Greater than 220 mg +• Ketoprofen (such as Orudus KT™) - Greater than 25 mg +To determine the prescription-strength dosages for other drugs that are available +in prescription and non-prescription formulations, the employer should contact the +U.S. Food and Drug Administration, a local pharmacist, or a physician. +Q62. “Removing splinters or foreign material from areas other than the eye by +irrigation, tweezers, cotton swabs, or other simple means...” What are +“other simple means” of removing splinters that are considered first aid? +A62. “Other simple means” of removing splinters, for purposes of the definition of +“first aid,” means methods that are reasonably comparable to the listed methods. +Using needles, pins, or small tools, e.g., nail clippers or manicure scissors, to +extract splinters would generally be included. +Q63. Does the professional status of the person providing the treatment have any +effect on what is considered first aid or medical treatment? +A63. No. FRA considers the treatments listed above to be first aid regardless of the +professional status of the person providing the treatment. Even when these +treatments are provided by a PLHCP, they are considered first aid for the +purposes of Part 225. Similarly, FRA considers treatment beyond first aid to be +medical treatment even when it is provided by someone other than a PLHCP. +Q64. If an employee is exposed to chlorine or some other substance at work and +oxygen is administered as a precautionary measure, is the case reportable? +A64. It is often a standard procedure of emergency rescue teams to administer +preventive treatment, such as oxygen, or apply an intravenous (IV) saline solution +while a patient is being transported to a medical facility for further evaluation. +Such preventive treatment does not make the incident reportable. If oxygen is +administered as a purely precautionary measure to an employee who does not +exhibit any signs or symptoms of an injury or illness, the case is not reportable. If +FRA Guide for Preparing Accident/Incident Reports +82 +F 6180.55a +the employee exposed to a substance exhibits symptoms of an injury or illness, +the administration of oxygen makes the case reportable. +Q65. During transport to the hospital, the Emergency Medical Team may perform +some precautionary procedures that could be considered beyond first aid. Is +this reportable? +A65. Emergency transport is considered first aid. During transport, the injured person +may be restrained with a body board, neck brace, receive oxygen, or have an IV +needle inserted. These pre-hospital protocol procedures are generally considered +to be first aid as long as they are performed without signs or symptoms being +exhibited that would specifically require such treatment. As in the previous +question, if the person is not being treated for dehydration or some other condition +that requires a saline IV, then simply receiving a saline IV as a precautionary +measure is considered to be first aid. +The use of casts, splints, or orthopedic devices designed to immobilize an injured +body part to permit it to rest and recover is considered medical treatment. The use +of temporary immobilization devices while transporting an accident victim (e.g., +splints, slings, neck collars, back boards) is precautionary in nature, and their use +is to avoid exacerbation of a condition that may or may not exist. In these +specific situations, a splint or other device is used as temporary first-aid treatment, +may be applied by non-licensed personnel using common materials at hand, and +often does not reflect the severity of the injury. If following an examination it is +determined that continued use of the immobilization device is warranted, then the +case is reportable. +Q66. Item (n) on the first aid list is “drinking non-prescription fluids for relief of +heat-related conditions.” Does this include administering IV fluids? +A66. No. IV administration of fluids to treat work-related heat-related conditions is +medical treatment. +Q67. What makes a heatstroke or heat exhaustion reportable? How is it reported? +A67. Heatstroke is similar to heat cramps and heat exhaustion, but can have much more +severe consequences. It is one of the heat-related problems that often result from +heavy work in hot environments, usually accompanied by inadequate fluid intake. +Older adults, people who are obese, and people born with an impaired ability to +sweat are at high risk of heatstroke. Other risk factors include dehydration, +alcohol use, cardiovascular disease, and the use of certain medications. +FRA Guide for Preparing Accident/Incident Reports +83 +F 6180.55a +What makes heatstroke much more severe and potentially life-threatening is that +the body’s normal mechanisms for dealing with heat stress, such as sweating and +temperature control, are lost. The main sign of heatstroke is a markedly elevated +body temperature—generally greater than 104° F—with changes in mental status +ranging from personality changes to confusion and coma. Skin may be hot and +dry, although in heatstroke caused by exertion, the skin is usually moist. +Different people may have different signs or symptoms of heatstroke and other +heat-related disorders, e.g., heat exhaustion due to dehydration. But common +signs or symptoms include: +• Rapid heartbeat +• Absence of sweating +• Hot red or flushed dry skin +• Rapid and shallow breathing +• High body temperature +• Rapid pulse +• Elevated or lowered blood pressure +• Headache +• Irritability +• Confusion +• Unconsciousness +In cases of mild dehydration, simple rehydration is recommended by drinking +fluids. Many sports drinks on the market effectively restore body fluids, +electrolytes, and salt balance. Drinking non-prescription fluids for relief of heatrelated conditions is first-aid treatment. +For moderate to severe dehydration, IV fluids may be required. Cases of serious +dehydration should be treated as medical emergencies, and hospitalization, along +with IV fluids, is necessary. Immediate action should be taken. IV administration +of fluids to treat heat-related conditions is medical treatment and reportable. +As in any evaluation of a workplace injury or illness, a determination must be +made as to work-relatedness. If the injury or illness is work-related, then to be +reportable it must meet the one of the requirements set forth in § 225.19. +Heatstroke/sunstroke is reported in Block 5i of Form FRA F 6180-55a as Code +1141, and heat exhaustion as Code 1144; see Injury and Illness Codes in +Appendix E to this Guide. +FRA Guide for Preparing Accident/Incident Reports +84 +F 6180.55a +Q68. What if a PLHCP recommends medical treatment but the employee does not +follow the recommendation? +A68. If a PLHCP recommends medical treatment, you should encourage the injured or +ill employee to follow that recommendation. However, you must report the case +even if the injured or ill employee does not follow the PLHCP’s recommendation; +the fact that there was a recommendation triggers the duty to report. +Q69. Is every work-related injury or illness case involving a loss of consciousness +reportable? +A69. Yes. You must report a work-related injury or illness if the worker becomes +unconscious, regardless of the length of time the employee remained unconscious. +Q70. What is a “significant” diagnosed injury or illness that is reportable under +the general criteria even if it does not result in death, days away from work, +restricted work or job transfer, medical treatment beyond first aid, or loss of +consciousness? +A70. Work-related cases involving cancer, chronic irreversible disease, a fractured or +cracked bone, or a punctured eardrum must always be reported under the general +criteria at the time of diagnosis by a PLHCP. +Q71. We had a case of an employee on-duty who fell approximately 4 feet from a +platform and landed on his back on a concrete area. He was immediately +taken to the emergency room, and the doctor prescribed a prescription +medication for pain, making a notation on the medical documentation. +Before writing out the actual prescription, the employee refused the +prescription medication. The doctor marked out the prescription medication +on the medical documentation with the notation “employee refused.” The +doctor then prescribed an OTC medication for the employee. Would +medical treatment, and thus reportability, be involved in this case? +A71. In conformity with OSHA, FRA believes that the use of prescription medications +is not first aid because prescription medications are powerful substances that can +only be prescribed by a PLHCP. The availability of these substances is carefully +controlled and limited because they must be prescribed and administered by a +highly trained and knowledgeable professional. OSHA and FRA maintain their +longstanding policy of requiring the recording and reporting of cases in which a +healthcare professional issues a prescription, whether that prescription is filled or +not. Medical treatment includes treatment that is used as well as those that should +have been used. The patient’s acceptance or refusal of the treatment does not +alter the fact that, in the healthcare professional’s judgment, the case warranted a +FRA Guide for Preparing Accident/Incident Reports +85 +F 6180.55a +script for the issuance of prescription medicine. For these reasons, FRA continues +to be in conformity with OSHA’s longstanding policy of considering the use of +prescription medication as medical treatment, regardless of the reason it is +prescribed. +6.11 Reporting Requirements for Significant Injury or Illness to Railroad Employees +A significant injury to or significant illness of a railroad employee diagnosed by a +physician or other licensed healthcare professional must be reported even if the injury or +illness does not result in death, a day away from work, restricted work activity or job +transfer, medical treatment, or loss of consciousness. See § 225.19(d)(2)(ii) and (d)(5). +FRA believes that most significant injuries and illnesses will result in one or more of the +following: +For any person: +1. Death. +2. Medical treatment beyond first aid. +3. Loss of consciousness. +For railroad employees: +1. Days away from work. +2. Restricted work or transfer to another job. +However, there are some significant injuries, such as a punctured eardrum or a fractured toe or +rib, for which neither medical treatment nor work restrictions may be recommended. In addition, +there are some significant progressive diseases, such as byssinosis, silicosis, and some types of +cancer, for which medical treatment or work restrictions may not be recommended at the time of +diagnosis but are likely to be recommended as the disease progresses. FRA believes that cancer, +chronic irreversible diseases, fractured or cracked bones, and punctured eardrums are generally +considered significant injuries and illnesses, and must be reported at the initial diagnosis even if +medical treatment or work restrictions are not recommended, or are postponed, in a particular +case. See § 225.5 for definitions of “Significant Illness” and “Significant Injury.” +6.12 Reporting Requirements for Specific Case Criteria +An illness or injury that meets the application of any of the following specific case criteria is +reportable: +(i) A needlestick or sharps injury to a railroad employee; +(ii) Medical removal of a railroad employee; +FRA Guide for Preparing Accident/Incident Reports +86 +F 6180.55a +(iii) Occupational hearing loss of a railroad employee; +(iv) Occupational tuberculosis of a railroad employee; or +(v) A musculoskeletal disorder of a railroad employee if this disorder is independently +reportable under one or more of the general reporting criteria. +See § 225.19(d)(1)–(6). +6.12.1 Reporting Criteria for Needlestick and Sharps Injuries +You must report all work-related needlestick injuries and cuts from sharp objects that are +contaminated with another person’s blood or other potentially infectious material (as defined by +29 CFR 1910.1030). “Sharps” are any contaminated objects that can penetrate the skin, +including, but not limited to: needles, scalpels, broken glass, broken capillary tubes, and +exposed ends of dental wires. You must report the case on Form FRA F 6180.55a as an injury. +Questions and Answers on Needlesticks and Sharps +Q72. What does “other potentially infectious material” mean? +A72. Other potentially infectious material (OPIM): For purposes of employee injury +illness reporting, this term has the same meaning as in OSHA’s bloodborne +pathogens standard at 29 CFR § 1910.1030, as amended, which on the date of +issuance of this Reporting Guide defines OPIM as: +(1) The following human body fluids: semen, vaginal secretions, cerebrospinal +fluid, synovial fluid, pleural fluid, pericardial fluid, peritoneal fluid, amniotic +fluid, saliva in dental procedures, any body fluid that is visibly contaminated +with blood, and all body fluids in situations where it is difficult or impossible +to differentiate between body fluids; +(2) Any unfixed tissue or organ (other than intact skin) from a human (whether +living or dead); and +(3) Human immunodeficiency virus (HIV)-containing cell or tissue cultures, +organ cultures, and HIV- or hepatitis B virus (HBV)-containing culture +medium or other solutions; and blood, organ, or other tissues from +experimental animals infected with HIV or HBV. +Q73. Does this mean that I must report all cuts, lacerations, punctures, and +scratches? + +A73. No. You need to report cuts, lacerations, punctures, and scratches only if they are +work-related and involve contamination with another person’s blood or other +potentially infectious material. If the cut, laceration, or scratch involves a clean +object, or a contaminant other than blood or other potentially infectious material, +FRA Guide for Preparing Accident/Incident Reports +87 +F 6180.55a +you need to report the case only if it meets one or more of the general reporting +criteria. +Q74. If I report an injury and the employee is later diagnosed with an infectious +bloodborne disease, do I need to update Form FRA F 6180.55a report? +A74. Yes. You must update the classification of the case on a corrected Form FRA +F 6180.55a if the case results in death, days away from work, restricted work, or +job transfer. You must also update the description to identify the infectious +disease and change the classification of the case from an injury to an illness. +Q75. What if one of my employees is splashed or exposed to blood or other +potentially infectious material without being cut or scratched? Do I need to +report this incident? +A75. You need to report such an incident on Form FRA F 6180.55a as an illness if: +(1) It results in the diagnosis of a bloodborne illness, such as HIV, hepatitis B, or +hepatitis C; or +(2) It meets one or more of the general reporting criteria. +6.12.2 Reporting Criteria for Cases Involving Medical Removal +If an employee is medically removed under the medical surveillance requirements of an OSHA +standard, you must report the case. +You must report each medical removal case as either a case involving days away from work or a +case involving restricted work activity, depending on how you decide to comply with the +medical removal requirement. If the medical removal is the result of a chemical exposure, you +must report the case as one involving “poisoning.” +Questions and Answers on Medical Removal +Q76. Do all of OSHA’s standards have medical removal provisions? +A76. No. Some OSHA standards, such as the standards covering bloodborne +pathogens and noise, do not have medical removal provisions. Many OSHA +standards that cover specific chemical substances have medical removal +provisions. These standards include, but are not limited to, lead, cadmium, +methylene chloride, formaldehyde, and benzene. +Q77. Do I have to report a case where I voluntarily removed the employee from +exposure before the medical removal criteria in an OSHA standard are met? +FRA Guide for Preparing Accident/Incident Reports +88 +F 6180.55a +A77. No. If the case involves voluntary medical removal before the medical removal +levels required by an OSHA standard are reached, you do not need to report the +case. +6.12.3 Reporting Criteria for Cases Involving Occupational Hearing Loss +Basic requirement. If an employee’s hearing test (audiogram) reveals that the employee has +experienced a work-related standard threshold shift (STS) in hearing in one or both ears, and the +employee’s total hearing level is 25 dB or more above audiometric zero (averaged at 2,000; +3,000; and 4,000 Hz) in the same ear(s) as the STS, the case must be reported on Form FRA F +6180.55a. +Questions and Answers on Occupational Hearing Loss +Q78. How do I determine whether an STS has occurred? +A78. An STS is defined in the occupational noise exposure standard at 29 CFR +§ 1910.95(g)(10)(i), as a change in hearing threshold, relative to the baseline +audiogram for that employee, of an average of 10 dB or more at 2,000; 3,000; and +4,000 Hz in one or both ears. +STS. If the employee has never previously experienced a reportable hearing loss, +you must compare the employee’s current audiogram with that employee’s +baseline audiogram. If the employee has previously experienced a reportable +hearing loss, you must compare the employee’s current audiogram with the +employee’s revised baseline audiogram (the audiogram reflecting the employee’s +previous reportable hearing loss case). +25-dB loss. Audiometric test results reflect the employee’s overall hearing +ability in comparison to audiometric zero. Therefore, using the employee’s +current audiogram, you must use the average hearing level at 2,000; 3,000; and +4,000 Hz to determine whether the employee’s total hearing level is 25 dB or +more. +Q79. May I adjust the audiogram results to reflect the effects of aging on hearing? + +A79. Yes. When you are determining whether an STS has occurred, you may ageadjust the employee’s current audiogram results by using Tables F-1 or F-2, as +appropriate, in Appendix F of 29 CFR 1910.95. You may not use an age +adjustment when determining whether the employee’s total hearing level is 25 dB +or more above audiometric zero. +FRA Guide for Preparing Accident/Incident Reports +89 +F 6180.55a +Q80. Do I have to report the hearing loss if I am going to retest the employee’s +hearing? +A80. No. If you retest the employee’s hearing within 30 days of the first test, and the +retest does not confirm the reportable STS, you are not required to record the +hearing loss case on the log. If the retest confirms the reportable STS, you must +record the hearing loss illness on your log within 7 calendar days of the retest and +include it on your monthly report. If subsequent audiometric testing performed +under the testing requirements of the 29 CFR § 1910.95 noise standard indicates +that an STS is not persistent, you may delete the case from Form FRA F 6180.55a. +Q81. Are there any special rules for determining whether a hearing loss case is +work-related? +A81. No. It is possible for a worker who is exposed at or above the 8-hour 85 dBA +action levels of the noise standard to experience a non-work-related hearing loss, +and it is also possible for a worker to experience a work-related hearing loss and +not be exposed above those levels. Therefore, there are no special rules for +determining work-relatedness. You should follow the overall approach to +determining work-relatedness–that a case is work-related if one or more events or +exposures in the work environment either caused or contributed to the hearing +loss, or significantly aggravated a preexisting hearing loss. +Q82. If a PLHCP determines the hearing loss is not work-related, do I still need to +report the case? +A82. If a PLHCP determines that the hearing loss is not work-related and has not been +significantly aggravated by occupational noise exposure, you are not required to +consider the case work-related or to report the case on Form FRA F 6180.55a. +6.12.4 Reporting Criteria for Work-Related Tuberculosis Cases +If any of your employees has been occupationally exposed to anyone with a known case of active +tuberculosis (TB), and that employee subsequently develops a TB infection, as evidenced by a +positive skin test or diagnosis by a PLHCP, you must report the case on Form FRA F 6180.55a. +Questions and Answers on Tuberculosis +Q83. Do I have to report a positive TB skin test result for an employee that was +obtained at a pre-employment physical? +A83. No. You do not have to report it because the employee was not occupationally +exposed to a known case of active tuberculosis in your workplace. +FRA Guide for Preparing Accident/Incident Reports +90 +F 6180.55a +6.12.5 Reporting Criteria for Cases Involving Work-Related Musculoskeletal Disorders +If any of your employees experiences a reportable work-related musculoskeletal disorder (MSD), +you must report it on Form FRA F 6180.55a. +Questions and Answers on Musculoskeletal Disorders +Q84. What is a “musculoskeletal disorder” or MSD? +A84. MSDs are disorders of the muscles, nerves, tendons, ligaments, joints, cartilage +and spinal discs. MSDs do not include disorders caused by slips, trips, falls, +motor vehicle accidents, or other similar accidents. Examples of MSDs include: +carpal tunnel syndrome, rotator cuff syndrome, De Quervain’s disease, trigger +finger, tarsal tunnel syndrome, sciatica, epicondylitis, tendinitis, Raynaud’s +phenomenon, carpet layers knee, herniated spinal disc, and lower back pain. +Q85. How do I decide which MSDs to report? +A85. There are no special criteria for determining which musculoskeletal disorders to +report. An MSD case is reported using the same process you would use for any +other injury or illness. If a musculoskeletal disorder is work-related, is a new +case, and meets one or more of the general reporting criteria, you must report the +musculoskeletal disorder. +Q86. Are there any special rules regarding injuries and illnesses to soft tissues? +A86. No. Work-related injuries and illnesses involving muscles, nerves, tendons, +ligaments, joints, cartilage and spinal discs are reportable under the same +requirements applicable to any other type of injury or illness. There are no +special rules for reporting these cases: if the case is work-related and involves +medical treatment, days away, job transfer or restricted work, it is reportable. +Q87. An employee is diagnosed with a mild case of carpal tunnel syndrome. The +illness is work-related, but there is no treatment prescribed other than a +change in office equipment. Is this reportable? +A87. This case would not be considered reportable since none of the requirements for +reportability are shown to have occurred, i.e., no day(s) away from work; no +restriction of work activity or job transfer; no loss of consciousness; and no +medical treatment. The railroad has the requirement to establish an accountable +record on Form FRA F 6180.98 within 7 days of receiving knowledge that an +accountable case has occurred, and to monitor that case for a period of 180 days +FRA Guide for Preparing Accident/Incident Reports +91 +F 6180.55a +from the date of diagnosis of the illness. Should any of the requirements be met +for reportability within that 180-day monitoring period, the case would become +reportable. +Q88. If a work-related MSD case involves only subjective symptoms like pain or +tingling, do I have to report it as a musculoskeletal disorder? +A88. The symptoms of an MSD are treated the same as symptoms for any other injury +or illness. If an employee has pain, tingling, burning, numbness or any other +subjective symptom of an MSD, and the symptoms are work-related, and the case +is a new case that meets the reporting criteria, you must report the case on Form +FRA F 6180.55a as a musculoskeletal disorder. +6.12.6 Miscellaneous Questions and Answers +Q89. What should I do if an employee death occurs in the workplace and it is not +immediately known if it is work-related? +A89. Under § 225.9, you must make an immediate report by toll-free number +(800-424-0201 or 800-424-8802) whenever an employee dies while in the work +environment. You do not need to prepare a Form FRA F 6180.55a if it is later +established that the death is not work-related. +Q90. Does an employee report of an injury or illness establish the existence of the +injury or illness for reporting purposes? +A90. No. In determining whether a case is reportable, the employer must first decide +whether an injury or illness, as defined earlier, has occurred. If the employer is +uncertain about whether an injury or illness has occurred, the employer may refer +the employee to a PLHCP for evaluation and may consider the healthcare +professional’s opinion in determining whether an injury or illness exists. [Note: If +a PLHCP diagnoses a significant injury or illness within the meaning of this +section, and the employer determines that the case is work-related, the case must +be reported.] +Q91. Must a railroad report a case if an employee alleges that an injury or illness +has occurred but refuses to release any medical records related to the alleged +injury or illness? +A91. Medical verification is not required for reportability. However, a railroad has the +responsibility to make good faith reporting determinations, and these decisions +must be based upon whatever documentation is available. If a railroad questions +the validity of an employee’s alleged injury or illness and there is no substantive +FRA Guide for Preparing Accident/Incident Reports +92 +F 6180.55a +or medical documentation to support the allegation, the railroad need not report +the case. However, if at a later date the appropriate information is received that +supports the employee’s allegation of injury or illness, then a late report must be +made. +Q92. If a maintenance employee is cleaning the parking lot or an access road and +is injured as a result, is the case work-related? +A92. Yes. The case is work-related because the employee is injured as a result of +conducting company business in the work environment. If the injury meets the +general reporting criteria (death, days away, etc.), the case must be reported. +Q93. Are cases of workplace violence considered work-related under the reporting +criteria? +If an employee dies or is injured or infected as a result of terrorist attacks, +should it be recorded on the FRA Form F 6180.98, and reported to FRA on +FRA Form F 6180.55a? +A93. The criteria contain no general exception, for purposes of determining workrelatedness, for cases involving acts of violence in the work environment. Injuries +and illnesses that result from a terrorist event or exposure in the work +environment are considered work-related for FRA recordkeeping purposes. FRA +does not provide an exclusion for violence-related injury and illness cases, +including injuries and illnesses resulting from terrorist attacks. +Q94. If an employee’s preexisting medical condition causes an incident that results +in a subsequent injury, is the case work-related? For example, if an +employee suffers an epileptic seizure, falls on the track, and breaks his arm, +is the case reportable? +A94. Neither the seizure nor the broken arm is reportable, so long as nothing in the +work environment caused or contributed to the seizure. Injuries and illnesses that +result solely from non-work-related events or exposures are not reportable. +Epileptic seizures are a symptom of a disease of non-occupational origin, and the +fact that they occur at work does not make them work-related. Because epileptic +seizures are not work-related, injuries resulting solely from the seizures, such as +the broken arm in the case in question, are not reportable. +Q95. Does the size or degree of a burn determine reportability? +FRA Guide for Preparing Accident/Incident Reports +93 +F 6180.55a +A95. No. The size or degree of a work-related burn does not determine reportability. +If a work-related first-, second-, or third-degree burn results in days absent from +work, work restrictions, medical treatment, etc., the case must be reported. +Q96. If an employee dies during surgery made necessary by a work-related injury +or illness, is the case reportable? What if the surgery occurs weeks or +months after the date of the injury or illness? +A96. If an employee dies as a result of surgery or other complications following a +work-related injury or illness, the case is reportable. If the underlying injury or +illness was reported prior to the employee’s death, the employer must submit a +corrected Form FRA F 6180.55a to change the injury classification from nonfatal +to fatal. +Q97. Our railroad has a program that allows employees who have been involved +in an accident to take a personal day(s) off if they indicate they were “shaken +up,” i.e., they expressed some need to have time off to recover from being +involved in an accident. These employees often do not have physical injuries, +but may have experienced emotional trauma. How should we handle these +cases? +A97. The situation would generally not be reportable, especially if there are no injuries +to be evaluated for reportability. You are not required to seek out information on +mental illnesses from your employees. Mental illness cases are only to be +considered when an employee voluntarily presents you with an opinion from the +healthcare professional that the employee has a mental illness and that it is workrelated. You are to record only those mental illnesses verified by a healthcare +professional with appropriate training and experience in the treatment of mental +illness, such as a psychiatrist, psychologist, or psychiatric nurse practitioner. In +the event that the employer does not believe the reported mental illness is workrelated, the employer may refer the case to a PLHCP for a second opinion. +Q98. How long should we monitor an injury of an employee on duty? What about +situations where the initial determination following an incident is that injury +is not reportable, e.g., first aid only, but the employee notifies you after an +extensive amount of time has elapsed that later medical treatment received is +connected to the initial incident? What about illnesses for which it is +uncertain when the initial exposure took place? +A98. The employer is required to monitor a reportable employee injury for at least +180 calendar days following the date of the event or exposure causing the injury. +This will ensure that the most serious final result for the case is reported, e.g., a +nonfatal condition is upgraded to a fatality if the employee dies subsequent to the +FRA Guide for Preparing Accident/Incident Reports +94 +F 6180.55a +filing of the initial report. The 180-day timeframe is also necessary to determine +if the cap for the sum of days absent and/or restricted has been met. +It has been FRA’s experience that a reportable injury will meet one or more of the +reporting criteria, e.g., medical treatment, within 180 days following the +employer’s notification that a workplace incident has occurred. If an employee +alleges that additional treatment was received following the conclusion of this +180-day period for a case that was not reportable, you are required to review any +documentation you receive and evaluate if the later consequences are the result of +a new incident. If it is determined that the later consequences are a result of new +incident, then a report must be made. +Because illnesses may go undetected for extensive periods of time following a +work place exposure, the 180-day tracking for these begins with the most recent +diagnosis, or recognition that the condition exists. +The 180-day monitoring period does not affect the requirement to submit a late +report if it is determined that a qualifying condition was not reported to FRA. +Q99. Does going to a hospital for observation make a work-related injury +reportable? +A99. Visits to a PLHCP solely for observation or counseling, and the conduct of +diagnostic procedures, such as x rays and blood tests, including the administration +of prescription medications used solely for diagnostic purposes (e.g., eye drops to +dilate pupils) is first aid, and by itself not reportable. +Q100. Is an injury that results in a chipped or broken tooth reportable? +A100. FRA believes that fractured or cracked bones and broken teeth are generally +considered significant injuries and must be reported at the initial diagnosis even if +medical treatment or work restrictions are not recommended, or are postponed, in +a particular case. (See section on reporting requirements for specific cases.) +Q101. If an employee has a minor scratch but the physician gives him a tetanus shot +anyway, does this constitute medical treatment and make the case +reportable? +A101. A tetanus shot is first-aid treatment and not reportable. If the employee suffered +some reaction or complication from the injection, requiring medical treatment or +resulting in other reporting criteria being met, then the case would be reportable. +(Other immunizations, such as hepatitis B vaccine or rabies vaccine, are +considered medical treatment.) +FRA Guide for Preparing Accident/Incident Reports +95 +F 6180.55a +Q102. Our employees are frequently tested for drug or alcohol use after an +accident/incident. Company policy prohibits an employee from returning to +work until the results of the tests are known and it is established that there is +no risk factor due to impairment. Must we make a report because of the +days the employee was held out of service while awaiting test results? +A102. These cases are to be evaluated solely on the basis of the condition and its +consequences. If the condition would have caused the employee to be absent +from work had there been no testing, then a report must be made. +Q103. I was hurt on the job, and my supervisor accompanied me to the clinic. My +supervisor gave the nurse a card to give to the doctor that would be +examining me. Our railroad uses a card that describes various treatments or +therapies that require a report be made to the FRA. The card appears to +encourage or suggest that the doctor consider treatment of a nonreportable +nature. I feel this may unduly influence the medical facility and could affect +the treatment I would have otherwise received had the card not been +presented. Since my employer pays for the medical expenses, I am concerned +that employees will be taken to treatment centers where this practice exists. +The intent seems more to reduce reportable cases, rather than ensuring that +the healthcare professional provides treatment that he or she believes is +appropriate for the injury. Does FRA authorize the use of such cards or +other communications of this nature to healthcare providers? +A103. No. FRA is extremely concerned that injured workers receive proper medical +treatment. We do not condone the use of any form or medical card that could +adversely influence treatment by encouraging the use of nonreportable treatment. +Such practices are not only discouraged by FRA, but may also in certain +circumstances constitute a violation of Part 225, subject to a civil penalty against +the carrier or supervisor who engages in such practices. +Q104. An employee was injured on the job and taken to a local hospital emergency +room. The supervisor felt that the injury was not serious and was concerned +that the case might be reportable. The employee requested that the +supervisor stay out of the examining room. The attending physician in the +emergency room prohibited the supervisor from being present. +What is considered appropriate conduct for a supervisor to engage in when +an employee is injured and the supervisor is concerned the employee has +exaggerated the extent of the injury? +FRA Guide for Preparing Accident/Incident Reports +96 +F 6180.55a +A104. FRA is very concerned that, when accompanied by a supervisor, an injured +employee may be discouraged or otherwise prevented from reporting an accident, +incident, injury or illness. Similarly, a supervisor may influence the type or extent +of medical treatment afforded the employee in an effort to affect the reportability +of that injury. +As an initial matter, it would be inappropriate and a violation of Part 225 for a +supervisor to request that a physician recommend that an injured employee take +only OTC drugs sold at lower-than-prescription strength. +In addition, FRA published a Notice of Interpretation in the Federal Register (FR) +on March 30, 2009, regarding its application and enforcement of the harassment +and intimidation provisions contained in Part 225, specifically relating to +situations in which a supervisor or other railroad official accompanies an injured +employee into an examination room. See 74 FR 14091. FRA includes that +Interpretation here, as follows: +A. General Principle +Harassment and intimidation occur in violation of § 225.33(a)(1) when +a railroad supervisor accompanies an injured employee into an +examination room, unless one or more of the exceptions listed below +exists. + B. Exceptions + FRA recognizes that there are limited circumstances in which it is +appropriate, and indeed preferable, for a supervisor to accompany an +injured employee into an examination room. Consequently, FRA +recognizes the following limited exceptions: +(1) The injured employee issues a voluntary invitation to the +supervisor to accompany him or her in the examination room. The +injured employee must issue this invitation freely, without +coercion, duress, or intimidation. For example, an injured +employee may seek the attendance of a supervisor where the +supervisor is a friend. This exception does not encompass +invitations issued by third parties, including physicians, unless the +invitations are made pursuant to the request of the injured +employee. +(2) The injured employee is unconscious or otherwise unable to +effectively communicate material information to the physician and +the supervisor’s input is needed to provide such material +information to the physician. In these circumstances, the +FRA Guide for Preparing Accident/Incident Reports +97 +F 6180.55a +supervisor is assisting the injured employee in providing +information to the physician so that the injured employee may +receive appropriate and responsive medical treatment. +Q105. An employee on duty suffers a fatal heart attack. Is the case reportable? +A105. You must make immediate notification of a worker’s death, regardless of +suspected cause or circumstances (see Telephonic Reports of Certain +Accidents/Incidents in Chapter 1 of this FRA Guide). The FRA investigates all +deaths reported by this notification requirement. However, if an event or +exposure is not a discernable cause of the injury or illness, then a report is not +required. Therefore, the railroad must investigate the death and determine whether +it is more likely than not that an event or exposure was a discernable cause of the +death. +Q.106. A track worker stumbled on a rotten tie near the right-of-way and rolled +down the embankment. Two other railroad employees observed the event. +The worker was taken to a local PLHCP. After the examination, the PLHCP +declared the employee fit for full duty; no medical treatment was provided. +The employee chose not to report to work the next day, and took a day “sick” +leave as provided for under the collective bargaining agreement. The +railroad completed the Form FRA F 6180.98–Railroad Employee Injury +and/or Illness Record. However, since the employee did not report to work +the next day, does this qualify as an FRA-reportable event? +A.106. This case would not be reportable to FRA, because the employee injury did not +meet the general reporting criteria. However, because the employee was +examined by a PLHCP, this does qualify as an accountable injury and the railroad +must complete a Form FRA F 6180.98. Note, however, that if the employee +called in sick because the PLHCP subsequently recommends time away from +work or restricted duty, then the injury would be reportable. For example, after +being examined by the PLHCP and being declared fit for full duty, the +employee’s condition worsens; the employee contacts the PLHCP the day after +being examined to discuss the injury and the PLHCP then recommends time away +from work or restricted duty, thus making the case reportable. +Q.107. A car cleaner strains his/her back during the performance of duty. The car +cleaner calls the supervisor the next morning complaining of a very sore back +and requests to stay home for a couple of days. The supervisor agrees to put +the employee on administrative time. After 2 days, the supervisor instructs +the employee to see a PLHCP. The doctor declares the employee fit for full +duty. What is the reporting obligation of the railroad? +FRA Guide for Preparing Accident/Incident Reports +98 +F 6180.55a +A.107. The supervisor should have instructed the employee to seek medical attention +when called. If the supervisor instructs the employee to stay home, but pays the +employee as if he were on duty or on administrative leave, the supervisor’s +actions indicate an admission by the railroad that the injury/illness is workrelated. Likewise, if a railroad supervisor decides to restrict an employee’s duties +due to a claimed employee work-related injury/illness, the supervisor’s actions +indicate an admission by the railroad that the injury/illness is work-related. +Accordingly, the railroad must complete the Form FRA F 6180.98–Railroad +Employee Injury and/or Illness Record, and submit to FRA a completed Form +FRA F 6180.55a–Railroad Injury and Illness Summary. +6.13 Reporting of Injuries to Persons Other Than Railroad Employees +A report must be made for each fatality and each injury that requires medical treatment beyond +first aid, results in loss of consciousness, or meets the definition of significant injury, that is +discernibly caused by an event or exposure arising from the operation of the railroad. There is a +general presumption that any death or injury that occurs on a railroad’s premises, more likely +than not, is related to the operation of the railroad. Other cases become reportable if they are +connected to an event or exposure that occurred on the railroad’s premises but affected persons +not on the premises, e.g., a plume from a hazardous material release. +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, is presumed to have sustained an +FRA reportable injury. Absent evidence to rebut this presumption, the railroad must report the +injury to FRA on Form FRA F 6180.55a and show the injury on Block 46 on Form FRA F +6180.57, “Highway-Rail Crossing Accident/Incident Report.” If the railroad later discovers that +the highway user did not sustain a reportable injury, the railroad must notify FRA in accordance +with the late reporting instructions. This presumption does not relieve railroads of their duty to +make reasonable inquiry, as described below and in depth in Chapter 10 of this Guide, to +determine the nature and severity of highway-rail grade crossing injuries and to accurately report +such injuries. +A description of first-aid treatments can be found in the earlier section describing the +requirements for reporting railroad employee reporting. +Determination of Nature and Severity of Highway-Rail Grade Crossing Injuries: In order to +fulfill its responsibilities in determining the nature and severity of highway-rail grade crossing +injury and to accurately report such injury, a railroad must try to contact any potentially injured +highway user, or their representative, in writing and, if unsuccessful in obtaining the needed +information, by telephone. If a highway user died as a result of the highway-rail grade crossing +accident/incident, a railroad must not send this form to any person. +FRA Guide for Preparing Accident/Incident Reports +99 +F 6180.55a +The railroad should contact potentially injured highway users involved in a highway-rail grade +crossing accident/incident, in writing, by sending each potentially injured highway user a Form +FRA F 6180.150, “Highway User Injury Inquiry Form,” and, if unsuccessful, by phone. See +Guide, Chapter 10, for complete instructions. If a highway user died as a result of the highwayrail grade crossing accident/incident, a railroad must not send this form to any person. The Form +FRA F 6180.150 should also include a cover letter explaining the form’s purpose and containing +instructions on how to complete the form in addition to a prepaid, preaddressed return envelope +so that the highway user can easily return the completed form to the railroad if he or she opts to +complete the form. See FRA Guide, Chapter 10, for complete instructions. The Form FRA +F 6180.150 and cover letter should be completed, drafted, and mailed in accordance with the +instructions found in § 225.21 and the FRA Guide at Chapter 10. A sample cover letter has been +provided in Appendix N to this FRA Guide. +FRA acknowledges that there will be situations in which a highway user cannot be reached, even +though a railroad contacts the person by telephone and in writing. Other times, a highway user +will refuse to provide any information, even though a railroad clearly explains the Federal +reporting requirements and the reason for soliciting information. In those cases, a railroad is still +responsible for deciding whether, considering all of the circumstances, the highway user suffered +a reportable injury. The railroad must reconsider that determination if new or additional +information is later acquired. Moreover, if a highway user completes Part II of Form FRA F +6180.150, or provides additional information during a telephone call, the railroad will be +responsible for determining whether, based on the circumstances, the person suffered a +reportable injury or illness. See Guide, Chapter 6, for complete instructions. +The railroad must use any response it receives when contacting the potentially injured highway +user to determine whether any Part 225 records or reports should be created, and to complete +those records and reports. +The railroad must keep a record of its efforts to make such contact including, but not limited to, +retaining a copy of the Form FRA F 6180.150 sent to the highway user and the accompanying +cover letter, any response from the highway user and, when appropriate, a record documenting +the date, time, and content of the followup call. This record and documentation of any +information obtained must be retained for a period of 5 years and be available for review and +copying by an FRA representative under the same criteria as set forth in § 225.35 (b). +Determination of Nature of Trespasser Fatality: In order to fulfill its responsibilities in +determining the nature of a trespasser fatality 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. 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 +FRA Guide for Preparing Accident/Incident Reports +100 +F 6180.55a +must be available for review and copying by an FRA representative under the same criteria as set +forth in § 225.35(b). +6.13.1 Questions and Answers on Injuries to Persons Other Than Railroad Employees +Q108. When you refer to an event or exposure arising from the operation of a +railroad, would this include a motor vehicle incident between one of our +employees and another person, e.g., a motorist lost control, crossed median +strip, and struck a truck being driven by a railroad employee on railroad +property? +A108. An event or exposure arising from the operation of the railroad includes, for a +non-employee, (i) if the person is on property owned, leased, maintained, or +operated by the railroad, an event or exposure that is related to the performance of +the railroad’s rail transportation business; or (ii) if the person is off property +owned, leased, maintained, or operated by the railroad, an event or exposure that +directly results from certain limited events or exposure. An example would be a +hazardous material release from a railcar in the possession of the railroad, where +the fumes drifted to an adjacent community and caused death or other reportable +conditions. Since these persons were harmed while on the railroad’s property and +the event was related to the performance of the railroad’s rail transportation +business, then the railroad is responsible for reporting any casualties associated +with this event. +Q109. Is there any difference in reporting requirements for the following cases? +• A trespasser was walking over a trestle when a train suddenly came in +sight. He jumped from the trestle to avoid being struck, and broke a leg. +• A child was trespassing on a railroad bridge and fell to his death. There +was no evidence that a train or railroad employees were present at the +time of the accident. +A109. No. Both situations are reportable since both the trestle and train are directly +associated with the operation of the railroad. +Q110. A body was found along our right-of-way. It was determined that death was +a result of being struck by a train; however, several railroads operate over +this segment of track. Who is responsible for reporting? +A110. If known, the railroad operating the consist involved must report. If that railroad +cannot be determined, then the railroad responsible for the track maintenance +must report. +FRA Guide for Preparing Accident/Incident Reports +101 +F 6180.55a +Q111. A car was driving on a public overpass when the driver, who was not a +railroad employee, lost control and the vehicle fell to our property below. +The driver was seriously injured. Do we need to report this incident? +A111. No. Unless there was some involvement of the railroad that was a cause of or +contribution to the incident, then the injury to the driver would not be reportable. +Q112. Can you provide some examples of situations involving reportable injuries +suffered by a “Worker on Duty–Volunteer,” a “Volunteer–Other,” a +“Worker on Duty–Contractor,” and a “Contractor–Other” in the course of +different types of work performed? +A112. Example 1. A volunteer operates a locomotive for an excursion railroad. +Operation of a locomotive clearly falls within the realm of +“operation of on-track equipment.” If the volunteer sustains a +reportable injury (i.e., an injury resulting in death or requiring +medical treatment) during operation of the locomotive, then the +incident is reported as an injury to a “Worker on Duty–Volunteer” +(Class H), with the applicable job code series. +Example 2. A volunteer sits in a booth selling tickets for train rides on a tourist +railroad that operates on the general system and also clears +vegetation adjacent to its roadbed. Under 49 CFR § 213.37, +vegetation is to be cleared from the roadbed for safe rail +operations; vegetation clearing is, thus, an aspect of maintaining +the roadbed under § 209.303(b)(1) and is therefore considered a +“safety-sensitive function.” Any injury sustained by the volunteer +during the vegetation clearing is classified as one to a “Worker on +Duty–Volunteer” (Class H). If any reportable injury is sustained +by the volunteer during the process of selling tickets, then such +injury is classified as one to a “Volunteer–Other” (Class I). If, +however, the volunteer sells tickets and then clears vegetation +during the same tour, then all injuries are considered as those +attributable to a “Worker on Duty–Volunteer” (Class H). +Therefore, when a volunteer is engaged in “mixed service,” the +railroad must report all reportable injuries for that volunteer as +those to a “Worker on Duty–Volunteer” (Class H) on Form FRA +F 6180.55a. Conversely, when a contractor employee is engaged +in such “mixed service” on railroad property, the railroad must +report all reportable injuries for that contractor employee as those +to a “Worker on Duty–Contractor” (Class F) on Form FRA F +6180.55a, with the applicable job code series of the service +FRA Guide for Preparing Accident/Incident Reports +102 +F 6180.55a +performed. Also note that if the volunteer in this example is +working for a tourist railroad that operates exclusively off the +general system, and if the incident that causes his injury is +classified as a non-train incident that doesn’t involve operational +on-track equipment, then Part 225 does not require the tourist +railroad to report the injury at all. See § 225.3. +Example 3. The employee of a contractor performs payroll as well as time-andattendance functions for a railroad on railroad property. Such +functions are not considered “safety-sensitive” because they are +not related to the continued safety of the railroad and do not fall +under the definition of any safety-sensitive function as defined in +§ 209.303. Thus, an injury sustained by this contractor performing +those tasks is reported as that to a “Contractor–Other” (Class G). +Example 4. A contractor employee inspects and replaces roller bearings for the +reporting railroad on the railroad’s property. Injuries sustained by +this contractor are reported as those to a “Worker on Duty– +Contractor” (Class F) on Form FRA F 6180.55a. Under § 215.113, +cars with defective roller bearings should not be in service, thus +any injury associated with replacement of roller bearings is a +“safety-sensitive function” qualifying as an injury attributable to a +“Worker on Duty–Contractor” (Class F). In contrast, if this same +injury was sustained by a contractor employee at the contractor’s +facility off railroad property, then such injury would not be +reported to FRA. +6.14 Miscellaneous Guidance +Casualties to persons on trains or other on-track equipment, except for employees of another +railroad, are to be reported by the railroad responsible for the consist at the time of the +accident/incident. +Casualties to persons not on trains or other on-track equipment are to be reported by the railroad +whose consist or operation was most directly involved, e.g., casualties away from railroad +property resulting from a release of hazardous materials. +Any person found unconscious or dead on or adjacent to a railroad’s premises or right-of-way is +reportable by the railroad responsible for track maintenance if it is determined that the casualty +resulted from the operation of a railroad and the identity of the railroad causing the +accident/incident cannot be established in areas of joint operation. +FRA Guide for Preparing Accident/Incident Reports +103 +F 6180.55a +When a person dies as a result of an accident/incident after the month in which the case was +initially reported, the case will be reclassified as a fatality. Any death occurring under these +circumstances is to be identified by correcting the original casualty record to change the casualty +from nonfatal to fatal, and the corrected report must be submitted with changes circled in red. +An entry for each casualty must be made on a separate line. +Each accident/incident must have an identifying number that is unique for the report month. All +forms used by a railroad to report a single event or exposure must use the same accident/incident +number. For example, if a highway-rail grade crossing accident injures more than one person, a +separate line entry is used on Form FRA F 6180.55a to report each injury. A Form FRA +F 6180.57 must also be completed. The same accident/incident identification number must be +the same for all records. +6.14.1 Coding Instructions Injuries Due to Passenger Station Platform Gap Incidents +A “passenger station platform gap incident” is a reportable injury involving a person who, while +involved in the process of boarding or alighting a passenger train at a rail car door threshold plate +at a high-level passenger boarding platform (i.e., a platform that is 48" or more above the top of +the rail), has one or more body parts enter the area between the carbody and the edge of the +platform or traveling between passenger cars. The following are examples of a passenger station +platform gap incident: +• While boarding or alighting a passenger train at a high-level passenger boarding +platform, a person misjudges the passenger station platform gap, resulting in the person’s +leg entering the passenger station platform gap. +• While boarding or alighting a passenger train at a high-level passenger boarding +platform, a person is struck by a closing door, resulting in the person’s leg entering the +passenger station platform gap. +The following are not examples of a passenger station platform gap incident: +• While boarding or alighting a passenger train at a high-level passenger boarding +platform, a person misjudges the gap and falls into the vestibule or platform, without a +body part entering the gap. +• While walking on a passenger station at a high-level passenger boarding platform, a +person slips on the platform at a location other than the rail car door threshold, resulting +in the person’s leg entering the gap. +Passenger station platform gap injuries usually occur when the high-level platform station is +concave or convex, when there is misalignment between the platform and passenger car (see +FRA Guide for Preparing Accident/Incident Reports +104 +F 6180.55a +diagram), or when a person is traveling between cars and has one or more body parts enter the +area between the cars. +Figure 2: Diagram of coordination of vehicle floor with boarding platform +These passenger station platform gap injuries have special coding instructions, and new codes +were added to the Circumstance Codes (Appendix F). +When an injury is a result of a person being injured due to a “passenger station platform gap” +incident as defined above, the railroad must use, in Block 5n (“Cause”), “Probably Reason for +Injury/Illness Circumstance Code,” Code Number 18, “Slipped, fell, stumbled due to Passenger +Station Platform Gap” regardless of whether other codes may be applicable. +The following codes would typically be used to describe a passenger station platform gap event +on Form Railroad Injury and Illness Summary (Continuation Sheet) – Form FRA F 6180.55a. +Physical Act (Block 5j) +A6 Getting out +25 Getting off +63 Stepping up +64 Stepping down +80 Stepping across (passenger cars) +Location (Block 5k) +Part I +P – Passenger Terminal +Part II +FRA Guide for Preparing Accident/Incident Reports +105 +F 6180.55a +If the injury occurred when the passenger was boarding or alighting: +16 Passenger car(s) – standing +If the person was walking between cars when the injury occurred then the codes apply: +15 Passenger car(s) – moving +16 Passenger car(s) – standing +Part III +G1 - Rail Car Door Threshold Plate to Edge of Platform – Gap +G2 - Area Between Coupled Cars and Platform +G3 - Area Along Car body, other than Threshold Plate and Platform Edge +G4 - Car in Vestibule +Event ((block 5l) +Use the applicable codes. +Tools (block 5m) +1G - Door, End or Side - Passenger Train +2G - Door, Trap - Passenger Train +Cause (block 5n) +18 - Slipped, fell, stumbled due to Passenger Station Platform Gap +It is essential that this code be used for high level passenger boarding platform gap incidents. +6.15 Instructions for Completing Form FRA F 6180.55a (Continuation) +Item Instruction + 1. Name of Reporting Railroad +Enter the full name of the reporting railroad. + 2. Alphabetic Code +Enter the reporting railroad’s code found in Appendix A. + 3. Report Month +Enter the month covered by this report. +FRA Guide for Preparing Accident/Incident Reports +106 +F 6180.55a + 4. Report Year +Enter the year covered by this report. + 5a. Accident/Injury Number +Enter the identifying number assigned to the accident/incident causing the +casualty. If multiple casualties resulted from a single event, each casualty must +have exactly the same report number. If the casualty was a result of a rail +equipment accident/incident or a highway-rail grade crossing impact, the entry +must be the same as that shown on the other forms completed for the +accident/incident. + 5b. Day +Enter the day of the accident/incident. Use number day of the month, e.g., 01-31. + 5c. Time of Day +Enter the time of the accident/incident, including “a.m.” or “p.m.” Do not use +military time. + 5d. County +Enter the county/parish in which the accident/incident occurred. + 5e. State +Identify the State in which the casualty occurred, using the appropriate code +found in Appendix B. + 5f. Type Person/Job Code +Identify the type of person whose injury or illness is being reported by using the +following codes (refer to classification of persons found in the definitions in +Chapter 2): A - Worker on Duty–Railroad Employee; B - Railroad Employee Not +On Duty; C - Passengers on Trains; D - Nontrespassers–On Railroad Property; E - +Trespassers; F - Worker On Duty–Contractor; G - Contractor–Other; H - Worker +on Duty–Volunteer; I - Volunteer–Other; and J - Nontrespassers–Off Railroad +Property. +If the report is for a “Worker On Duty,” i.e., type person/job codes A, F, or H; or +the person is an “Employee Not On Duty,” type person code “B;” you must enter +the code from Appendix D that best identifies the individual’s +occupation/responsibilities. + 5g. Age +Enter the age of person whose injury or illness is being reported. +FRA Guide for Preparing Accident/Incident Reports +107 +F 6180.55a + 5h. Drug/Alcohol Test +If any employee was tested for alcohol use in connection with this accident, enter +the number of positive tests in the box titled “A.” If any employee was tested for +drug use in connection with this accident, enter the number of positive tests in the +box titled “D.” A test is a physical or chemical reaction by which a substance +may be detected or its properties ascertained, and includes both Federal and +employer-authorized tests to determine alcohol or drug usage. A test performed +under Federal (FRA) requirements is considered positive when the test result has +been verified as positive by a Medical Review Officer and reported to the +employer. A test performed under other authorization is considered positive when +the employer will defend the results if legally challenged. (Refer to 49 CFR +Part 219, Control of Alcohol and Drug Use, for additional information.) +If there were positive tests, but impairment is not reported as a cause of the +accident, then provide a brief explanation in the narrative of the basis for this +determination. The narrative is to be used to provide additional clarification, +particularly in instances where there are positive test results, but impairment was +not determined to have been causal. +You are required to identify all accidents/incidents where testing was performed. +The recording of this data on a record does not mean that the injured person was +the individual tested. This situation could occur when the employee(s) tested for +the use of these substances was not harmed in the accident/incident. Under these +circumstances, since there was no injury to the tested employee, there would be +no entry for this employee on Form FRA F 6180.55a. Therefore, it is critical to +record the information concerning tests on all reports filed in connection with the +accident/incident. +Note: The same drug and alcohol codes should be reported on all corresponding +Forms FRA F 6180.54 and Forms FRA 6180.55a’s that are filed under the +same accident/incident number. +This situation could arise, for example, when a non-employee (e.g., a passenger), +sustains the only reportable injury in an incident that resulted in testing of +employee(s). In order to identify the connection between the injury being +reported and possible alcohol or drug use by an employee, it is mandatory that the +information concerning the alcohol or drug use be recorded on the reports made in +connection with the accident/incident. + 5i. Injury/Illness Code +Select from the codes in Appendix E the combination that best describes the +condition being reported. +FRA Guide for Preparing Accident/Incident Reports +108 +F 6180.55a + 5j. Physical Act +From Appendix F, select the code that best describes what the injured person was +doing just before the injury occurred. If the code you have selected does not +sufficiently describe the “physical act,” provide further description in the +Narrative. +5k. Location +The location comprises three sets of codes as described below. +PART I: Was the person on the right-of-way, off the right-of-way, or on ontrack equipment? + +Identify the appropriate category describing where the casualty +occurred, and enter the appropriate code listed in Appendix F. +When using “Other,” a narrative must be provided in Item 5s. +PART II: If the casualty involved on-track equipment, select the code that +best describes the type of on-track equipment involved, and enter +appropriate code listed in Appendix F. When using “Other,” a +narrative must be provided in Item 5s. +PART III: Select the appropriate code that best identifies the location of the +casualty being reported listed in Appendix F. When using “Other,” +a narrative must be provided in Item 5s. + 5l. Event +From Appendix F, select the code that best describes the event or exposure that +caused the injury. If the code selected does not sufficiently describe the “Event,” +provide further description in the narrative. + 5m. Tools +From Appendix F, select the code that best describes additional information about +the tools, machinery, appliances, structures, surfaces, etc., associated with the +injury. You should try to use codes that provide additional information. For +example, if the event or exposure code identified using “hand tools,” the entry in +this block could be used to identify that the tool was a “gripping” type tool. If the +code selected does not sufficiently describe the tools, provide further description +in the Narrative. + 5n. Cause +From Appendix F, select the code that best describes what caused the event or +exposure entered in Item 51. If the code you have selected does not sufficiently +describe the “Cause,” provide further description in the Narrative. +FRA Guide for Preparing Accident/Incident Reports +109 +F 6180.55a +5o. Number of Days Away from Work +See Chapter 6.8.2, Questions and Answers on Days Away from Work, and +section on counting days absent from work and days of restriction. +If the person reported is an employee of the reporting railroad, enter the number +of days subsequent to the day of the injury or the diagnosis of the illness that a +railroad employee does not report to work, or was recommended by a PLHCP not +to return to work, as applicable, for reasons associated with the employee’s +condition even if the employee was not scheduled to work on that day. If there +were no such days, or a fatality is being reported, enter “0.” If the person is not a +railroad employee, enter “N/A.” +5p. Number of Days Restricted +See Chapter 6.9.1, Questions and Answers on Restricted Work, and +corresponding section on counting days absent from work and days of +restriction. +If the person being reported is an employee of the reporting railroad, enter the +number of days that an employee is restricted in his or her routine job functions +following the day of the injury or the diagnosis of the illness, or was +recommended by a PLHCP not to return to full-time work, as applicable. An +employee’s routine job functions are those work activities that the employee +regularly performs at least once per week. If there were no such days, or a fatality +is being reported, enter “0.” If the person is not a railroad employee, enter “N/A.” + 5q. Exposure to Hazmat +Enter “Y” (for “yes”) if an exposure to hazardous material caused, or was a +contributing factor to, the condition being reported for this individual. +5r. Special Case Codes +(Classification of Certain Injuries and Illnesses for FRA and/or OSHA +Purposes) +FRA’s agreement with OSHA to conform with the new criteria (see Q&A 71 in +Chapter 6.10.1, Questions and Answers on First Aid) that went into effect in +calendar year 2002 means that some nonfatal cases that were not previously +reportable to FRA will now be reportable. Prior to calendar year 2003, only those +nonfatal conditions that resulted in actual days away from work, actual work +restriction, medical treatment beyond first aid, or loss of consciousness were to be +reported. These cases that are now reportable, have been defined as “covered +data” cases. +FRA Guide for Preparing Accident/Incident Reports +110 +F 6180.55a +Because of the need to track trends that determine if the safety record for railroad +employees is changing, it is necessary to have a means for identifying these +previously unreported cases so that the data collected under the new requirements +can be accurately compared with earlier years. +If the only reason that a nonfatal condition is being reported is because 1) a +physician or PLHCP prescribed time off, but no days were actually taken; 2) a +PLHCP prescribed restriction of routine work duties, but restriction of routine +work did not occur; or 3) the PLHCP prescribed OTC medication to be taken at +prescription strength, then one of the following codes is to be entered in Item 5r +on Form FRA F 6180.55a: +A - PLHCP prescribed time off, but no days were actually taken, and returned +to full duty (no restricted days). +R - PLHCP prescribed restriction of routine work duties, but restriction of +routine work did not occur. +P - PLHCP prescribed OTC medication to be taken at prescription strength, or +there was a single external application of prescription medication, e.g., +antibiotic ointments or eye drops. +Conditions that result in a single dose of medication that is injected or ingested +are not “covered data” cases. +When deciding which code to use when a case involves more than one of the +situations above, A takes precedence over R and P, and R takes precedence over +P. For example, if the PLHCP recommended days absent from work and +restriction of work after returning to the job, then code A is to be used. +If code A or R is used, you must record, at a minimum, a count of “one” in either +Block 5o or 5p, which are used for the counting of days. +Suicide Data (Suicide or Attempted Suicide Cases) +X - Death of an individual due to that individual’s commission of suicide as +determined by a coroner, public police officer or other public authority; or injury +to an individual, which meets reporting criteria, due to that individual’s attempted +commission of suicide as determined by a public authority. Only the death of, or +injury to, the individual who committed the suicidal act is considered to be suicide +data. +When reporting the fatality or injury, enter X in Block 5r. +FRA Guide for Preparing Accident/Incident Reports +111 +F 6180.55a +Termination or Permanent Transfer +If an employee is terminated or permanently transferred because of physical, +medical, or other reasons associated with the reported injury or illness, then enter +Y in Block 5r. +Do not enter Code Y if the employee is terminated transferred solely for other +reasons, e.g., disciplinary, unless the employee’s condition was such, e.g., leg +amputated, that it would have resulted in termination or transfer regardless of +whether disciplinary action was taken. +5s, 5t Latitude and Longitude +Block 5s and Block 5t are for recording the latitude and longitude of the location +where the incident occurred. These two blocks are mandatory for any reportable +casualty to a trespasser. These blocks are optional for Worker On Duty–Railroad +Employee (Class A) fatalities. +Such longitude and latitude information may be satisfied by either using Global +Positioning System equipment to determine the actual longitude and latitude, or +by using Internet technology to determine an estimated longitude and latitude. +FRA is using the World Geodetic System (WGS) 84 Standard for recording the +event’s latitude and longitude. As such, it is requested that the information follow +the WGS 84 standard. +Although FRA would prefer decimal degrees (on hardcopy only, please follow +value with “o +” to specify decimal degrees), FRA will accept latitude and longitude +in degrees, minutes, and seconds (with o +, ‘, “ to indicate units used are degrees, +minutes, seconds) if submitted on hardcopy (electronic submissions should be in +decimal degrees). +The latitude should use the following format +xx.xxxxxx. The longitude should +use the following format -xxx.xxxxxx in decimal degrees. Use an explicit plus or +minus sign and an explicit decimal point followed by six decimal places for both +latitude and longitude. +Latitude, in decimal degrees: explicit decimal, explicit +/- (WGS 84) +(e.g., +35.301486) +Longitude, explicit decimal, explicit +/- (WGS 84) (e.g., -085.280201) +FRA Guide for Preparing Accident/Incident Reports +112 +F 6180.55a + 5u. Narrative +The railroad may further explain unusual circumstances surrounding a worker’s +injury or illness using up to 250 characters. Completion of this narrative is +mandatory for the reporting railroad unless the injury or illness can be adequately +described using all other entries (information blocks) on the form. Do not record +in the narrative personal identifiers, e.g., names, Social Security numbers, or +payroll identifications. +FRA Guide for Preparing Accident/Incident Reports + +113 +F 6180.54 +7. Form FRA F 6180.54 - Rail Equipment Accident/Incident Report +7.1 Requirement. +As set forth in § 225.19(c), rail equipment accidents/incidents are collisions, derailments, fires, +explosions, acts of God, or other events involving the operation of railroad on-track equipment +(standing or moving) and causing reportable damages greater than the reporting threshold for the +year in which the accident/incident occurred, must be reported using Form FRA F 6180.54, “Rail +Equipment Accident/Incident Report.” +7.1.1 Reporting Threshold +The reporting threshold is updated annually. The reporting threshold for calendar years +2002–2005 is $6,700. The reporting threshold for calendar year 2006 is $7,700. The reporting +threshold for calendar year 2007 is $8,200. For accidents that occurred in calendar year 2008, +the reporting threshold is $8,900; and, for accidents that occur in calendar year 2010, the +reporting threshold is $9,200. See § 225.19(e). In subsequent years, the railroad reporting officer +should check the FRA Safety Data Web site for the most current year’s reporting threshold (refer +to http://safetydata.fra.dot.gov/OfficeofSafety and click on “Click Here for Changes in +Accident/Incident Recordkeeping and Reporting.”) +7.1.2 Employee Human Factor Reporting and Notification Requirements +If the rail equipment accident/incident is attributed to an employee human factor, then the +railroad must complete, “Employee Human Factor Attachment.” This form must be attached to +the Rail Equipment Accident/Incident Report, Form FRA F 6180.54, and submitted to FRA +within 30 days after the expiration of the month in which the accident/incident occurred. See +225.21(f). Here, “employee” includes persons classified as Worker On Duty–Employee, +Employee not on Duty, Worker on Duty–Contractor, or Worker on Duty–Volunteer. See § +225.5 (“Employee Human Factor”) and Chapter 8 of this Guide. +When a railroad alleges, in Form FRA F 6180.81, “Employee Human Factor Attachment,” that a +specific employee caused or contributed to the rail equipment accident/incident, the railroad +must complete FRA Form F 6180.78, “Notice to Railroad Employee Involved in Rail Equipment +Accident/Incident Attributed to Employee Human Factor; Employee Statement Supplementing +Railroad Accident Report” must also be completed with notice being given to the employee and +submission made to FRA and the alleging railroad. See § 225.21(g) and Chapter 9 of this Guide. +7.1.3 Coexistent Reporting Requirements +All casualties resulting from a rail equipment accident, in addition to being recorded on Form +FRA F 6180.54, must be reported individually on Form FRA F 6180.55a. If the accident was a +highway-rail grade crossing impact, a Form FRA F 6180.57 must also be completed by the +railroad responsible for the consist. +FRA Guide for Preparing Accident/Incident Reports + +114 +F 6180.54 +7.2 General Instructions and Interpretations +An accident is frequently the culmination of a sequence of related events, and a variety of +conditions or circumstances may contribute to its occurrence. A complete record of all of these +would be beneficial in accident-prevention analysis. However, it is not practical, even if it were +possible, to develop forms and codes that would capture every detail that may be associated +with the causes and resulting consequences of each accident. Therefore, the most appropriate +combination of available codes that best identifies the likely primary and any contributing +cause, and other factors, is to be used. +The limitations imposed by standardized reporting forms make it critical that the narrative +portion of the report provide additional information concerning those items that cannot be +adequately described on the coded portions of the form. The wide variation in the causes and +circumstances of accidents limits our ability to prepare a comprehensive list of items to include +in your discussion. We have attempted to identify some of these in the instruction for +completing the narrative portion of the report (Item 52). In addition to these, you should include +any information that increases our knowledge of the underlying reasons why the accident +occurred and its consequences. +7.2.1 Identification of Train Accident/Incident +Each accident/incident must have an identifying number unique within the reporting month. All +forms used by a carrier to report a single event must use the same accident/incident number. Do +not append additional numbers or letters on different forms for the same accident/incident. For +example, if a railroad has two consists involved in an accident, do not report one consist using +the reporting number “12345,” and the other consist using the reporting number “12345-A.” The +reporting number must be exactly the same on both reports. +7.2.2 Classification of Train Accident/Incident +The classification of a train accident by type (collision, derailment, other) is determined by the +first reportable event in the accident sequence. All reports for a single accident are to use the +same designation. For example, if, following a derailment, a train strikes a consist on an +adjacent track, the report for this additional consist will indicate that the accident type was a +derailment, not a collision. +7.2.3 Calculating Costs +When final cost figures are not available, estimated values are to be used. If an estimated value +was significantly in error, an amended report must be forwarded. A significant difference is a +10-percent variance between the damage amount reported to FRA and current cost figures. +FRA Guide for Preparing Accident/Incident Reports + +115 +F 6180.54 +7.2.4 Joint Operations +If the property of more than one railroad is involved in an accident/incident, the cost of damages +is calculated by including the damages suffered by all of the railroads involved. +When total reportable damage to all railroads directly involved in an accident/incident exceeds +the reporting threshold, you must make a report, even though your railroad’s damages were +below the threshold. +In joint operations, if the railroad having track maintenance responsibility did not also have ontrack rail equipment involved, the railroad having track maintenance responsibility must submit +to FRA a Form FRA F 6180.54 report containing track information. The items concerning the +equipment consist are to be marked “N/A.” See § 225.23(c). +Any railroad indicating the involvement of another railroad in the accident on its report must +promptly notify the other carrier (FRA may be contacted to obtain telephone numbers). You +must exchange information concerning the accident and verify, at a minimum, that: +1. The other railroad has a reporting responsibility. +2. Total reportable damage exceeded the threshold. +3. Information contained in both reports is consistent. +When there is disagreement concerning the items being reported, particularly the cause of the +accident, each railroad will include a discussion of these in the narrative portion of its report. +The back of the form or a separate sheet of paper is to be used when the front of the form is not +adequate for this purpose. +7.2.5 Responsibility for Reporting Multiple Consist Accidents +A form must be completed for each consist (see Chapter 2 for definition) involved in an accident. +The railroad responsible for the on-track equipment at the time of the accident, and only that +railroad, will report the consist information. See § 225.23(c). +7.2.6 Responsibility for Reporting Accidents on Industry Track +Track information for accidents occurring on industry track of a non-reporting company is to be +reported by the railroad operating the on-track equipment. Damages to industry track and ontrack equipment are included in reportable damage. The word “industry” is to be entered in +Item 3b to identify an accident of this type. +7.2.7 Reporting Exceptions +The following exceptions do not impact the railroad’s obligation to maintain records of +accidents/incidents as required by § 225.25 (Form FRA F 6180.97, “Initial Rail Equipment +Accident/Incident Record”), as applicable. A railroad need not report the following: +FRA Guide for Preparing Accident/Incident Reports + +116 +F 6180.54 +1. Cars derailed on industry tracks by nonrailroad employees or nonrailroad employee +vandalism, providing there is no involvement of railroad employees. +2. Damage to out-of-service cars resulting from high water or +flooding, e.g., empties placed on storage or repair track. This +exclusion does not apply if such cars are placed into a moving +consist and as a result of this damage, a reportable rail equipment +accident results. +Suicides and attempted suicides are not exceptions to FRA’s reporting requirements and must be +reported to FRA as “suicide data.” Accidents and incidents caused by suicide or attempted +suicide are NOT excepted from FRA’s reporting requirements. +Suicide data is data regarding the death of an individual due to that +individual’s commission of suicide as determined by a coroner or other +public authority; or injury to an individual due to that individual’s +attempted commission of suicide as determined by a public authority. +Only the death of, or injury to, the individual who committed the suicidal +act is considered to be suicide data. +See instructions for completing Blocks 38, 46–48, and 52 of Form FRA F6180.54 under +Section 7.3 below. +7.3 Instructions for Completing Form FRA F 6180.54 +Note: Enter “N/A” for those items that do not apply to an accident, or for those items describing +on-track equipment that is the reporting responsibility of another railroad. All items must have +an entry; do not leave items blank. If “none” is the proper response to an item (for example, the +number of cars releasing hazardous material), then enter “0,” not “N/A.” +Item Instruction +1. Name of Reporting Railroad +Enter the full name of the reporting railroad. +1a. Alphabetic Code +Enter the reporting railroad’s alphabetic code found in Appendix A. +1b. Railroad Accident/Incident No. +Enter a unique identifying number for the accident/incident being reported. All +reports prepared in connection with this accident/incident must use the same +reporting number. The report number may contain up to 10 numbers or +alphabetic characters. +2. Name of Other Railroad or Other Entity with Consist Involved +If an equipment consist operated by another railroad or other entity was involved +FRA Guide for Preparing Accident/Incident Reports + +117 +F 6180.54 +in the accident, enter the full name of that railroad or other entity. If more than +one other railroad or other entity had a consist involved, list only one name; +include in the narrative portion of the form a reference to all railroads and other +entities and the extent of their involvement. Be sure that any other railroad or +other entity identified in the report is notified. +The exception is when there are three railroads involved (or two railroads and one +industry), then Item 2 can be completed with the name of the railroad or other +entity without having a consist involved. +2a. Alphabetic Code +Enter the alphabetic code of the railroad or other entity identified in Item 2, as +found in Appendix A. +2b. Railroad Accident/Incident No. +Enter the reporting number used by the railroad or other entity shown in Item 2 to +identify this accident/incident. +3. Name of Railroad or other Entity Responsible for Track Maintenance +Enter the name of the railroad or other entity responsible for maintaining the track +on which the accident/incident occurred. +3a. Alphabetic Code +Enter the alphabetic code of the railroad, or other entity identified in +Item 3. +3b. Railroad Accident/Incident Number +Enter the reporting number used by the railroad shown in Item 3 to identify this +accident/incident. +4. U.S. DOT Grade Crossing Identification Number +If the event being reported is a highway-rail grade crossing impact, enter the DOT +crossing identification number. The U.S. DOT Grade Crossing Identification +Number means and is in reference to the U.S. DOT Grade Crossing Inventory +Number. (Note: The railroad responsible for the on-track equipment involved in +the impact must also complete a Form FRA F 6180.57. This report must have the +same report number as that used on Form FRA F 6180.54.) +5. Date of Accident/Incident +Enter the date of the accident/incident. +6. Time of Accident/Incident +Enter the time the accident/incident occurred and check the appropriate “a.m.” or +“p.m.” box. Do not use military time. +7. Type of Accident/Incident +FRA Guide for Preparing Accident/Incident Reports + +118 +F 6180.54 +Identify the first event in the accident/incident from the list of codes on the form. +The same code is used for all reports filed for the accident. +8. Cars Carrying HAZMAT [Hazardous Material] +If the equipment consist for which this report is being prepared contained cars that +are designated as transporting hazardous material, enter the total number of these +cars, including residue cars. If there were no such cars in the consist, enter a “0.” +If the report is for track involvement only, enter “N/A.” The entry in this item +cannot be greater than the total number of freight cars shown on line 1 of Item 35. +9. HAZMAT Cars Damaged/Derailed +If the entry in Item 8 is greater than or equal to 1, enter the total number of +hazardous material cars that were damaged or derailed. If none, enter “0”; +otherwise, enter “N/A.” The number of cars in Item 9 cannot exceed the number +of cars listed in Item 8. +10. Cars Releasing HAZMAT +If any of the hazardous material cars counted in Item 8 released any portion of its +contents, including fumes, enter the count of these cars. If none, enter “0”; +otherwise, enter “N/A.” This number cannot be greater than that shown in Item 8. +Describe the hazardous material released in the narrative by name or the Standard +Transportation Commodity Code (STCC). (Note: Any release of hazardous +material must also be reported on DOT form F 5800.1 See 49 CFR 171.15 and +171.16 for requirements.) +11. People Evacuated +If the accident/incident resulted in an evacuation of the area because of an actual +or a potential exposure to hazardous material, enter the number of persons +evacuated. This number is to be reported only by the railroad responsible for the +equipment consist involved. +If there were multiple consists involved in the accident, the total number of people +evacuated is to be shown on the report for the consist most directly responsible for +the evacuation. Precautionary evacuations and instances where it was later +established that a release of hazardous material did not occur are to be reported. +12. Subdivision +Enter the full name of the subdivision on which the accident occurred, i.e. the +Track owner’s subdivision name. If the railroad is not so divided, enter the word +“System.” In the event of a joint accident involving Amtrak, the host railroad’s +subdivision will apply. +Note: If an accident occurred in a major terminal and subdivision is not +applicable, enter terminal/yard name. +FRA Guide for Preparing Accident/Incident Reports + +119 +F 6180.54 +13. Nearest City/Town +Enter the name of the nearest city or town. +14. Milepost +If the accident occurred on a main line, branch line, or siding, enter the milepost +number, to the nearest tenth of a mile, at the location of the accident. If +mileposts are not used, enter “N/A.” +15. State Abbr. +Enter the appropriate State abbreviation and code, from Appendix B of this +Guide. +16. County +Enter the full name of the county or parish in which the accident occurred. +17. Temperature +Enter the temperature (Fahrenheit) at the accident site at the time of the accident. +If the temperature was below zero, preface the temperature number with a minus +(-) symbol. +18. Visibility +Select the most appropriate entry, and place in the code box. Make sure this entry +does not contradict the time given in Item 6. For example, if the time of the +accident was 1:30 p.m., it would be incorrect to code the visibility as “Dawn.” +19. Weather +Select the most appropriate weather condition at the time and location of the +accident, and enter the code in the box provided. +20. Type of Track +The host railroad (railroad responsible for track maintenance) will +determine/provide the type of track. Any other railroad should consult with the +host railroad when completing this block. Select the code that identifies the type +of track on which the accident occurred, and enter it in the box provided. Branch +lines should be reported as mainline, code “1.” +21. Track Name/Number +Enter the name or number used to identify the track on which the accident +occurred. If it is a main track of a single-track line, enter “single main track.” +22. FRA Track Class +Enter the class of track on which the reported consist was located at the time of +the accident. Classes of track are defined in the Federal Track Safety Standards +(49 CFR Part 213). Excepted track should be entered as Class “X.” +FRA Guide for Preparing Accident/Incident Reports + +120 +F 6180.54 + Maximum Speed +Track Freight Passenger +Class Trains Trains +X 10 Prohibited +1 10 15 +2 25 30 +3 40 60 +4 60 80 +5 80 90 +6 110 110 +7 125 125 +8 160 160 +9 200 200 +23. Annual Track Density +If an accident occurred on a main track, enter the annual gross tonnage (in +millions) over this track; otherwise, enter “N/A.” + +24. Timetable Direction +If the consist identified on this report was either moving or temporarily stopped, +enter the code that describes the timetable or schedule direction. If the equipment +consist was a car or a cut of cars standing on the track, enter “N/A.” +25. Type of Equipment Consist +Select the code that best identifies the consist for which this report is being +prepared, and enter in the box provided. Be sure that this entry is consistent with +the values given in Items 34 and 35. +For example: the codes “1,” “2,” “3,” “7,” “8,” “B,” and “C” are used for consists +that contain a locomotive unit. Therefore, line 1 of Item 34 must show at least +one locomotive in a box. If the code for a freight train is used, then line 1 of +Item 35 must show loaded and/or empty freight cars. If the consist is a single car +or cut of cars, there cannot be locomotives shown in Item 34 and there must be a +car count shown in Item 35. Many such comparisons exist; be sure to check the +interrelationship of information contained in all items related to the equipment +consist. +The codes for “Type of Equipment Consist” are as follows: +1. Freight train +2. Passenger train - Pulling +3. Commuter train - Pulling +4. Work train +FRA Guide for Preparing Accident/Incident Reports + +121 +F 6180.54 +5. Single car +6. Cut of cars +7. Yard/switching +8. Light loco(s) +9. Maint./Inspect. Car +A. Spec. MoW Equip +B. Passenger train - Pushing +C. Commuter train - Pushing +D. EMU +E. DMU +26. Was Equipment Attended? +If the equipment consist was attended by an employee, enter “1”; otherwise, +enter “2.” +27. Train Number/Symbol +If the equipment consist can be identified by means of a train number, enter that +train number. Otherwise, enter the number of the locomotive unit from which the +engineer was controlling the consist. If the consist for which this report is being +prepared did not contain a locomotive, enter “N/A.” +28. Speed +List the speed (mph) at which the consist was traveling at the time of its +involvement in the accident. Enter “E” in the code box to indicate if this is +estimated; or enter “R” for a recorded speed. If this consist was stopped, enter a +speed of “0.” +29. Trailing Tons +If the equipment consist reported on this form is a freight train, work train, etc., +enter the gross tonnage, excluding locomotives, of the train. Enter “N/A” if the +consist was a passenger train (pulling/pushing), commuter train (pulling/pushing), +light locomotive(s), car(s), EMU, DMU, or a locomotive handling cars in +switching operations. +30. Type of Territory +The host railroad (railroad responsible for track maintenance) will +determine/provide the type of territory. Any other railroad should consult with +the host railroad when completing this block. Identify the method(s) of railroad +operation at the accident location by entering the appropriate code(s) in the boxes. +The back of the form may be used if necessary. The specific instructions for +completing this block are dependent on Block 20 (Type of Track). There are up +to five codes available to be used. Refer to Appendix J for specific instructions. +FRA Guide for Preparing Accident/Incident Reports + +122 +F 6180.54 +30a. Remotely Controlled Locomotive? +If this consist is NOT a part of a remote controlled operation or is NOT being +controlled by a remote control locomotive (RCL), enter code “0.” For accidents +involving consists controlled by RCL, enter one of the following three available +codes that best describes the type of remotely controlled operation involved: +1 - Remote control portable transmitter +2 - Remote control tower operation +3 - Remote control portable transmitter – more than one remote control +transmitter. +The use of codes “1,” “2,” or “3” is not dependent upon whether the RCL +operation caused or contributed to the accident, only that the RCL was in use. +Further explanation can be provided in the narrative. +There are special instructions for Blocks 40–45 for coding if the consist was +under RCL operations. +31. Principal Car/Unit +31a. Initial and Number +In the upper box (“First Involved”), list the initial and number of the first +locomotive or car in the consist being reported. +If the consist was moving at the time of the accident, and the accident was caused +by a mechanical or an electrical failure on this consist (cause codes beginning +with “E”), enter the initial and number of the car or locomotive having the +defective equipment in the lower box (“Causing”). If a mechanical or electrical +failure on a locomotive or car in this consist did not cause the accident, enter +“N/A.” +The same entry will frequently appear in both upper and lower boxes, since the +locomotive or car with the mechanical or electrical failure will also be the first +involved. If the locomotive or car that caused the accident was contained in a +different consist than the one described in this report, do not identify it on the +report for this consist. A reference to the unit causing the accident may be made +in the narrative portion of the report. +31b. Position in Train +In the upper box, enter the position within the consist of the locomotive unit or car +identified in the upper box of Item 31a. When the consist contains a locomotive, +count from and include the first locomotive unit. If the consist was a moving cut +of cars, count from the leading end of the consist. If the consist was a single +locomotive or moving car, enter “1.” If the consist was a standing car or a +FRA Guide for Preparing Accident/Incident Reports + +123 +F 6180.54 +standing cut of cars, enter “N/A.” +If a locomotive unit or car is identified in the lower box of Item 31a, enter its +position in the lower box. Use the procedure described above. +Note: When entering the position of the car or locomotive in either box, +be sure that this value does not exceed the total length of the +consist. This is determined by adding the total number of +locomotives in line 1 of Item 34 to the total number of cars shown +in line 1 of Item 35. +31c. Loaded +When the entry in the upper box of Item 31a identifies a car, indicate if this car +was loaded or unloaded by entering “Yes” or “No” in the upper box. If a car is +not identified in Item 31a, enter “N/A.” +If a car is identified in the lower box of Item 31a, indicate if this car was loaded or +unloaded by entering “Yes” or “No” in the lower box. Otherwise, enter “N/A.” +32. Railroad employees tested for drug/alcohol use. +If any employee was tested for alcohol usage in connection with this accident, +enter the number of positive tests in the first block. If any employee was tested +for drug usage in connection with this accident, enter the number of positive tests +in the second block. If testing was performed and the results were negative, enter +“0.” If there were positive tests, but impairment is not reported as a cause of +the accident, then provide a brief explanation in the narrative of the basis for +this determination. You are required to identify all accidents/incidents where +either Federal- or employer-authorized tests were performed. +Note: The same drug and alcohol code should be reported on all corresponding +Form FRA 6180.54’s and Form FRA 6180.55a’s that are filed under the +same accident/incident number. +49 CFR 225.18(a)(2) specifies that for any train accident within the requirement +for post-accident testing under § 219.201, the railroad shall append to the Rail +Equipment Accident/Incident Report any report required by § 219.209(b) +(pertaining to failure to obtain samples for post-accident toxicological testing). +33. Was this consist transporting passengers? +Enter “Y” (for “yes”) if the consist being reported on was transporting passengers; +otherwise enter “N” (for “no”). +FRA Guide for Preparing Accident/Incident Reports + +124 +F 6180.54 +34. Locomotive Units [Number of] (Exclude EMU, DMU, and Cab Car Locomotives) +On line 1 (“Total in Train”), enter in the appropriate box(es) the number of +locomotive units in this consist. If there were no locomotives in this consist, enter +“0” in each of the boxes. Refer to the definition for “Locomotives” in Chapter 2 +(Definitions). +For the locomotives shown in line 1, list on line 2 (“Total Derailed”) the number +of these that were derailed in the accident. Include locomotives that derailed +following a collision, explosion-detonation, etc., as well as those accidents +identified as derailments in Item 7. +35. Cars [Number of] (Include EMU, DMU, and Cab Car Locomotives) +On line 1 (“Total in Equipment Consist”), enter in the appropriate box(es) the +number of cars contained in the consist. A passenger car is considered loaded if it +contains one or more passengers. Enter “0” in all boxes if the consist did not +contain cars. (Refer to the definition for “EMU, DMU, and Cab Car Locomotives +in Chapter 2 (Definitions). +For the cars shown in line 1, list on line 2 (“Total Derailed”) the number of +these that were derailed in the accident. +Special Instruction: When the consist contains articulated cars, the count for +these is to be the number of platforms/units in such a car. +This is necessary in order to maintain comparability of train +lengths. The narrative is to contain a reference that +articulated cars were included in the consist. +36. Equipment Damage This Consist +Enter the amount of reportable damage sustained by the equipment consist for +which this report is being prepared. If this consist did not have reportable +damage, enter “0.” When multiple forms are being used, do not show the damage +to this consist on other reports. +When estimating damage costs, the labor costs to be reported are only the direct +labor costs to the railroad, e.g., hourly wages, transportation costs, and hotel +expenses. The cost of fringe benefits is excluded when calculating direct labor +costs. Overhead is also excluded when calculating damage costs due to the +unacceptable, non-uniform treatment of overhead under the current process. If +the railroad chooses to have employees work overtime, then the overtime direct +labor charges must be used. +For services performed by a contractor, a direct hourly labor cost is calculated +by multiplying the contractor’s total labor hours charged to the railroad by the +applicable direct hourly wage rate for a railroad worker in that particular craft. +However, if a railroad cannot match the equivalent craft to the labor hours spent +by a contractor, then the railroad must use the loaded rate, i.e., the cost by hour +FRA Guide for Preparing Accident/Incident Reports + +125 +F 6180.54 +for labor, fringe benefits, and other costs and fees for services charged by the +contractor for the tasks associated with the repair of the track, equipment, and +structures due to the train accident. +The current method used to calculate material costs, i.e., depreciated value +estimates, will continue to be used by all railroads. See Chapter 2, Definitions, +Costs and Reportable Damage, for methodology of calculations. +If a railroad chooses to use parts from older equipment to repair a damaged car +from an accident, then fair market value for the old part should be used and +documented as to fair market value (documentation should be publicly available +source for refurbished equipment). FRA is concerned that the railroad pay special +attention to using refurbished parts that might affect safety. +37. Track, Signal, Way & Structure Damage +The railroad responsible for maintaining the track on which the accident/incident +occurred will enter the cost of damages to the track, signals, roadbed, track +structures, etc. (A report must be provided even when the track damage is zero +(0).) Other railroads will enter “N/A.” If the railroad responsible for the track +maintenance is filing reports for multiple consists involved in the accident, only +one of these reports will contain the total damage incurred. +If a railroad uses rail salvaged from an abandoned track or track no longer in use, +then the cost of the rail and ties salvaged are zero; however, the direct labor costs +for savaging the rail and ties, building the panels, and replacing the rail (including +subsequent welding costs if continuous welded rail (CWR) must be used in +calculating the costs of the accident. +38. Primary Cause Code +Proper entry of the correct primary cause code is of critical importance, not +only for the accident being reported, but also for FRA’s analyses conducted for +accident prevention purposes. Because of the extensive use made of primary +cause code entries, careful attention must be given to making correct entry for +all accidents. +From the cause descriptions found in Appendix C, enter the cause code that best +describes the primary cause of the accident. All reports by a single railroad for a +single accident must use the same cause code. When multiple railroads are +reporting the same accident, they should attempt to resolve any differences +concerning the cause prior to reporting. When this cannot be accomplished, each +railroad will identify what it considers to be the primary cause of the accident. +If none of the more specific available cause codes are appropriate, you may enter +Cause Code M599, “Other Miscellaneous Causes,” and fully describe the +circumstances in the narrative. By its very nature, M599 is a vague cause code +that is intended to allow for a cause code entry for accidents that involve +FRA Guide for Preparing Accident/Incident Reports + +126 +F 6180.54 +extremely unusual circumstances, and thus are not described elsewhere in +Appendix C. Railroads should avoid unnecessary usage of this vague cause code +as it detracts from FRA’s ability to accomplish proper train accident cause trend +analysis for accident prevention purposes. Often, the use of Cause Code M599 +can be avoided by using both the primary and contributing cause fields to enter +the most appropriate specific available cause codes. (Example: For an accident +caused by a worn flange (E64C) and a worn switch point (T314), rather than +using M599, the railroad should make a determination as to which was the +primary cause and which was the contributing cause, and make entry of these +specific cause codes.) +If the cause of the accident is still under active investigation by the railroad when +the report is due, you may enter M505. Active investigation by the railroad +means that the railroad’s investigation of the accident is still ongoing, and the +cause has not been fully determined. An example of an accident still under active +investigation by the railroad would be that the railroad is still awaiting +metallurgical results for a suspected broken rail. Often, FRA and/or the National +Transportation Safety Board (NTSB) may also be performing their own +independent investigations of this same accident, and their final reports may not +be published for a considerable time period after the accident. The railroad must +not wait for either the FRA or the NTSB to publish their findings and their +assessment as to cause(s) of the accident to amend Cause Code M505. Once the +railroad has completed its active investigation and determined the probable +cause(s), the best available appropriate cause code(s) must be provided to FRA on +an amended report for the accident pursuant to 225.13. The fact that NTSB or +any other governmental agency has not released their findings as to probable +cause is not a valid reason for railroads to allow cause code M505 to remain +assigned to an accident. +Cause Code M507 is used to denote accidents/incidents in which the investigation +is complete but the cause of the accident/incident could not be determined. If a +railroad uses this code, the railroad is required to include in the narrative block an +explanation for why the cause of the accident/incident could not be determined. +Suicide and attempted suicide. + Place the following miscellaneous cause codes, as applicable, in Block 38: +(i) Code M309 “Suicide (Highway-Rail Grade Crossing Accident)”; (ii) Code +M310 “Attempted Suicide (Highway-Rail Grade Crossing Accident)”; (iii) Code +M509 “Suicide (Other Misc.)”; and (iv) Code M510 “Attempted Suicide (Other +Misc.)”. These codes can be found in Appendix C, “Train Accident Cause +Codes,” to this Guide. When entering the code for suicide and attempted suicide +(M309, M310, M509, M510), as determined by a coroner or public authority, +such as a public police officer, if there is also alcohol or other drug involvement, +then enter, as the primary cause code, either M309, M310, M509, or M510, as +applicable; and also indicate other applicable codes in the contributing code box. +For example, if causes of a highway-rail grade crossing accident are both +FRA Guide for Preparing Accident/Incident Reports + +127 +F 6180.54 +attempted suicide and drug or alcohol impairment, enter “M310” for the primary +cause code, and enter “M301” for the contributing cause. +If an accident is caused by a bond wire attachment issue (See Appendix C, Train +Accident Cause Codes), information on the methods and locations of these +attachment(s) are to be provided in the narrative (Block 52). +There is a 5-year limit on the railroads to send in an amended report to change a +cause code. See Chapter 1 of this Guide. Once FRA or NTSB has published its +findings on an accident, the railroad may choose to send in another amended +report to reflect the primary cause code as determined by FRA or NTSB. The +railroad is not bound by the findings of either FRA or NTSB, as long as the +railroad has made a “good faith” determination that the results of their +investigation and analysis are accurate. +39. Contributing Cause Code +If there were one or more contributing causes, enter the code for the foremost +contributing cause. Otherwise, enter “N/A.” An accident is frequently the +culmination of a sequence of related events, and a variety of conditions or +circumstances may contribute to its occurrence. A complete record of all of these +would be beneficial in accident prevention analysis. However, it is not practical, +even if it were possible, to develop forms and codes that would capture every +detail that may be associated with the causes and resulting consequences of each +accident. Therefore, the most appropriate combination of available codes that +best identifies the likely primary and any contributing cause, and other factors, is +to be used. Railroads are encouraged to use the contributing cause code. When +the events cannot be adequately described using the primary and contributing +cause, the railroad must use the narrative block to complete the causes of the +accident. +40–43. Number of Crewmembers +Enter in the appropriate boxes the total number of crewmembers on the consist for +which this report is being filed. If the item does not apply, enter “N/A.” +The operator of on-track maintenance machines is to be included in +the “Engineer” count. +A switch foreman is to be included in the “Conductor” count. +Switch helpers are to be included in the “Brakeman” count. +Utility employees who were attached to the crew at the time of the accident are +to be included in the count for the most appropriate type of crewmember +(normally brakeman.) +FRA Guide for Preparing Accident/Incident Reports + +128 +F 6180.54 +If, through contractual agreements, a railroad has eliminated the job title of +conductor, and those responsibilities previously discharged by a conductor are +being fulfilled by another job title on the consist, then an entry is to be included in +the “Conductor” count. +If Block 30a, “Remote Control Locomotives,” has a code of 1 or 2, and the +consist was under RCL operations, then record the RCL operator in the +“Engineer/Operator” count, regardless of the operator’s craft. If Block 30a, +“Remote Control Locomotives,” has a code of 3, and the consist was under RCL +operations, then record all of the RCL operators in the “Engineer/Operator” count, +regardless of the operator’s craft. +44–45. Length of Time on Duty +Show the length of time that the engineer/operator and conductor in charge of the +equipment consist had been on duty at the time the accident/incident occurred. +If Block 30a, “Remote Control Locomotives,” has a code of 1 or 2 and the consist +was under RCL operations, then record the RCL operator’s length time on duty in +the “Engineer/Operator” block, regardless of the operator’s craft. +If Block 30a, “Remote Control Locomotives,” has a code of 3, “Remote control +portable transmitter - more than one remote control transmitter,” and the consist +was under RCL operations, then record all of the RCL operators in the “Engineer” +and “Conductor” fields, regardless of the operators’ craft. If there are more than +two RCL operators, then choose the two operators that have the longer tour of +duty to record in the “Engineer” and “Conductor” blocks. +46–48. Casualties +Enter the total number of reportable casualties (fatalities and nonfatalities) on this +consist. If none, enter “0.” +Enter the total number of persons who sustained reportable injuries while on +board, or as a result of striking, being struck by, or who are otherwise hurt in +connection with the operation of this consist. This would include injuries to +individuals who jumped from the consist prior to the accident. Do not report +employees of another railroad. +Include reportable casualties that result from suicides and attempted suicides, as +determined by a coroner, public police officer or other public authority, in Boxes +46–48, as applicable. (Prior the effective date of this guide, suicides were not +included in Items 46–48). +Note: All nonfatal casualties, including those being reported as occupational +illnesses, in the case of hazardous material releases, are to be included. +Each casualty reported on this form, regardless of whether fatal or +FRA Guide for Preparing Accident/Incident Reports + +129 +F 6180.54 +nonfatal, must be reported individually on Form FRA F 6180.55a using +the same accident/incident report number in Item 1b. Enter the number of +fatal and nonfatal casualties to the railroad’s employees, train passengers, +and others. +49. Special Study Block +A “Special Study Block” (SSB) is for collection of information on specific +accident issues over a specified time period in response to particular hazards or +associated railroad risks that are of safety concern. FRA will notify the railroads, +in writing or, if appropriate, through publication in the Federal Register, of the +purpose and the type of information that is to be collected +SSB for Item 49 will be broken down into SSB A (49a) and SSB B (49b). +49a. Special Study Block A +Use this block to indicate what type of track an accident/incident occurred on by +using the codes “CWR” for continuous welded rail track, or “OTH” for other. +Item 49a cannot be blank. +49b. Special Study Block B +Special Study Block B will be used to collect information on specific accident +issues as explained above, and if appropriate, through publication in the Federal +Register. +Please refer to http://safetydata.fra.dot.gov/OfficeofSafety and click on “Click +Here for Changes in Accident/Incident Recordkeeping and Reporting” for +updated information. + +50–51. Latitude and Longitude +Blocks 50 and 51 are for recording the latitude and longitude of the location +where the accident occurred. These two blocks are mandatory. This +requirement may be satisfied by either using GPS equipment to determine the +actual longitude and latitude or by using Internet technology to determine an +estimated longitude and latitude. + +FRA is using the World Geodetic System (WGS) 84 standard for recording the +event’s latitude and longitude. It is requested that the information follow the +WGS 84 standard. +Although FRA would prefer decimal degrees (on hardcopy only, please follow +value with ° to specify decimal degrees), FRA will accept latitude and longitude +in degrees, minutes, and seconds (with °, ‘, “ to indicate units used are degrees, +minutes, seconds) if submitted on hardcopy (electronic submissions should be in +decimal degrees). +The latitude should use the following format +xx.xxxxxx. The longitude should +FRA Guide for Preparing Accident/Incident Reports + +130 +F 6180.54 +use the following format -xxx.xxxxxx in decimal degrees. Use an explicit plus +or minus sign and an explicit decimal point followed by six decimal places for +both latitude and longitude. +Latitude, in decimal degrees: explicit decimal, explicit +/- (WGS 84) (e.g., ++35.301486) +Longitude, explicit decimal, explicit +/- (WGS 84) (e.g., -085.280201) +52. Narrative Description +A detailed narrative is basic to FRA’s understanding of the factors leading to, and +the consequences arising from, an accident. While many minor accidents can be +described in a few brief comments, others are more complicated and require +further clarification. +An adequate description of most accidents cannot be made in the limited space +available in Block 52. The narrative can be continued on a separate sheet of +paper attached to the report. Because of the variety of factors associated with +accidents, it is not possible to give a comprehensive list of items you should +include in your discussion. However, the following are to be covered when +appropriate: +Drug/alcohol involvement. Include a discussion of any drug/alcohol +use connected with this accident. If positive tests were made, but +usage/impairment was not determined to be a causal factor, explain +the basis of this determination. +Cause. Discuss any events or circumstances occurring prior to the +accident that has relevance to the accident. Provide additional +information concerning the reasons for the accident when the causes +found in Appendix C do not sufficiently explain why the accident +occurred. +Diesel Fuel Tank. Identify any leakage of locomotive diesel fuel +resulting from the accident. Identify the unit(s) by initial and number, +the manufacturer and model designation, the capacity of the fuel tank, +the quantity of fuel released, and any consequence of the release. +(Was there a fire, environmental consequences, etc.?) +Hazardous Materials. Identify the initial and number of any car +releasing hazardous materials. List the name and indicate the +quantity of hazardous material released. Report the number of +fatalities and injuries resulting from a direct exposure to the released +substance. If there was an evacuation, estimate the size of the +affected area and the length of the evacuation. +FRA Guide for Preparing Accident/Incident Reports + +131 +F 6180.54 +Train Information. Identify any special characteristics of the +consist being reported, e.g., unit coal train; comprising +articulated cars. +Unusual Types of Territory. Include any unusual types of territory that could +not be described in Block 30. +Other Railroads. Describe how and to what extent the on-track +equipment of other railroads became involved in the accident. +Bond Wire Attachment(s): If an accident is caused by a bond wire attachment +issue, provide information on the methods and locations of these +attachment(s). +Do not record in the narrative personal identifiers, e.g., names, +Social Security numbers, payroll identifications. +53. Typed/Printed Name and Title of Preparer +Type or print the name and title of the person responsible for +preparing this report form. +54. Signature +Signature of the person shown in Item 53. +Note: If Form FRA F 6180.54 is to be submitted electronically, signature +(Item 54) and date of signature (Item 55) are not required. +55. Date +Date the signature was made in Item 54 (i.e., the date the form was initially +completed). +7.4 Questions and Answers on Rail Equipment Accident Reporting +Q1. Another railroad derailed some cars on our track. The damage to our track +did not exceed the threshold; however, their cars had extensive damage and +the cost to repair/replace these exceeded the threshold. Do we need to +complete a report for our railroad since we did not have significant damage +to the track? +A1. Yes. The criterion for reporting is whether or not the total reportable damages for +all railroads having on-track equipment, track, signals, etc. involved in the +accident exceeded the threshold. You indicated that the equipment damage by +itself exceeded this amount; therefore, you must complete a report, but limit the +damage you record to the amount required to repair/replace your damaged track. +FRA uses the information received from all railroads to obtain a clearer picture of +what caused the accidents and what the consequences were. +FRA Guide for Preparing Accident/Incident Reports + +132 +F 6180.54 +Q2. A passenger train was en route between stations. A component failure and +the resulting electrical arching between the third rail and a collector plate +caused a traction motor to burn out. The train came to a stop as smoke +and fumes entered the passenger compartment. The passengers were +evacuated; however, there were no reports of injury. The repair and +replacement of damaged components will exceed the threshold. Is this a +reportable train accident? +A2. Yes. The regulation requires that any event involving the operation of on-track +equipment and resulting in damage above the reporting threshold is to be +reported. However, a component failure is not reportable when the physical +damage is confined to the component and there are no other consequences of a +reportable nature. Take, for example, the following scenario: a traction motor +problem is detected by the engineer. She is able to cut out that motor and +proceeds to the next terminal where the unit is removed from service and the +traction motor replaced at a cost exceeding the threshold. +Crankcase explosions, turbo charger failures, and incidents involving catenaries +must meet this same general criterion to be reportable. For example, a crankcase +explosion extensively damages the block, crankshaft, and oil pan. A subsequent +fire causes additional damage to other components in the engine compartment. +The train is unable to proceed, and crewmembers suffer from smoke inhalation. +An event such as this, or a turbo charger explosion with similar consequences, +will generally be reportable. +Q3. Sometimes damage to equipment is discovered during an inspection, but it +cannot be determined how the damage occurred, or it may simply be the +result of routine wear and tear. If the cost of repairing or replacing the +component(s) exceeds the threshold, do we need to make a report? +A3. No. The equipment in this example was not in operation when the damage was +detected. In addition, it is unlikely that a factual report could be prepared that +would adequately describe how the damage occurred. Such a report, missing vital +information, would be of little use in accident analysis. +Q4. A shipment of cars was dropped off and secured at an industry siding. +Employees of the industry were attempting to move one of the cars when it +got away from them, struck a derail, rolled over on its side, and sustained +substantial damage. The industry’s railroad operations are confined to its +own installation, which is completely off general system. The car did not +leave the industry’s property or foul the track maintained by my railroad. +Do we need to report this event? +A4. No. The event described was not caused by, nor did it involve, the operation of +your railroad. The industry does not have to report the event to FRA because the +FRA Guide for Preparing Accident/Incident Reports + +133 +F 6180.54 +industry is considered a plant railroad that operates entirely off the general +system. Part 225 does not apply to plant railroads that operate entirely off the +general system. See § 225.3. +Q5. A unit coal train was returning with 115 empties when it was delayed due to +a heavy downpour that stopped all rail operations. The crew was removed +from the train because of the extreme weather conditions. Heavy flooding +from the rain washed out a portion of the main track that the train was +occupying. The next morning, 28 cars were on their sides. The preliminary +estimate of equipment damage alone is over $100,000. Is this a reportable +train accident? +A5. Yes. The regulation requires that any event, including acts of God, involving +the operation of on-track equipment (standing or moving), and causing +damage above the threshold for train accidents. must be reported. +Q6. Our switch crew was switching an industry when the wind blew the industry +gate into the side of a car being shoved. The industry gate was destroyed. +Would this be considered as a track structure? Please elaborate more +specifically concerning which structures would or would not be included in +railroad track damage. +A6. The damages to an industry-owned gate would not be considered as railroad +track damage. Additionally, if an accident resulted in damages to the door of +a roundhouse, diesel shop, or repair shop, none of these would be considered +as track structures, and thus would not be considered as track damage. +Should a train strike and damage a platform used for loading and unloading +passengers, this type of structure is not an integral part of the track structure, +and also would not be considered as track damage. +On the other hand, should a derailment result in damages to a signal bungalow +located adjacent to a track, this would be considered as track damage, as it is an +adjunct to the track. For this same reason, damage to tunnels, bridges, snow +sheds, or other track-related structures would be considered as track damage. +Q7. Do costs for re-railing equipment contribute to the total costs of the railequipment accident? +A7. This cost is part of the “cost of clearing wrecks,” which is generally excluded +from the calculation of “reportable damage.” Chapter 2, page 20 of this Guide +explains reportable damage. +Q8. A rail-equipment derailment occurred on railroad property in July. Only +one car was damaged, with less than $50 of track damage. The railroad +made a good faith estimate that the damage to the car was $4,000. FRA +Form F 6180.97 was completed. The damaged railroad car was taken to a +FRA Guide for Preparing Accident/Incident Reports + +134 +F 6180.54 +repair facility, but no repairs were made until 14 months later. During the +repair, other damage related to the derailment was discovered, and now the +event is reportable. Should the railroad file the late report? What other +considerations should be made? Does the requirement for completing and +mailing FRA Forms F6180.81 and F6180.78 for cases involving a human +factor cause still apply? +A8. The derailment should be reported to the FRA regardless of when the +determination was made using the FRA Form F6180.54, “Rail Equipment +Accident/Incident Report.” In the case of rail equipment accidents/incidents, the +determination of whether the combined railroad equipment and track damage +costs exceed the current threshold limit can be determined relatively promptly, +and in most cases, sufficiently accurate. Typically, this is accomplished by +estimates provided by qualified mechanical and track department supervisors on +the individual railroads. +However, FRA does recognize that in some cases, the actual costs to repair a +damaged piece of railroad equipment may greatly exceed the estimated cost, and +this may elevate a previously non-reportable rail equipment accident over the +threshold and become reportable at a later date. This is most likely to occur when +a privately owned freight car is damaged and is sent back to the owner for repairs. +In these cases, a report must still be prepared by the railroad company regardless +of the time between date of the accident/incident, and the date when knowledge is +received rendering the accident/incident reportable. A letter of explanation as to +why the report is filed late must be submitted. + +There are no provisions in the FRA Guide that would allow a railroad to dispense +with the requirement for completing and mailing FRA Forms F6180.81 to FRA, +and Part I of FRA Form F6180.78 to the appropriate employee(s) for cases +involving a human factor cause that are late reported. The regulation and FRA +Guide are clear with respect to the necessity that these forms be completed for all +cases involving a human factor primary and/or contributing cause code. The fact +that a rail equipment accident/incident is reported late does not in any way relieve +the railroad from compliance with these provisions. Even if you should find, +through mistake or otherwise, a reportable rail equipment accident/incident +occurred 2 or even 3 years ago, and had not been previously reported, a late report +is required by FRA. If that accident/incident involved a human factor primary +and/or contributing cause code, then the completion of FRA Forms F6180.81 and +F6180.78 would also still be required. Although the employee(s) involved may +question the delay involved, the named employee(s) still will have the opportunity +to offer any statement(s) concerning the validity of the railroad’s report. This is +the intent of the regulation; that is, that the employee’s statement is made a part of +the accident reporting process. +Q9. Our railroad had some historical equipment damaged, which cannot be +repaired or replaced in-kind. The equipment is worth substantially more +FRA Guide for Preparing Accident/Incident Reports + +135 +F 6180.54 +than the depreciated value. What should be used for the estimated +equipment costs? +A9. Antique value of passenger rail cars is very difficult to estimate. Railroads should +attempt to discern a fair market price for the equipment that cannot be replaced. +Q10. If a system car is destroyed and the car is under 30 years of age, what +method should be used to report damages: 1) the straight depreciated value +of the car, or 2) the depreciated value, minus the scrap value, plus the +dismantling costs? +A10. Only Item (1) can be used. Chapter 2 shows a straight-line method for +depreciating destroyed equipment. Even with equipment that is 30 years old, +there is a 10 percent value that would include the scrap value. +Q11. Our crew was shoving 29 cars into a yard track, and a member of the crew +was on the ground for the purpose of protecting the shove. The crewmember +failed to note that a switch was improperly lined. The lead car entered the +adjacent track, striking a standing car, derailing it and the lead car of the +shoving movement. What would be the proper method of cause assignment +for this type of accident? +A11. There are detailed instructions found in Chapter 7 for completing Item 38, +“Primary Cause Code,” and Item 39, “Contributing Cause Code,” on FRA Form +F 6180.54, Rail Equipment Accident/Incident Report. These instructions are also +applicable to entries into Item 28, “Primary Cause,” and Item 29, “Contributing +Cause,” on FRA Form F 6180.97, Initial Rail Equipment Accident/Incident +Report. Because the reporting of the proper cause codes is very important to +accident analysis, the basic philosophy is that the best available cause code(s) +must be used to describe the cause(s) of an accident. +In your case, it would appear that there are two cause codes that should be +recorded. First, it would appear that the primary cause should be entered as +H306, “Shoving movement, absence of man on or at leading end of movement,” +or H307, “Shoving movement, man on or at leading end of movement, failure to +control,” whichever is most applicable. Additionally, as a contributing cause, it +would appear that Cause Code H702, “Switch improperly lined,” would be +applicable to this accident. As you describe this accident, it would appear that an +accident would not have occurred had the leading end of the movement been +properly protected by the employee, and this would be the primary cause of the +accident. +FRA Guide for Preparing Accident/Incident Reports + +136 +F 6180.54 +7.5 Common Reporting Errors +Duplication of Information. A railroad whose involvement in an accident is limited to track +maintenance responsibility should mark all items relating to the equipment consist “N/A.” These +items are numbers 8, 9, 10, 11, 24, 25, 26, 27, 28, 29, 31, 33, 34, 35, 36, 40, 41, 42, 43, 44, 45, +and 47. This information will be reported by the railroad responsible for the individual +consist(s). A railroad that did not have track involved in the accident must not list the damage to +the track. +Do not send in reports concerning a consist for which another railroad has reporting +responsibility. +Missing or Incomplete Reports. Do not leave blank items on the form. If the value is unknown, +an estimate should be used. If the item does not apply, “N/A” should be entered. If the correct +response is “none,” a “0” should be inserted in the item. +An accident report must be made by all railroads involved, regardless of the extent of damage +sustained by individual railroads. +When filing multiple reports for a single accident/incident, be sure to verify that the +information contained on the various reports does not contradict itself. Of particular +importance are such items as: +Item Contents +5 Date of Accident/Incident +6 Time of Accident/Incident +7 Type of Accident/Incident +15 State Abbr. [where the accident occurred] +16 County [where the accident occurred] +38 Primary Cause Code +If a Form FRA F 6180.55a or Form FRA F 6180.57 is also required for the accident, be sure to +compare similar items between these additional forms. +If there were reportable casualties resulting from the accident, a line entry must be made on +Form FRA F 6180.55a for each casualty. In highway-rail grade crossing accidents, the railroad +responsible for the equipment consist that struck or was struck by the highway user must file a +Form FRA F 6180.57. +Avoid contradictions on a single form by comparing related items. For example, it would be +incorrect for a report to show more locomotives or cars derailed in a consist than were actually +contained in that consist, as shown in Items 34 and 35. Similarly, if the report showed no +conductors in Item 42, it would be inconsistent to show the conductor’s time on duty in Item 45. + +FRA Guide for Preparing Accident/Incident Reports + +137 +F 6180.81 +8. Form FRA F 6180.81 - Employee Human Factor Attachment +8.1 Requirement +If, in reporting a rail equipment accident/incident on Form FRA F 6180.54, a railroad cites an +employee human factor as the primary cause or a contributing cause of the accident; then the +railroad that cited such employee human factor must complete the Form FRA F 6180.81, which +is titled “Employee Human Factor Attachment.” The Employee Human Factor Attachment is to +be attached to the Rail Equipment Accident/Incident Report to which it pertains. For purposes of +completing this form, “employee” is defined as a Worker on Duty–Railroad Employee (Class +A), Railroad Employee not on Duty (Class B), Worker on Duty–Contractor (Class F), and +Worker on Duty–Volunteer (Class H). See §§ 225.5, 225.12. +This form is only used in connection with a reportable rail equipment accident/incident where the +Form FRA F 6180.54 submitted to FRA identifies an employee human factor as either the +primary or contributing cause of the accident. +8.2 General Instructions and Interpretations +Each employee identified on Form FRA F 6180.81 must be notified according to the +instructions found in the section for preparing Form FRA F 6180.78 and on the back of that +form. +If a reporting railroad makes allegations concerning the employee of another railroad, the +employing railroad must promptly provide the name, job title, address, and medical status of +any employee reasonably identified by the alleging railroad, if requested. +If a railroad is initially unable to identify a particular railroad employee responsible for causing +the accident, but subsequently makes such identification, the railroad shall prepare a revised +Form FRA F 6180.81 and forward it to FRA. In addition, a notification (Form FRA F 6180.78) +must be sent to the identified employee within 15 days of the date the revised Employee Human +Factor Attachment was prepared. +A railroad has reasonable discretion to defer notification of implicated employees on +medical grounds. +If an implicated employee has died as a result of the accident, a notice addressed to that +employee must not be sent to any person. If an implicated employee has died of any cause by +the time that the notice is ready to be sent, no notice addressed to that employee is required. +If the reporting railroad has scheduled or is conducting a formal investigation of a rail equipment +accident/incident to determine whether it was caused by an employee human factor. and if the +investigation has not concluded prior to the filing of the regular monthly report, the railroad +must, nonetheless, attach a Form FRA F 6180.81 to the Form FRA F 6180.54 to which it +pertains. The following instructions apply in these situations: +FRA Guide for Preparing Accident/Incident Reports + +138 +F 6180.81 +1. In the “ Description” area of Form FRA F 6180.81, you are to explain that +employee(s) have not been named because the railroad is awaiting results of the +formal investigation. Indicate whether the formal investigation is currently in +progress or the date that it is scheduled to begin. +2. After transmittal of such Form FRA F 6180.81, and when the formal investigation has +been concluded for that rail equipment accident, the reporting railroad must promptly +provide a “corrected copy” of FRA Form F 6180.81 for each implicated employee. +Implicated employees are to be notified in accordance with instructions found in +Section 8.2 of this Chapter. +The above provisions apply only when a formal investigation is scheduled or in progress and +where the naming of an employee(s) on FRA forms prior to a railroad’s formal inquiry may give +the appearance of “pre-judging” the guilt or innocence of the affected employee(s). If a railroad +does not schedule a formal inquiry for a rail equipment accident/incident caused by an employee +human factor, the standard provisions described in this chapter apply. +8.3 Submission +Form FRA F 6180.81 is to be attached to Form FRA F 6180.54 (when applicable). Form FRA +F 6180.81 may be submitted via optical media (CD-ROM) or electronically, via the Internet, but +must also be submitted in .pdf or .jpg file format. +FRA Guide for Preparing Accident/Incident Reports + +139 +F 6180.78 +9. Form FRA F 6180.78 - Notice to Railroad Employee Involved in Rail +Equipment Accident/Incident Attributed to Employee Human Factor: +Employee Statement Supplementing Railroad Accident Report +9.1 Requirement +For each employee whose act, omission, or physical condition was alleged by the railroad as the +employee human factor that was the primary cause or a contributing cause of a reportable rail +equipment accident/incident (as reported on Form FRA F 6180.54) and whose name was listed in +the Employee Human Factor Attachment (Form FRA F 6180.81) for the accident, and for each +such railroad employee of whose identity the railroad has actual knowledge, the alleging railroad +shall: +1. Complete Part I, “Notice to Railroad Employee,” of Form FRA F 6180.78 with +information regarding the accident, in accordance with the following instructions and +those on the form; and +2. Hand-deliver or send by first-class mail (postage prepaid) the following to that employee +within 45 days after the end of the month in which the rail equipment accident/incident +occurred: +a. A copy of Form FRA F 6180.78, “Notice to Railroad Employee Involved in Rail +Equipment Accident/Incident Attributed to Employee Human Factor: Employee +Statement Supplementing Railroad Accident Report,” with Part I completed as to the +applicable employee and accident. +b. A copy of the railroad’s Rail Equipment Accident/Incident Report and Employee +Human Factor Attachment on the rail equipment accident/incident involved. +c. If the accident was also reportable as a highway-rail grade crossing accident/incident, +a copy of the railroad’s Highway-Rail Grade Crossing Accident/Incident Report on +that accident. See § 225.12. +An “employee human factor” includes any of the accident causes signified by the train accident +cause codes listed under “Train Operation–Human Factors” in the current FRA Guide, except for +those train accident cause codes pertaining to non-railroad workers. For purposes of Form FRA +F 6180.78 and for purposes of the definition of “employee human factor,” “employee” includes +the following classifications: +1. Worker on Duty–Railroad Employee +2. Railroad Employee Not on Duty +3. Worker on Duty–Contractor +4. Worker on Duty–Volunteer +See § 225.5 for definition of employee human factor and § 225.12 for definition of employee and +for substantive requirements. +FRA Guide for Preparing Accident/Incident Reports + +140 +F 6180.78 +This form is only used in connection with a reportable rail equipment accident/incident where the +Form FRA F 6180.54 submitted to FRA identifies an employee human factor as either the +primary or contributing cause of the accident. +9.1.1 Employee Action upon Receipt of Notification +Employee statements supplementing railroad accident reports are voluntary, not mandatory. +The nonsubmission of a supplement does not imply that the employee admits or endorses the +railroad’s conclusions as to cause or any other allegations. See § 225.12(g)(1). +Although a supplement is completely optional and not required, if an employee wishes to submit +a supplement and ensure that, after receipt, it will be properly placed by FRA in a file with the +railroad’s Rail Equipment Accident/Incident Report and that it will be required to be reviewed by +the railroad that issued the notice, the supplement must be made on Part II of Form FRA +F 6180.78 (titled “Notice to Railroad Employee Involved in Rail Equipment Accident/Incident +Attributed to Employee Human Factor; Employee Statement Supplementing Railroad Accident +Report”), following the instructions printed on the form. These instructions require that, within +35 days of the date that the notice was hand-delivered or sent by first-class mail to the employee +(except for good cause shown), the original of the supplement be filed with FRA and a copy be +hand-delivered or sent by first-class mail to the railroad that issued the notice. The railroad will +have to reassess its conclusions as to the cause of the accident and other circumstances, and file +corrected reports with FRA concerning the accident, when appropriate. See § 225.12(g)(2). +Information that the employee wishes to withhold from the railroad must not be included in this +supplement. If an employee wishes to provide confidential information to FRA, the employee +should not use the supplement form (Part II of Form FRA F 6180.78), but rather provide such +confidential information by other means, such as a letter to the employee’s collective +bargaining representative, or to the Federal Railroad Administration, Office of Safety +Assurance and Compliance, RRS-11, 1200 New Jersey Avenue, SE., Washington, DC 20590. +The letter should include the name of the railroad making the allegations, the date and place of +the accident, and the rail equipment accident/incident number. See § 225.12(g)(3). +If an employee chooses to submit a supplement to FRA, all of the employee’s assertions in the +supplement must be true and correct to the best of the employee’s knowledge and belief. +See § 225.12(h). +FRA Guide for Preparing Accident/Incident Reports + +141 +F 6180.57 +10. Forms FRA F 6180.57 - Highway-Rail Grade Crossing +Accident/Incident Report & FRA F 6180.150 – Highway User Injury +Inquiry Form +10.1 Requirement +Any impact, regardless of severity, between railroad on-track equipment and a highway user at a +highway-rail grade crossing site, is to be reported on Form FRA F 6180.57. The term “highwayrail grade crossing” means: (1) a location where a public highway, road, or street, or a private +roadway, including associated sidewalks, crosses one or more railroad tracks at grade; or (2) a +location where a pathway explicitly authorized by a public authority or a railroad carrier that is +dedicated for the use of non-vehicular traffic, including pedestrians, bicyclists, and others, that is +not associated with a public highway, road, or street, or a private roadway, crosses one or more +railroad tracks at grade. The term “sidewalk” means that portion of a street between the curb +line, or the lateral line of a roadway, and the adjacent property line or, on easements of private +property, that portion of a street that is paved or improved and intended for use by pedestrians. +See § 225.5. The term “highway user” includes automobiles, buses, trucks, motorcycles, +bicycles, farm vehicles, pedestrians, or any other mode of surface transportation motorized and +un-motorized. In addition, the term highway user encompasses users of pathways explicitly +authorized by a public authority or a railroad carrier that is dedicated for the use of non-vehicular +traffic, and that is not associated with a public highway, road, or street, or a private roadway. All +crossing locations within industry and rail yards, ports and dock areas are considered highwayrail crossings within the meaning of the term. +10.2 Additional Requirements +Rail Equipment Accident/Incident Report, Form FRA F 6180.54. If a highway-rail grade +crossing accident/incident results in reportable damage greater than the current reporting +threshold used for Rail Equipment Accident/Incident reporting, the railroad must also submit to +FRA a Form FRA F 6180.54, “Rail Equipment Accident/Incident Report.” The reporting +threshold for calendar years 2002–2005 is $6,700. The reporting threshold for calendar year +2006 is $7,700. The reporting threshold for calendar year 2007 is $8,200. The reporting +threshold for calendar year 2008 is $8,900; and, for accidents that occur in calendar year 2010, +the reporting threshold is $9,200. In these situations, the type of accident is to be coded as +“Hwy-rail crossing” in Block 7 of Form FRA F 6180.54. See § 225.19(c). Refer to +http://safetydata.fra.dot.gov/OfficeofSafety and click on “Click Here for Changes in +Accident/Incident Recordkeeping and Reporting” for updated information. +Railroad Injury and Illness (Continuation Sheet), Form FRA F 6180.55a. If a highway-rail +grade crossing accident/incident results in a reportable casualty, the railroad must also file a +Form FRA F 6180.55a. See § 225.19 (d). 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 is presumed to have sustained an FRA reportable injury. Absent evidence to rebut +this presumption, the railroad must report the injury to FRA on Form FRA F 6180.55a, “Railroad +FRA Guide for Preparing Accident/Incident Reports + +142 +F 6180.57 +Injury and Illness Summary (Continuation Sheet),” and show the injury on Block 46 on Form +FRA F 6180.57. If the railroad later discovers that the highway user did not sustain a reportable +injury, the railroad must notify FRA in accordance with the late reporting instructions. See +§ 225.13. +Suicide. If the impact between the railroad on-track equipment and a highway user occurred +because the highway user committed or attempted to commit suicide (as determined by a +coroner, public police officer, or other public authority) the highway-rail grade crossing +accident/incident must be reported on Form FRA F 6180.57 and the death of or injury to, if +reportable, that highway user must be reported to FRA on FRA Form F 6180.55a. See +instructions for completing Blocks 41, 46, 49, and 52 under Section 10.4 below. +Determination of Nature and Severity of a Highway-Rail Crossing Injuries: In order to fulfill its +responsibilities in determining the nature and severity of a highway-rail grade crossing injury +and to accurately report such injury, a railroad must try to contact any potentially injured +highway user involved in a highway-rail grade crossing accident/incident, or their representative, +in writing and, if unsuccessful in obtaining the needed information, by telephone. If a highway +user died as a result of the highway-rail grade crossing accident/incident, a railroad must not +send this form to any person. In addition, the letter must be accompanied by a cover letter and +prepaid/preaddressed envelope. See 10.7 below for complete instructions and Appendix N for a +sample cover letter. +10.3 General Instructions and Interpretations +Any impact (including an impact due to the commission or attempted commission of a suicide, +as determined by a coroner, public police officer, or other public authority), regardless of +severity, between railroad on-track equipment and any highway user of a highway-rail grade +crossing, is to be reported on Form FRA F 6180.57. Highway users include, but are not limited +to, automobiles, buses, trucks, motorcycles, bicycles, recreational vehicles, farm vehicles, +construction vehicles, roadway maintenance vehicles, pedestrians, and any other mode of surface +transportation motorized or un-motorized. +Location of Actual Impact. Incidents involving highway users who have unsuccessfully +attempted to avoid striking or being struck by railroad on-track equipment at a crossing site are +to be reported, regardless of where the actual impact between the consist and the highway user +occurred. +U.S. DOT Grade Crossing Identification Numbers. A Form FRA F 6180.57 must be completed +for collisions/impacts between on-track equipment and users of highway-rail grade crossing +sites, including crossing locations within industries or rail yards, ports and dock areas. The grade +crossing must be identified on Form FRA F 6180.57 by its identification number, which is its +U.S. DOT Grade Crossing Inventory Number. The U.S. DOT Grade Crossing Identification +Number means and is referring to the U.S. DOT Grade Crossing Inventory Number. +The U.S. DOT Grade Crossing Identification Number recorded in block 4 of Form FRA +F 6180.57 is a key element of this report and must be provided. If you are unable to obtain this +FRA Guide for Preparing Accident/Incident Reports + +143 +F 6180.57 +number from your railroad track or signal departments, or through the State Inventory Contact, +then assistance may be obtained by contacting an FRA highway grade crossing manager at any +of the regional offices found in Appendix G, or by calling (202) 493-6299 (refer to +http://safetydata.fra.dot.gov/OfficeofSafety and click on “Click Here for Changes in +Accident/Incident Recordkeeping and Reporting” for updated information). The same +procedures are to be followed when an accident occurs at a crossing that is not a part of the U.S. +DOT Crossing Inventory. +In the event of a highway-rail grade crossing accident at a new crossing without a U.S. DOT +Grade Crossing Identification Number, a new number must be obtained from FRA by calling +(202) 493-6299 (refer to http://safetydata.fra.dot.gov/OfficeofSafety and click on “Click Here for +Changes in Accident/Incident Recordkeeping and Reporting” for updated information). +Involvement of Other Highway Users in the Accident/Incident. It is not necessary to complete +additional FRA Form F 6180.57 reports for other highway users that become subsequently +involved in an accident when they are on the same crossing approach. Report the first highway +user involved in the accident. Briefly describe the accident and note any additional casualties or +other vehicle damage in the narrative. A new Form FRA F 6180.57 report is required only if +another highway user approaches the crossing from the opposite side and strikes or is struck by +on-track equipment. +Responsibilities of the Railroad Whose Involvement is Limited to Track Maintenance. +FRA Form F 6180.57. A railroad whose involvement in a highway-rail grade crossing +accident/incident is limited to track maintenance responsibilities is not to complete Form FRA +F 6180.57. When the reporting railroad is different than the railroad maintaining the track, the +railroad responsible for the track must be identified in Item 3a. Report number “XXX” is to be +entered in Item 3b in these instances. +FRA Form F 6180.54. If the accident/incident satisfies the reporting requirements for rail +equipment accidents (e.g., reportable railroad damage exceeds threshold), Form FRA F 6180.54 +must also be completed by all railroads involved, including the railroad with track maintenance +responsibility. See § 225.23(c). +Unique Identifier. Each accident/incident must have an identifying number that is unique for the +report month. All forms used by a carrier to report a single event must use the same +accident/incident number. Do not append additional characters on different forms for the same +accident/incident. For example, if a railroad has two casualties resulting from an accident, do not +report one casualty using the reporting number 12345, and the number 12345-A for the second. +The reporting number must be exactly the same for both reports. +If actual data is not available when the report is due, estimated values are to be used. If it is later +determined that an estimated value was significantly in error, a corrected report must be +forwarded. See § 225.13. +FRA Guide for Preparing Accident/Incident Reports + +144 +F 6180.57 +All items must be filled in; do not leave items blank. Enter “N/A” for those items that do not +apply to an accident. If “none” is the proper response for an item, for example, the number of +cars in a consist, enter “0,” do not enter “N/A.” +Closed Crossing. If a highway-rail grade crossing is closed (see Chapter 2, Definitions, for the +definition of a closed crossing), then the impact would not be classified as a highway-rail grade +crossing accident, and the Form FRA F 6180.57 must not be submitted or completed. However, +if the monetary threshold was exceeded, the Rail-Equipment Accident/Incident Report Form +FRA F 6180.54 would be required. The “Type of Accident” is classified as an “Obstruction” if a +vehicle travels on a road where the pavement has been removed (the road is closed) and attempts +to cross the tracks and is struck by on-track equipment. +Barricaded Crossing or Temporarily Closed Crossing. Any impact at a barricaded or +temporarily closed crossing is still reportable per Form FRA F 6180.57 requirements. +10.4 Instructions for Completing Form FRA F 6180.57 +Item Instruction + 1. Name of Reporting Railroad +Enter the full name of the reporting railroad. +1a. Alphabetic Code +Enter the reporting railroad’s code, found in Appendix A. (Railroads whose +involvement in the accident/incident is limited to track maintenance responsibility +are not to complete a Form FRA F 6180.57.) +1b. Railroad Accident/Incident [Number] +Enter a unique identifying number for the accident/incident being reported. All +reports connected with this accident/incident must use the same reporting number. +The report number may contain up to 10 numeric and/or alphabetic characters. +2. Name of Other Railroad or Other Entity Filing for Equipment Involved in Train +Accident/Incident +If an equipment consist operated by another railroad or other entity was involved +in the accident, enter the full name of that railroad. If more than one other +railroad had a consist involved, list only one name. +2a. Alphabetic Code +Enter the code of the railroad identified in Item 2. +2b. Railroad Accident/Incident No. +Enter the reporting number used by the railroad shown in Item 2 to identify this +accident/incident. + 3. Name of Railroad or Other Entity Responsible for Track Maintenance +FRA Guide for Preparing Accident/Incident Reports + +145 +F 6180.57 +Enter the name of the railroad or other entity responsible for maintaining the track +on which the accident/incident occurred. +3a. Alphabetic Code +Enter the code of the railroad identified in Item 3. +3b. Railroad Accident/Incident No. +Enter the reporting number used by the railroad shown in Item 3 to identify this +accident/incident. If the railroad shown in Item 3 differs from the reporting +railroad, and if the accident does not require that a Form FRA F 6180.54 be filed, +then enter “XXX” as the accident/incident number. However, if the accident also +requires that Form FRA F 6180.54 be completed, enter the number used on the +rail equipment form by the railroad responsible for track maintenance. +4. U.S. DOT Grade Crossing Identification Number +Enter the U.S. DOT National Highway-Rail Crossing Identification Number +assigned to the crossing involved. The U.S. DOT Grade Crossing Identification +Number means and is referring to the U.S. DOT Grade Crossing Inventory +Number. This field must contain this number before submitting the incident +report. This number must be provided by the reporting railroad, regardless of +who actually owns or maintains the track or the crossing site. This is also +required for a crossing location within industries and rail yards, ports and dock +areas, such as in a plant area owned by a private corporation or a railroad. +Contact the operating railroad to obtain the number. (It is strongly recommended +that the Accident/Incident Report be compared with the U.S. DOT Inventory +Report on FRA’s Web site to ensure that the correct crossing number has been +identified and that the other data elements match.) Entering the term “NOT +ASSIGNED” is not acceptable and the Form will be returned for completion with +the correct information. +In the event that the subject crossing was never assigned a number, a new valid +crossing number must be obtained from FRA. If an identification number has not +been assigned to the crossing, a completed Inventory Report Form must be filed +with the incident report. The new U.S. DOT Crossing Inventory Form can be +obtained from FRA’s Office of Safety Web site (http://safetydata.fra.dot.gov/ +OfficeofSafety) or by calling (202) 493-6299. (For updated information refer to +http://safetydata.fra.dot.gov/OfficeofSafety and click on the “Crossing” tab to +query inventory. Existing crossing numbers can be obtained by contacting the +FRA Washington Headquarters or searching FRA’s Web site. +There is only one exception for which an incident report will be accepted without +an assigned number in this field. This is where the crossing was created to serve +specific temporary activities for less than 6 months (such as for construction). In +this case, enter “TEMP.” + 5. Date of Accident/Incident +FRA Guide for Preparing Accident/Incident Reports + +146 +F 6180.57 +Enter the date the accident/incident occurred. + 6. Time of Accident/Incident +Enter the time the accident/incident occurred, in the local time of the location +where the accident/incident occurred, and check the appropriate “a.m.” or “p.m.” +box. Do not use military time. + 7. Nearest Railroad Station +Enter the name of the nearest timetable station. In event of accidents involving +Amtrak, the host railroad’s nearest station will apply. + 8. Subdivision +Enter the full name of the subdivision on which the accident occurred, i.e. the +track owner’s subdivision name. If the railroad is not so divided, enter the word +“System.” In the event of a joint accident involving Amtrak, the host railroad’s +subdivision will apply. +Note: If the accident occurred in a major terminal and subdivision is not +applicable, enter “terminal/yard name” + 9. County +Enter the full name of the county or parish in which the accident/incident +occurred. +10. State Abbr. Code +Enter the appropriate State code, found in Appendix B, for the State in which the +accident occurred. +11. City +If the accident occurred within the jurisdiction of a city, town or hamlet, enter the +full name of this location; otherwise, enter “N/A.” +12. Highway Name or Number +Enter the name or number of the highway or street involved. If the impact +occurred at a public crossing, place an “X” or checkmark in the block titled +“Public.” If at a private crossing, place an “X” or checkmark in the block titled +“Private.” +13. Type [of Highway User Involved] +Select the code that best identifies the type of highway user involved in the +accident/incident. +Note: If a pedestrian is identified in this item, then Items 14, 42, 44, 45, +and 47 are to be coded “N/A.” +14. Vehicle Speed [of Highway User Involved] +FRA Guide for Preparing Accident/Incident Reports + +147 +F 6180.57 +List the estimated speed (mph) that the highway user was traveling at the time of +impact. If the highway user was not a vehicle, enter “N/A”. If the vehicle was +stopped on the crossing at the time of impact, enter “0.” The inclusion of a +vehicle speed of 0 mph when the form elsewhere indicates that the vehicle was +moving over the crossing or around the gate is prohibited. +15. Direction [of Highway User Involved] +Select the code that best describes the geographical direction in which the +highway user was moving, and enter it in the box provided. If the highway user +was stopped, identify the intended direction of travel. +Note: It is possible in some circumstances for the geographical direction +of the highway user to be the same as the timetable direction of the +railroad consist given in Item 31. +16. Position [of the Highway User Involved] +Select the code that best describes the position of the highway user at the time of +impact, and enter in the code box. The codes are as follows: (1) Stalled or stuck +on crossing; (2) Stopped on Crossing; (3) Moving over crossing; (4) Trapped on +crossing by traffic; and (5) Blocked on crossing by gates. The fifth option, (5) +“Blocked on crossing by gates,” applies to those situations in which a highwayuser is prevented from leaving the crossing because the highway user is blockedin by crossing gates. +Note: If the highway vehicle was stopped or stalled on the crossing at the +time of impact, the speed given in Item 14 must be “0.” +17. Equipment [Rail Equipment Involved] +Select the code that best identifies the railroad equipment consist involved in the +accident/incident and enter it in the box provided. (See definitions of types of rail +equipment given in Chapter 2.) Note that on-track work equipment such as +ballast tampers are classified as cars and, therefore, should be identified by using +code “4” or “5.” +When completing this item, pay particular attention to its relationship to other +items on the form to avoid contradictions. Some examples of contradictory +responses are as follows: +a. If the description of a railroad equipment includes a reference to “pulling,” +“pushing,” or “moving,” then train speed (“Consist Speed”) in Item 30 +cannot be “0.” +b. If the description states that the consist was “standing,” then speed in item +30 must be “0,” and Item 19 cannot indicate that the consist struck the +highway user. +FRA Guide for Preparing Accident/Incident Reports + +148 +F 6180.57 +c. If a train is identified, there must be a count of the number of locomotives +given in Item 28. If the equipment consist was a single car or cut of cars, +then Item 28 must be “0,” and the count of cars must be entered in Item +29. +The values of the codes are: +1. Train (units pulling) +2. Train (units pushing) +3. Train (standing) +4. Car(s) (moving) +5. Car(s) (standing) +6. Light loco(s) (moving) +7. Light loco(s) (standing) +8. Other (specify) +A. Train pulling – RCL +B. Train pushing – RCL +C. Train standing – RCL +D. EMU Locomotive(s) +E. DMU Locomotive(s) +18. Position of Car Unit in Train [Rail Equipment Involved] +Identify the position within the consist of the first locomotive unit or car that +struck or was struck by the highway user. The position is determined by counting +from (and including) the leading locomotive unit or car to the position of the first +car or locomotive involved in the accident. The leading unit is the first car or +locomotive to enter the crossing, regardless of the location of the locomotive(s). +For example, in a pushing movement involving a cut of cars and a single +locomotive, the count would begin from the car that first entered the crossing. +Special Instruction: When the consist contains articulated car(s), the count for +these is to be the number of platforms/units in such a car. +This is necessary in order to maintain comparability of train +lengths. The narrative is to contain a reference that +articulated cars were included in the consist. +Note: If a single railroad car or locomotive was involved, or if the railroad +consist struck the highway user (as shown in Item 19), then the entry in +this item must be “1.” +FRA Guide for Preparing Accident/Incident Reports + +149 +F 6180.57 +19. Circumstance [Rail Equipment Involved] +Specify whether the railroad consist struck the highway user or was struck by the +highway user. If the railroad equipment struck the highway user, be sure that item +17 does not refer to “standing” equipment, and that the speed of the on-track +equipment is given in Item 30. If the highway user struck the railroad consist, be +sure that the estimated speed of the highway vehicle given in Item 14 is greater +than “0” and that the position of the highway user was coded “3” in Item 16. +20a. Was the highway user and/or rail equipment involved in the impact transporting +hazardous materials? +Enter the code that identifies whether or not the rail equipment and/or the +highway user was transporting hazardous material as cargo at the time of the +impact. For the rail equipment, this includes any car containing hazardous +material cargo within the consist, regardless of location, but not generally the +locomotive because diesel fuel used by the locomotive and fusees carried by the +locomotive are not considered to be cargo. Highway users are to be identified +only when the hazardous material is being transported as cargo; the gasoline or +diesel fuel used by the vehicle’s engine is not considered to be cargo. +20b. Was there a hazardous materials (HAZMAT) release by +Enter the code into the box that shows if there was a hazmat release by the +highway user and/or rail equipment. If there was no hazmat release by either of +these, enter the code for “neither.” A release of gasoline or diesel fuel used by the +vehicle’s engine is not considered a hazmat release for the purposes of this item. +(Describe such occurrences in the narrative.) +20c. State here the name and quantity of the hazardous material released, if any +Enter the name of the hazardous material released, followed by the quantity +released. State the measure, for example, 50 gal[lons], 20 tons. Describe the +hazardous material released in the narrative by name or the Standard +Transportation Commodity Code (STCC). (Note: Any release of hazardous +material must also be reported on DOT form F 5800.1. See 49 CFR § 171.15 and +§ 171.16 for requirements.) +21. Temperature +Enter the temperature (Fahrenheit) at the accident site at the time of the accident. +If the temperature was below zero, preface the temperature number with a minus +(-) sign. +22. Visibility +Select the most appropriate entry, and place it in the code box. Make sure that the +entry does not contradict the time given in Item 6; for example, if the time of the +accident was 1:30 p.m., it would be inappropriate to code the visibility as +“Dawn.” +FRA Guide for Preparing Accident/Incident Reports + +150 +F 6180.57 +23. Weather +Select the most appropriate weather condition at the time and location of the +accident, and enter the code in the box provided. +24. Type of Equipment Consist +Select the code that best identifies the consist for which this report is being +prepared, and enter it in the box provided. Make sure that this entry is consistent +with the values given in Items 17, 28, and 29. +When this report is completed with an FRA Form F 6180.54, the “Type of +Equipment Consist” (Item 24, FRA Form F 6180.57 and Item 25, FRA Form F +6180.54) must be the same in both reports. +1. Freight Train +2. Passenger train – Pulling +3. Commuter train – Pulling +4. Work train +5. Single car +6. Cut of cars +7. Yard/switching +8. Light loco(s) +9. Maint./Inspect. car +A. Spec. MOW Equip. +B. Passenger train – pushing +C. Commuter train – pushing +D. EMU +E. DMU +25. Track Type Used by Rail Equipment Involved +Select the code that identifies the type of track on which the accident occurred, +and enter it in the box provided. Branch lines should be reported as main line, +code “1.” +26. Track Number or Name +Enter the number or name used to identify the track on which the accident +occurred. If it is main track of a single-track line, enter “single main track.” +27. FRA Track Class +Enter the class of track on which the reported consist was located at the time of +the accident. Classes of track are defined in the Federal Track Safety Standards +FRA Guide for Preparing Accident/Incident Reports + +151 +F 6180.57 +(49 CFR Part 213). See 49 CFR § 213.4 and § 213.9. Excepted track should be +entered as Class X. + Maximum Speed + + Track Freight Passenger + Class Trains Trains + X 10 Prohibited + 1 10 15 + 2 25 30 + 3 40 60 + 4 60 80 + 5 80 90 + 6 110 110 + 7 125 125 + 8 160 160 + 9 200 200 +28. Number of Locomotive Units +Enter the total number of locomotive units in the consist involved in the accident; +if none, enter “0.” +29. Number of Cars +Enter the total number of cars in the equipment consist involved in the accident; +if none, enter “0.” Be sure to include any caboose(s) in the consist in this count. + See special instruction for Item 18 on counting articulated cars. +30. Consist Speed +List the speed (mph) at which the consist was traveling when the impact occurred. +Enter “E” in the code box to indicate if this is estimated; or enter “R” for a +recorded speed. If the consist was not moving, enter “0.” +31. Timetable Direction +If the consist was either moving or temporarily stopped, enter the code that +describes the timetable or schedule direction in the box provided. If this +equipment consist was a car or a cut of cars standing on the track, enter “N/A.” +32. Type of Crossing Warning +Identify the warning devices by entering the appropriate code(s) in the box(es). +For codes “2” and “3,” “FLS” means “flashing light signal.” Enter a code of “5” +(“Highway Traffic Signals”) whenever such a signal is present at the crossing site +and is used for controlling highway traffic over the crossing. +FRA Guide for Preparing Accident/Incident Reports + +152 +F 6180.57 +33. Signaled Crossing Warning +Only if Codes 1-6 in Item 32 (Type of Crossing Warning) are selected, enter in +this item the status of the warning devices at the crossing at the time of impact, +using the following: +1. Provided minimum 20-second warning. +2. Alleged warning time greater than 60 seconds. +3. Alleged warning time less than 20 seconds. +4. Alleged no warning. +5. Confirmed* warning time greater than 60 seconds. +6. Confirmed* warning time less than 20 seconds. +7. Confirmed* no warning. +* Confirmed means that there is a physical record (e.g., event records, video tape +or other tangible documentation). Confirmed warning time of more than 60 +seconds is classified as a false activation. +If status code 5, 6, or 7 was entered, you must append a code from the following: +A. Insulated rail vehicle. +B. Storm/lightning damage. +C. Vandalism. +D. No power/batteries dead. +E. Devices down for repair. +F. Devices out of service. +G. Warning time greater than 60 seconds attributed to accidentinvolved train stopping short of the crossing, but within track +circuit limits, while warning devices remain continuously active +with no other in-motion train present. +H. Warning time greater than 60 seconds attributed to track circuit +failure (e.g., insulated rail joint or rail bonding failure, track or +ballast fouled). +J. Warning time greater than 60 seconds attributed to other +train/equipment within track circuit limits. +K. Warning time less than 20 seconds attributed to signals timing out +before train’s arrival at the crossing/island circuit. +L. Warning time less than 20 seconds attributed to train operating +counter to track circuit design direction. +FRA Guide for Preparing Accident/Incident Reports + +153 +F 6180.57 +M. Warning time less than 20 seconds attributed to train speed in +excess of track circuit’s design speed. +N. Warning time less than 20 seconds attributed to signal system’s +failure to detect train approach. +P. Warning time less than 20 seconds attributed to violation of special +train operating instructions. +R. No warning attributed to signal system’s failure to detect the train. +S. Other cause(s). Explain in Narrative Description. +Note: If the crossing site was not protected by train-activated warning +devices, enter “N/A.” +34. Roadway Conditions +Enter the code that best describes the condition of the roadway at the crossing at +the time of the incident. This differs from weather conditions. For example, +while the weather may be clear at the time of the incident, the roadway may have +snow or ice that could impact the highway user. +Roadway Conditions - Codes +A. Dry +B. Wet +C. Snow/slush +D. Ice +E. Sand, Mud, Dirt, Oil, Gravel +F. Water (Standing, Moving) +35. Location of Warning +Select the code that identifies the location of the crossing warnings shown in Item +32, and enter it in the code box. If there was no protection at the crossing, enter +“N/A,” and enter a code of “12” in Item 32 for “None” (i.e., no warning). +36. Crossing Warning Interconnected with Highway Signals +If highway traffic signals within 500 feet of the crossing site are interconnected +with the train detection circuitry, such that they restrict highway users from the +crossing whenever a rail consist occupies or is about to occupy the crossing, enter +“1.” If the highway traffic signals on the approach to the crossing are within 500 +feet of the crossing but are not interconnected with the train detection circuitry, +enter “2.” Enter “3” (unknown) in the code box only after consultation with the +signal department responsible for track maintenance and a determination could +not be made whether the highway traffic signals are interconnected. If highway +signals are not present within 500 feet of the crossing, enter “N/A”. +FRA Guide for Preparing Accident/Incident Reports + +154 +F 6180.57 +Note: Item 32 identifies warning devices actually present at, or in +the near vicinity of, the crossing. Therefore, it is possible +to show highway traffic signals interconnected with train +detection circuitry in this item, but not to enter a code of +“5” in Item 32. +37. Crossing Illuminated by Street Lights or Special Lights +If street lights or other special lights used to illuminate the crossing site were on at +the time of the accident/incident, enter “1.” If there were no such lights or if they +were not illuminated at the time of the accident, enter “2.” While code “3” +(unknown) is authorized, it can only be used after the railroad has made a diligent +effort to discern this fact, and a determination could not be made. +38. Highway User’s Age +Enter the age of the highway user. This block is mandatory, unless the age is +unknown as a result of the accident/incident being a hit and run. +39. Highway User’s Gender +Enter “1” if the highway user was a male, or “2” if the highway user was a +female. This block is mandatory, unless the gender is unknown as a result of the +accident/incident being a hit and run. +40. Highway User Went Behind or in Front of Train and Struck or was Struck by +Second Train +Enter the appropriate entry in the code box. +41. Highway User Action +Enter the appropriate entry in the code box. If code “3” (“Did not stop”) is used, +the vehicle must be shown as moving over the crossing in Item 16, and traveling +at a speed greater than “0” in Item 14. In the event of a suicide, or attempted +suicide, use code 8 regardless of whether other choices may be applicable. +1. Went around the gate +2. Stopped and then proceeded +3. Did not stop +4. Stopped on crossing +5. Other (specify) +6. Went around/thru temporary barricade +7. Went through the gate +8. Suicide or attempted suicide +Note: If 6, Went around/thru temporary barricade, is selected due to the +temporary closure of the crossing, explain in the narrative the circumstance of the +FRA Guide for Preparing Accident/Incident Reports + +155 +F 6180.57 +closure, e.g. the roadway was closed for repair of crossing surface, +maintenance/testing of automated warning devices, or for other purposes. +Additionally, explain how the closure was accomplished e.g.: roadway closed to +traffic with jersey barriers (concrete traffic barriers) on both approaches, or +roadway closed with construction barrels on easterly approach, etc. Code 5, +Other (specify), should be selected, for example, for highway users who were +shoved onto the track and who were then in a collision. Such accidents/incidents +may be described in the narrative section. +42. Driver Passed Standing Highway Vehicle +Identify whether the highway user, immediately before the accident, had passed +another vehicle that had stopped short of the crossing. +Note: If a pedestrian is identified in Item 13, then enter “N/A.” +43. View of Track Obscured by +If the highway user’s view approaching the crossing was obstructed to the extent +that he or she may have been unaware that a rail consist was about to occupy or +was occupying the crossing, enter the code that identifies the primary obstruction. +If the highway user had a clear view of an approaching consist which had not yet +occupied the crossing, enter code “8.” +44. Driver was [Condition After Accident/Incident] +Select the code that describes the extent of harm to the driver. If the driver was +fatally injured or injured to the extent of requiring medical treatment, a line entry +on Form FRA F 6180.55a must also be completed for this accident/incident. See +§ 225.19(d). If the driver committed or attempted to commit suicide (as +determined by a coroner, public police officer, or other public authority) then the +fatality or injury to that individual must be reported as a suicide data case, and +Item 44 should also be completed for this case. +45. Was Driver in the Vehicle? +If the driver of the highway vehicle was in the vehicle at the time of impact, enter +“1” in the code box. If the driver had left the vehicle prior to the impact, enter +“2.” +46. [Casualties to] Highway-Rail Crossing Users +Enter the total number of reportable deaths and injuries (including suicides and +attempted suicides). All deaths and injuries must also be reported individually on +Form FRA F 6180.55a. 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 is presumed to have sustained an FRA reportable injury. +See instructions on Railroad Injury and Illness (Continuation Sheet), Form FRA F +6180.55a at the beginning of this chapter. +FRA Guide for Preparing Accident/Incident Reports + +156 +F 6180.57 +Note: If the driver committed suicide, as determined by a coroner or other public +authority, and the passenger was not a party to the suicide, then the driver +should be shown as a suicide case, but the passenger injury would be +reported as a regular case.) +Reportable casualties that resulted from suicides and attempted suicides, as +determined by a coroner, public police officer, or other public authority, must be +included in the casualty counts in boxes 46, 49, and 52, as applicable. +47. Highway Vehicle Property Damage +Enter the estimated cost of damages sustained by the highway vehicle involved. +The amount given should reflect the cost of repairs. If the vehicle is beyond +repair, the cost is the replacement value of the vehicle. If there was no damage to +the vehicle, enter “0.” Do not make entries such as “totaled.” +48. Total Number of Vehicle Occupants (including driver) +Enter the total number of vehicle occupants involved in the incident (including +driver, if applicable). Vehicle includes automobiles, buses, trucks, motorcycles, +bicycles, farm vehicles, and all other modes of surface transportation, motorized +and unmotorized. The vehicle occupants are those people in the vehicle at the +time of impact. +49. [Casualties to] Railroad Employees +See instructions for block 46. For purposes of this form, “Railroad Employees” +includes only those persons classified as Worker on Duty–Railroad Employee +(Class A). +Reportable casualties that resulted from suicides and attempted suicides, as +determined by a coroner, public police officer, or other public authority must be +included in the casualty counts in boxes 46, 49, and 52, as applicable. +50. Total Number of People on the Train +Enter the total number of people on the train at the time of the incident (including +passengers and train crew). +51. Is a Rail Equipment Accident/Incident Report Being Filed? +If the accident resulted in reportable railroad damage above the threshold +established for reporting rail equipment accidents/incidents, enter “1” in code box, +and complete Form FRA F 6180.54. +52. [Casualties to] Passengers on Train +See instructions for block 46. Passengers on trains are those identified as Class C. +FRA Guide for Preparing Accident/Incident Reports + +157 +F 6180.57 +Reportable casualties that resulted from suicides and attempted suicides, as +determined by a coroner, public police officer, or other public authority, must be +included in the casualty counts in boxes 46, 49, and 52, as applicable. +53a. Special Study Block - Recording of Accident/Incident +Indicate whether the highway-rail grade crossing accident/incident was recorded +by a locomotive video recorder, by checking off either the "Yes", or "No" check +box (for "Video Taken?"). If "Video Taken? is "Yes", indicate if the recording +was used by the railroad (i.e., information gathered in viewing the recording was +used) to complete the FRA Highway-Rail Grade Crossing Accident/Incident +Report, by checking either the “Yes or "No” check box (for “Video used?"). For +additional information on requirements related to locomotive event recorders, see +49 CFR 229.135 "Event Recorders." +53b. Special Study Block +The “Special Study Blocks” (SSB) in this item are for collection of essential data +as the need arises. The FRA will notify the railroads in writing, or if appropriate, +through publication in the Federal Register, of the purpose and the type of +information that is to be collected. In conjunction with the Federal Highway +Administration (FHWA), FRA will publish in the Federal Register any +announcement affecting highway users, thus allowing motor carriers the +opportunity to provide FRA pertinent special study information. +54. Narrative Description +An accident is frequently the culmination of a sequence of related events, and a +variety of conditions or circumstances may contribute to its occurrence. A +complete record of all of these is beneficial in accident prevention analysis. +However, it is not practical, even if it were possible, to develop forms and codes +that would capture every detail that may be associated with the causes and +resulting consequences of each accident. Therefore, the most appropriate +combination of available codes that best identifies the likely primary and any +contributing cause and other factors, is to be used when completing the railroad’s +report. +The limitations imposed by standardized reporting forms make it critical that the +narrative portion of the report provide additional information concerning those +items that cannot be adequately described on the coded portions of the form. The +wide variation in the causes and circumstances of accidents makes it impractical +to prepare a comprehensive list of items to include in any discussion. The +railroad should include any information that increases our knowledge of the +underlying reasons why the accident occurred and its consequences. Simply +entering, for example, "train struck vehicle at crossing xxx" does not provide +additional insight into the causal factors of the incident. +In addition, a narrative description should not include personal identifiers, such as +names, social security numbers, or payroll identification numbers. +FRA Guide for Preparing Accident/Incident Reports + +158 +F 6180.57 +55. Typed Name and Title +Type or print the name and title of the person responsible for preparing this report +form. +56. Signature +Signature of the person shown in Item 55. +Note: If Form FRA F 6180.57 is to be submitted electronically, signature (Item +56) and date of signature (Item 57) are not required. +57. Date +Date the signature was made in Item 56. This is the date the form was initially +completed. +10.5 Questions and Answers +Q1. A man driving a truck did not see a train occupying a highway-rail grade +crossing and lost control of his vehicle when he slammed on the brakes to +avoid a collision. His truck ended up in the ditch with considerable damage, +and he broke his arm. What reports need to be prepared? +A1. Since an impact did not occur between a highway user and railroad on-track +equipment at a highway-rail grade crossing, you do not need to prepare a +highway-rail accident/incident report (Form FRA F 6180.57). However, the +motorist did sustain a reportable injury arising from the operation of a railroad. +Therefore, an injury report (Form FRA F 6180.55a) must be completed. If the +motorist had struck the consist at the crossing using this example, a Form FRA F +6180.57 would be required even though the impact did not occur on the crossing +site. If an injury report (Form FRA F 6180.55a) is completed for this case, the +Event Circumstance Code should not be “32” Highway-rail collision/impact. +Q2. Say that a highway user struck a signal stand at a highway-rail grade +crossing and was injured, but there was no on-track equipment present, nor +were employees of the railroad in the vicinity. Is this reportable? +A2. No. Section 225.15(a) exempts the reporting of motor vehicle accidents at +highway-rail grade crossings when they do not involve the presence of on-track +equipment or railroad employees. +Q3. A motorist in an off-road vehicle was waiting behind several automobiles at a +crossing site where the gates were down and a standing train was occupying +the track. He apparently became impatient and drove his vehicle off the +highway and parallel to the track to a point where he could cross over the +track behind the train. His vehicle stalled on a parallel set of tracks, and he +was unable to start it. He exited his truck just before a train on the adjacent +FRA Guide for Preparing Accident/Incident Reports + +159 +F 6180.57 +track hit it. Should this be reported as a highway-rail grade crossing +accident/incident or any other type? +A3. An event such as this would not qualify as a highway-rail grade crossing collision +since the motor vehicle operator had left the highway of his own choosing and his +vehicle was struck at a location other than a designated crossing site. The event +would be reportable as an obstruction accident on Form FRA F 6180.54 if +reportable damage was in excess of the threshold. If the motorist had been hurt in +connection with this event, then an injury report (Form FRA F 6180.55a) would +need to be completed. +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 the 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? +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 highwayuser 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. 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 block5i – Injury-Illness Code. The railroad would still +be required to contact the highway user in writing (Form FRA F 6180.150) and by +phone. +10.6 Common Reporting Errors +The most common reporting error is when crossing data reported on the Form FRA F 6180.57 +does not match the information on file in the U.S. DOT National Crossing Inventory File. The +reporting railroad should always check FRA’s Web site at +http://safetydata.fra.dot.gov/OfficeofSafety, and click on “Crossing” tab to query Inventory file +to ensure that the information matches and is consistent. If the location, type of crossing, +warning devices, etc., are different, the railroad reporting officer should check to see if the +accident was reported at the correct crossing. If it was and the current Inventory information is +outdated or incorrect, then an updated Crossing Inventory Report (Form FRA F 6180.71) should +be filed with the Highway-Rail Crossing Accident Report. +Contradictory Information. +The following is a partial listing of some common errors resulting from contradictory +information. +FRA Guide for Preparing Accident/Incident Reports + +160 +F 6180.57 +If a highway vehicle was moving at the time of the impact, vehicle speed in Item 14 cannot be +“0,” and the vehicle’s position on the crossing shown in Item 16 must be “3” (“Moving over +crossing”). +If the highway vehicle was not moving, the vehicle speed must be “0”; the position code in Item +16 cannot be “3” (“Moving over crossing”), and Item 19 must be “1,” indicating that the rail +consist struck the highway user. +If the rail consist was moving at the time of the impact, Item 17 must be either “1,” “2,” “4,” “6,” +or “8,” (or “A,” “B,” “D,” or “E”) and the speed in Item 30 cannot be “0.” If the rail consist was +not moving, then Item 17 must contain “3,” “5,” “7,” or “8” (or “C,” “D,” or “E”); the consist +speed in Item 30 must be “0”; and Item 19 must be coded “2,” indicating that the highway user +struck the rail consist. +If the rail consist struck the highway user, code “1” must be entered in Item 19, and the position +of the car/unit in the consist given in Item 18 must be “1.” This position is determined by +counting from the leading car/unit in the consist, identified as the first car/unit to enter the +crossing. Therefore, whenever a rail consist strikes the highway user, it will always be the +leading unit that makes the initial contact. + +Item 41 cannot indicate that a highway user went around or through gates if gates were not +present at the crossing, as shown in Item 32. +Failure to File Other Accident/Incident Forms or Filing Contradictory Data On Different +Reports. +When Part 225 requires that a single accident be reported on more than one kind of form, be sure +to verify that similar information contained on the various reports is consistent. The following +are a few of the items that should be reviewed prior to forwarding the monthly reports. +If reportable casualties occurred in the accident, these must be reported individually on Form +FRA F 6180.55a. +If reportable damage (rail equipment and track) exceeded the threshold for train accidents, Form +FRA F 6180.54 must be completed. Carefully compare all related information between these +forms to ensure consistency. +The casualties reported on Form FRA F 6180.55a must have the same State code as that shown +on Form FRA F 6180.57. +10.7 Requirements for Form FRA F 6180.150 +The railroad is required to contact any highway user potentially injured in a highway-rail grade +crossing accident/incident, or their representative, in writing and, if unsuccessful in obtaining the +needed information, by telephone. Except that a railroad is not required to contact a highway +user who has died as a result of the accident. The written correspondence should contain the +FRA Guide for Preparing Accident/Incident Reports + +161 +F 6180.57 +Form FRA F 6180.150, “Highway User Injury Inquiry Form,” a cover letter (see Appendix N for +a sample cover letter) and a return envelope with postage and return address. The railroad shall +complete Part I of Form FRA F 6180.150 and send the form with a cover letter to the potentially +injured highway user. +With regard to the cover letter, the instructions contained in the final rule require that the letter +contain the following: +• An explanation of why the railroad is contacting the highway user; +• An explanation of part 225’s accident/incident reporting requirements; +• An explanation of how the form and any response will be used for part 225’s +accident/incident reporting requirements; +• An explanation that the highway user is not required to respond and that an response is +voluntary; +• An opportunity to correct incorrect information in Part I; +• Identify and provide contact information for a person at the railroad who can answer +questions with regard to the form; +• Provide instructions on how to complete Part II; and +• An explanation of how any medical records, if requested, personal identifying +information or information will be handled. +The cover letter and Form FRA F 6180.150 are meant to be tools that allow the railroad to gather +information and comply with part 225’s accident/incident reporting and recording requirements. +As such, a railroad shall not require the highway user to provide any medical or personal +information in order to report a casualty. The cover letter may ask the highway user to provide +additional information but the cover letter should not mandate that the individual provide certain +information in order for a railroad to comply with Federal reporting requirements. The purpose +of this letter and the form is to collect enough information for the railroad to determine whether +an individual suffered a reportable injury. Moreover, the cover letter and any communication for +the purposes of part 225 shall remain separate from and not reference the railroad’s claims +process in order to avoid confusion. +The railroad shall hand deliver or send by first class mail the letter and form (along with a +prepaid and preaddressed return envelope) within a reasonable time period following the date of +the highway-rail grade crossing accident/incident. A railroad shall keep a record of its efforts to +contact a highway user and this record and documentation of any information obtained shall be +available for review and copying by an FRA representative under the same criteria as set forth in +§ 225.35(b). This record includes, but is not limited to, retaining a copy of the Form FRA F +6180.150 and the accompanying cover letter, any response from the highway user and, when +appropriate, a record documenting the date, time and content of the follow-up call. Moreover, +the railroad must retain a copy of this record for a period of 5 years. See § 225.27. +For the highway user, Form FRA F 6180.150 is voluntary, not mandatory. FRA acknowledges +that there will be situations in which a passenger cannot be reached even though a railroad +contacts the person in writing and by telephone. Other times a passenger will refuse to provide +FRA Guide for Preparing Accident/Incident Reports + +162 +F 6180.57 +any information even though a railroad clearly explains the Federal reporting requirements and +the reason for soliciting information. In those cases, a railroad is still responsible for deciding +whether, considering all of the circumstances, the passenger suffered a reportable injury. The +railroad’s ability to make a reporting decision is not contingent upon the highway user’s +response. The railroad must reconsider that determination if new or additional information is +later acquired. Moreover, if a highway user completes Part II, or provides additional information +during a telephone call, the railroad will be responsible for determining whether based on the +circumstances that the person suffered a reportable injury or illness. +A railroad may terminate their investigation after calling and mailing the individual. The inquiry +requirement does not place a timeframe on the amount of follow-up the railroad is required to +perform. Except that the railroad should initiate the inquiry within a reasonable time period after +the highway-rail grade crossing accident/incident. +10.8 Instructions for Completing Form FRA F 6180.150 +Item Instruction +PART I - Highway Rail-Grade Crossing Accident/Incident +1a. Date of Accident/Incident +Enter the date the accident/incident occurred. This should come from Form FRA +F 6180.57, Item 5. +1b. Time of Accident/Incident +Enter the time the accident/incident occurred and check the appropriate “a.m.” or +“p.m.” box. Do not use military time. This should come from Form FRA F +6180.57, Item 6. + 2a. Name of Railroad +Enter the full name of the railroad. This should come from Form FRA F 6180.57, +Item 1, Name of Reporting Railroad. +2b. Alphabetic Code +Enter the code for railroad entered in 2a. This should come from Form FRA F +6180.57, Item 1a. + +3. Railroad Accident/Incident Number +Enter the reporting number used by the railroad shown in Item 2a to identify this +accident/incident. This accident/incident number should come from Form FRA F +6180.57, Item 1b. +4. U.S. DOT Grade Crossing Identification Number +Enter the U.S. DOT National Highway-Rail Crossing Inventory Identification +Number assigned to the crossing involved. This is the U.S. DOT Grade Crossing +Identification Number found on Form FRA F 6180.57, in Item 4, for this +FRA Guide for Preparing Accident/Incident Reports + +163 +F 6180.57 +accident/incident. Grade crossing Identification Number means, and includes, the +U.S. DOT Grade Crossing Inventory Number. +5. Highway Name or Number +Enter the name or number of the highway or street involved. This is the Highway +Name or Number found in Item 12 of Form FRA F 6180.57. +6. City +If the accident occurred within the jurisdiction of a city, town, or hamlet–enter the +full name of this location; otherwise, enter “N/A.” This should come from Form +FRA F 6180.57, Item 11. + 7. County +Enter the full name of the county or parish in which the accident/incident +occurred. This should come from Form FRA F 6180.57, Item 9. + 8. State Abbr. +Enter the appropriate State code, for the State in which the accident occurred. +This should come from Form FRA F 6180.57, Item 10. + PART II - Highway User Injury Inquiry Form +Part II is to be completed by the Highway User. Instructions for completing this part +should be included in the cover letter (see sample cover letter in Appendix N). +FRA Guide for Preparing Accident/Incident Reports + +164 +F 6180.56 +11. Form FRA F 6180.56 - Annual Railroad Report of Employee Hours and +Casualties, by State +11.1 Requirement +A summary of all hours worked by railroad employees, and employee casualties, during the +report year must be made on Form FRA F 6180.56 and be included with the December +submission. +11.2 General Instructions and Interpretations +To alleviate the recordkeeping problems caused when certain employees, such as train crews, +work in more than one State, the hours worked may be computed based on the location of such +persons’ home terminals or the locations where they normally reside. This includes instances +when railroad employees operate trains into Canada or Mexico. +The sum of the hours worked shown on this form must equal the total number of hours reported +on the monthly reports (Form FRA F 6180.55). If not, then updates to the monthly reports must +be made. The hours worked by all employees of the railroad, regardless of occupation, are to be +included. Non-work time, such as sick leave, is to be omitted even though it is paid. Do not +include hours of volunteers, the employees of railroad contractors, or other classifications of +persons. +The total casualties reported for the year on this form must not differ from the total casualties for +the year as reported on Form FRA F 6180.55a for Worker on Duty–Railroad Employees (Class +A). Do not include casualties of volunteers, the employees of railroad contractors, or other +classifications of persons. +11.3 Instructions for Completing Form FRA F 6180.56 +Item Instruction +1. Reporting Railroad +Enter the full name of the reporting railroad in the box provided. +2. Alphabetic Code +Enter the alphabetic code of the reporting railroad in the box provided. See +Appendix A. +3. Report Year +Enter the calendar year covered by this report. +4. Establishments Included in this Report +List the number of establishments operated during the year. +FRA Guide for Preparing Accident/Incident Reports + +165 +F 6180.56 +5. Average Employment in Report Year +Enter the average number of workers employed during the report year. Count all +railroad employees. Include railroad employees who are seasonal, temporary, +part-time, office and clerical staff, maintenance, etc. This number may be +calculated by adding the employment count from all payroll periods during the +year and then dividing that figure by the number of payroll periods. +6. State/Employee Hours/Casualties +Enter the number of hours worked for the report year in each State by employees +of the reporting railroad. Also enter the total count of casualties for Worker on +Duty–Railroad Employees (Class A), both fatal and nonfatal, for the reporting +railroad, for the year, by State. +Do not include time paid, but not actually worked, such as holidays and vacations. +7. Total Employee Hours for the Year +Enter the total number of combined hours worked for the report year, for all of the +States, by employees of the reporting railroad. Include hours of any employee +whose job required temporary absence from the United States. +8. Total Casualties During the Year +Enter the total number of casualties to persons classified as Worker on Duty– +Railroad Employee (Class A). Please attach a brief explanation for those States +where employee casualties occurred but no hours are reported. All casualties, +including covered data cases reported as codes A, R, or P are to be included; +however, covered data cases reported as X (for suicides or attempted suicides, as +determined by a coroner or other public authority) are not to be included in the +Total Casualties During the Year. +9. Typed Name and Title +Enter the name and title of the person responsible for preparing this report. +10. Signature +Signature of the person shown in Item 9. +11. Date +Date that the signature in Item 10 was made. This is the date the record was +initially completed. +FRA Guide for Preparing Accident/Incident Reports + + +166 + Commuter and Other Passenger Rail Operations +12. Supplemental Information: Contractors; Commuter and Other +Passenger Rail Operations +12.1 General +Title 49 CFR Part 225 accident/incident reporting regulations apply to all railroads +(including commuter and other passenger rail operations) unless specifically excepted under +§ 225.3. +FRA has a specific need to know of accidents, injuries, accident rates and injury rates of +passenger and commuter operations. This has created a special recordkeeping environment +to allow FRA to determine the safety record of each commuter railroad. +12.2 Contractors +12.2.1 Contractors – non-railroad employees +Often a railroad will hire a contractor to perform certain tasks for the railroad. FRA identifies +two types of Contractor: Worker On Duty–Contractor, and Contractor–Other. Both of these +categories are for persons who are not employed by any railroad and are not covered by the +Railroad Retirement System. If a contractor is injured performing safety-sensitive functions, +then the contractor injury is to be reported to FRA on Form FRA F 6180.55a as Worker On +Duty–Contractor (Class F). If a contractor is injured performing non-safety sensitive functions, +then the contractor injury is to be reported to FRA on Form FRA F 6180.55a as ContractorOther. +For example, an employee of a contractor is performing safety-sensitive functions for a +passenger railroad. The employee sustains an FRA reportable injury. The passenger railroad +must report this injury (under the passenger railroad’s unique code/identifier) to FRA on Form +FRA F 6180.55a as an injury to a Worker on Duty–Contractor. +However the hours worked by contracted employees are not reported on Form FRA 6180.55, in +Block 15, “Railroad Worker Hours.” Reportable injuries to contractor employees are reported to +FRA by the contracting railroad and to OSHA by the employing contractor. +12.2.2 Contractors – railroad employees +FRA identifies two types of railroad employees: Worker on Duty (Class A) and Employee not +on Duty (Class B). Both of these categories are for persons who are employed by a railroad and +are covered by the Railroad Retirement System. Contracted employees who are employees of a +contracted railroad and are covered by the Railroad Retirement System are considered railroad +employees of the contracting railroad for purposes of FRA accident/incident reporting. +For example, an employee of a contracted railroad who is performing service for a passenger +railroad is considered a Worker on Duty (Class A) of the passenger railroad for the purpose of +accident/incident reporting, even though the worker is actually employed by the contracted +railroad. Accordingly, the passenger railroad must report to FRA, under the passenger railroad’s +FRA Guide for Preparing Accident/Incident Reports + + +167 + Commuter and Other Passenger Rail Operations +code/identifier, the hours the contracted railroad employee worked in block 15, “Railroad +Worker Hours,” of the passenger railroad’s Form FRA F 6180.55 report to FRA as Worker on +Duty – Employee (Class A). Accordingly, the hours worked by, and any injury to, the contracted +railroad employee are not to be reported to the FRA by the employing railroad under Part 225. +Note that when determining whether a railroad qualifies for partial relief from the recordkeeping +requirements under § 225.3(c)(1), a railroad should not include contract employees (railroad or +non-railroad) when determining if the railroad has 15 or fewer employees covered by the hours +of service law. +12.3 Train Operations +12.3.1 Performed by Railroad +Many passenger railroads perform their own train operations; these railroads should report their +accidents and incidents using the normal procedures in this Guide. +“Passenger railroad” includes commuter, excursion, tourist, or any other form of railroad +transporting passengers. +12.3.2 Performed by Contractor +When a railroad’s operations are performed by a contractor (e.g., another railroad or +transportation company), the contracting railroad still must report to FRA all accidents and +incidents discernibly caused by an event or exposure arising from the operation of the +contracting railroad, on the appropriate FRA forms, as well as report to FRA train-miles, railroad +worker hours, passenger train-miles, and other applicable information on the FRA Form F +6180.55, even though railroad operations conducted in part or wholly by contracted employees. +Example. Commuter Railroad A has contracted with Freight Railroad B to have Freight +Railroad B perform all of Commuter Railroad A’s train operations. Commuter Railroad A must +report to FRA, under Commuter Railroad A’s name and railroad code/identifier, all accidents +and incidents arising from Commuter Railroad A’s railroad operations, even though the +operations are actually conducted by employees of Freight Railroad B. This includes the +reporting of injuries and illnesses to Freight Railroad B’s employees that are discernibly caused +by events or exposures arising out of the Commuter Railroad A’s operations, since Freight +Railroad B’s employees are railroad employees and are covered by the Railroad Retirement +System. Note that Commuter Railroad A must report the contracted hours worked by Freight +Railroad B employees on its monthly Form FRA 6180.55 report, in block 15 “Railroad Worker +Hours.” +Example. Commuter Railroad A has contracted with Company X to perform certain safetysensitive service. Commuter Railroad A must report to FRA, under Commuter Railroad A’s +name and railroad code/identifier, all accidents and incidents arising from Commuter Railroad +A’s railroad operations, even though some of the operations are actually conducted by +employees of Company X. This includes the reporting of injuries to Company X’s employees +that are discernibly caused by an event or exposures arising out of Commuter Railroad A’s +FRA Guide for Preparing Accident/Incident Reports + + +168 + Commuter and Other Passenger Rail Operations +operations. Note that Commuter Railroad A must not report the contracted hours worked by +Company X employees on its monthly Form FRA 6180.55 report, in block 15 “Railroad Worker +Hours.” +Example. Commuter Railroad A has contracted with Freight Railroad B to have Freight +Railroad B perform all of Commuter Railroad A’s train operations, including the filing of +Commuter Railroad A’s accident/incident reports with FRA. Freight Railroad B must report to +FRA, under Commuter Railroad A’s name and railroad code/identifier, all accidents and +incidents discernibly caused by an event or exposure arising from Commuter Railroad A’s +railroad operations, even though the operations are actually conducted by employees of Freight +Railroad B. Note that under such circumstances, the contracting railroad (Commuter Railroad +A) is ultimately responsible to ensure that its operations comply with Part 225. Accordingly, any +enforcement action taken by FRA for noncompliance with Part 225’s requirements (reporting or +otherwise) will be against the contracting railroad (Commuter Railroad A), even if the incident +of noncompliance was due to an act or omission of the contracted railroad (Freight Railroad B). +12.3.3 Form 6180.55 +As a railroad subject to Part 225, each passenger railroad must submit to FRA monthly a Form +FRA 5180.55 report using an identifier unique to that passenger railroad operation. If you are a +contractor who is has been contracted to perform operations for a passenger railroad, all +accident/incident information associated with the operation of the passenger railroad must be +reported to FRA under the reporting code/identifier of the passenger railroad. This includes all +operational data, e.g., train miles, railroad worker hours, passengers transported, passenger trainmiles of the passenger railroad. “Railroad worker hours” (Block 15 on Form FRA 6180.55) +must include hours worked by railroad employees. This includes hours worked by employees of +the passenger railroad and hours worked by employees of other railroads (who are covered by +the Railroad Retirement System) as contractors for the passenger railroad. Hours worked by +contractors who are not railroad employees are not included. +Trackage Maintenance and Repair – Reporting “Railroad Worker Hours,” Block 15 on Form +FRA F 6180.55. +If the trackage over which a passenger railroad operates is owned by the passenger railroad and +maintained by employees of the passenger railroad, then railroad worker hours related to the +repair and maintenance of the track must be reported to FRA under the reporting code/identifier +of the passenger railroad. +If the trackage over which a passenger railroad operates is owned by the passenger railroad, but +maintained by non-railroad employees of a contractor to the passenger railroad, then the railroad +worker hours related to the repair and maintenance of the track are not to be reported to FRA. +FRA Guide for Preparing Accident/Incident Reports + + +169 + Commuter and Other Passenger Rail Operations +If the trackage over which a passenger railroad operates is owned by the passenger railroad, but +maintained by railroad employees of another railroad, who perform the track maintenance for the +passenger railroad under contract, then the railroad worker hours (of the contracted railroad +employees) related to the repair and maintenance of the track must be reported to FRA under the +reporting code/identifier of the passenger railroad. +If the trackage over which the passenger railroad operates is owned and maintained by a railroad +other than the passenger railroad, then worker hours related to the maintenance of the track is not +to be reported to FRA by the passenger railroad. +(See the discussion on Contractors, in section 12.2 of this Guide.) If the track is solely for the +purpose of the commuter/passenger system, then all hours associated with the repair and +maintenance must also be included under the “Employee Hours” category. +12.3.4 Form 6180.55a +In addition to other reportable injuries, railroads are required to report to FRA deaths, injuries, +and occupational illness of railroad employees. Railroad employees are those employees that +work for a railroad and are covered by the Railroad Retirement System. In the case of +contracted railroad employees, contracting railroads must include in their Railroad Injury and +Illness Summary (Continuation Sheet) FRA Form F 6180.55a reports to FRA deaths, injuries, +and occupational illnesses of all railroad employees, this means both the contracting railroad’s +employees as well as the contracted railroad’s employees. The railroad employees should be +reported as Worker On Duty – Railroad Employee (Class A) and Railroad Employee Not On +Duty (Class B). It is the contracting (i.e., reporting) railroad’s responsibility to insure that the +contracted railroad notifies the contracting railroad of all reportable and accountable injuries to +its employees. +12.3.5 Form 6180.54 +If a railroad carrier contracts the performance of its operations out to another railroad, the +contracting railroad carrier still must report all reportable rail equipment accidents/incidents on +Form FRA F 6180.54, “Rail Equipment Accident/Incident Report” under the contracting +railroad’s own unique identifier/code. The contracting railroad is responsible for insuring that +the contracted railroad notifies the contracting railroad of the occurrence of all reportable rail +equipment accidents/incidents. If the contracting railroad has the contracted railroad perform its +accident/incident reporting function, the contracting railroad is still responsible for ensuring +accurate reporting. +12.3.6 Form 6180.57 +If a railroad carrier contracts the performance of its operations out to another railroad, the +contracting railroad carrier still must report all reportable highway-rail grade crossing +accidents/incidents on Form FRA F 6180.57, “Highway-Rail Grade Crossing Accident/Incident +Report,” under the contracting railroad’s own unique identifier/code. The contracting railroad is +responsible for insuring that the contracted railroad notifies the contracting railroad of the +FRA Guide for Preparing Accident/Incident Reports + + +170 + Commuter and Other Passenger Rail Operations +occurrence of all highway-rail grade crossing accidents/incidents. If the contracting railroad has +the contracted railroad perform its accident/incident reporting function, the contracting railroad is +still responsible for ensuring accurate reporting. +FRA Guide for Preparing Accident/Incident Reports + +171 +F 6180.107 +13. Form FRA F 6180.107 - Alternative Record for Illnesses Claimed to be +Work-Related +13.1 Purpose +The purpose of this form is to report railroad employee-claimed occupational illness where the +process of gathering the information is not available in traditional processing, e.g., a class action +law suit or other unusual circumstances. The Form FRA F 6180.98 should be used for recording +occupational illness whenever the normal flow of information is available to complete the form, +regardless of determination of work relationship. The narrative of the Form FRA F 6180.107 +can state that the case is in dispute with the germane facts and qualified reasons. +FRA requires the recording of these cases to establish an audit trail for employee occupational +illness cases that come to the attention of the railroad through blind lawsuits and have +insufficient information to complete a Form FRA F 6180.98. It also serves as a tool for FRA +Safety Assurance and Compliance officers to use during reviews to determine if proper reporting +decisions are being made. +13.2 Provision +Each railroad may maintain a Form FRA F 6180.107, or alternate railroad-designed record in +place of a Form FRA F 6180.98, only for those claimed occupational illnesses for which the +railroad has not received, from the employee or their representative, information sufficient to +determine whether the occupational illness is work-related. +When a railroad does not receive information sufficient to determine whether a claimed +occupational illness case is accountable or reportable, the railroad shall make a good faith effort +to obtain the necessary information by December 1 of the next calendar year. +The alternative railroad-designed record may be used in lieu of the Alternative Record for +Illnesses Claimed to Be Work-Related (Form FRA F 6180.107). Any such alternative record +shall contain all of the information required on the Alternative Record for Illnesses Claimed to +Be Work-Related. Although this information may be displayed in a different order from that on +the Alternative Record for Illnesses Claimed to Be Work-Related, the order of the information +shall be consistent from one such record to another, and the order chosen by the railroad shall be +consistent for each of the railroad’s reporting establishments. Railroads may list additional +information on the alternative record beyond the information required on the Alternative Record +for Illnesses Claimed to Be Work-Related. +Time limit to record initial claim of occupational illness. Each railroad shall enter each illness +claimed to be work-related on Form FRA F 6180.107 (or alternative record) as early as +practicable, but no later than 7 working days after receiving information or acquiring knowledge +that an employee is claiming they have incurred an occupational illness. +FRA Guide for Preparing Accident/Incident Reports + +172 +F 6180.107 +Time limit to record additional information regarding a claim of occupational illness. Within +fifteen calendar days of receiving additional information regarding a claimed occupational illness +case, each railroad shall document receipt of the information, including date received and type of +document/information received, in narrative block 19 of Form FRA F 6180.107. +Time limit to re-evaluate record initial claim of occupational illness after receiving additional +information. Within forty-five calendar days of receiving additional information regarding a +claimed occupational illness, each railroad shall re-evaluate the claimed occupational illness to +determine work-relatedness, taking into account the new information, and document any findings +resulting from the re-evaluation in narrative block 19 of Form FRA F 6180.107. +Cases determined to be reportable. Once it has been determined that a particular case is +accountable or reportable, the railroad must record the information on Form FRA F 6180.98 +within 7 days of the date the determination is made; retain the Railroad Employee Injury and/or +Illness Record in accordance with § 225.27; and report the occupational illness, as applicable, in +accordance with § 225.11. Once a case is reported on Form FRA F 6180.55a, it is no longer +necessary to continue to update the Form FRA F 6180.107 or the Form FRA 6180.98. If the case +is reported, changes to counts of days absent or restricted are to be made on Form FRA +F 6180.55a, not on Form FRA F 6180.107 or Form FRA F 6180.98. +Cases determined NOT to be reportable. Once it has been determined that a particular case is +not accountable or reportable, the railroad shall include the following information in narrative +block 19 of Form FRA F 6180.107: 1) why the case does not meet reporting criteria; 2) the basis +upon which the railroad made this determination; and 3) the most authoritative information the +railroad relied upon to make the determination. +Alternative record. The alternative record shall contain all of the following information, to the +extent that it is reasonably available: +1. Name of Reporting Railroad +2. Case/Incident Number (The Case/Incident Number identified in block 2 must be used +on Form FRA F 6180.98 and Form FRA F 6180.55a for any case determined to be +accountable or reportable) +3. Employee’s Name (first, middle, last) +4. Employee’s Date of Birth (mm/dd/yy) +5. Employee’s Gender +6. Employee Identification Number +7. Date Employee was Hired (mm/dd/yy) +8. Employee’s Home Address (Include street address, city, State and Zip code) +9. Employee’s Home Telephone Number (with area code) +10. Name of Facility Where Railroad Employee Normally Reports to Work +FRA Guide for Preparing Accident/Incident Reports + +173 +F 6180.107 +11. Location, or Last Known Facility, Where Employee Reports to Work +12. Job Title of Railroad Employee +13. Department to Which Employee is Assigned +14. Date on Which Employee or Representative Notified Company Personnel of Condition +(mm/dd/yy) +15. Name of Railroad Official Notified +16. Title of Railroad Official Notified +17. Nature of Claimed Illness +18. Supporting Documentation +18a. Custodian of Documents (Name, Title, and Address) +18b. Location of Supporting Documentation (Although the Alternative Record for Illnesses +Claimed to be Work-Related, or the alternate railroad-designed form, may not include +all supporting documentation, such as medical records, the record shall note the +custodian of those documents and where the supporting documents are located so that +they are readily accessible to FRA upon request) +19. Narrative +20. Preparer’s Name +21. Preparer’s Title +22. Preparer’s Telephone Number (with area code) +23. Date the record was initially signed/completed (mm/dd/yy) +13.3 Questions and Answers +Q1. The only information provided to the railroad was the employee’s name and +Employee ID Number. Further attempts to complete the other data elements +were rejected by the employee and/or his or her attorney. Does this meet +FRA requirements? +A1. Yes. The railroad should continue to complete all the data elements when the +information becomes available and should make a good faith effort to obtain the +information. However, the railroad is not expected to continue this effort past +December 1 of the year that follows the date on which the railroad first received a +claim of the illness. +Q2. The employee reported that he/she has some pain in hand/arm area due to +carpal tunnel syndrome and that the job environment caused and/or +aggravated the condition. The company’s PLHCP has determined the +employee does not have carpal tunnel, and that the employee’s condition was +not related to railroad employment. Should the Form FRA F 6180.107 be +used? +FRA Guide for Preparing Accident/Incident Reports + +174 +F 6180.107 +A2. No. The Form FRA F6180.98 should be used with an appropriate explanation of +the PLHCP’s diagnoses. This case should be treated no differently than a +reported injury that the PLHCP determined to be not reportable. The Form FRA +F 6180.107 is used when the information in not available, i.e., telephone number, +job title, (other required fields on the Form FRA F 6180.98) are not available to +the railroad, the provisions of the Form FRA F 6180.107 allow the railroad +additional time to compile the information due to extenuating circumstances. +FRA Guide for Preparing Accident/Incident Reports +Index – Page 1 +Index +12 consecutive months, 10 +15 days, 137 +180 days, 8, 69, 90, 94 +24 hours, 5 +30 days, 5, 10, 89, 113 +35 days, 36, 43, 140 +45 days, 139 +49 U.S.C., 2, 12, 13 +20901–20904, 1 +6 months, 99, 145 +7 days, 90, 172 +Accident/incident +incident, 11 +not to be reported, 167, 168, 169 +train accident, 20, 22, 114, 123, 125, 126, +132, 133, 139 +train incident, 102 +Accident/Incident +accident, 7 +Accountable +Accountable injury, 35, 97 +Accountable rail equipment +accident/incident, 10 +Act of God, 39 +AIRG, 8, 9, 41 +Alcohol or drug involvement +Alcohol impairment, 61, 127 +alcohol involvement, 130 +drug involvement, 5, 22, 81, 107, 130 +assigned working hours, 47, 56, 57, 59, 60 +Asthma, 65 +Broken tooth, 94 +calendar year, 8 +carpal tunnel syndrome, 90 +Carpal Tunnel Syndrome, 173 +casualty, 102 +Cause code +Contributing Cause Code, 8, 127, 135 +Primary Cause Code, 8, 125, 135, 136 +Claimed But Not Admitted, 12 +Classification of Persons +Contractor, 124 +Contractor–Other (Class G), 17 +Employee not on duty, 58 +Employee Not On Duty (Class B), 35 +Nontrespassers, 18 +Nontrespassers–Off Railroad Property +(Class J), 18 +Nontrespassers–On Railroad Property +(Class D), 18 +Passengers, 129 +Passengers On Trains (Class C), 46 +Trespassers, 3 +Trespassers (Class E), 18 +Volunteer, 164 +Volunteer–Other (Class I), 18 +Worker on duty, 42 +Worker on Duty – Employee (Class A), +47 +Worker on Duty–Contractor (Class F), 16 +Worker on Duty–Volunteer (Class H), 17 +closed crossing, 19 +Temporary Barricaded Crossing, 19 +collision +Head-On Collision, 19 +Rear-End Collision, 19 +Side Collision, 20 +Collision, 19 +Broken Train Collision, 20 +Railroad Crossing Collision, 20 +Raking Collision, 20 +Consist Responsibility, 19 +Consolidated Reporting, 4 +covered data, 38, 46, 50, 109, 110, 165 +Day of restricted work activity, 75 +light duty, 74 +Days of restricted work activity +job transfer, 84 +Deadhead, 16 +Deadhead transportation, 16 +Death, 1, 3, 5, 7, 16, 38, 45, 46, 48, 60, 65, +78, 84, 85, 87, 91, 92, 93, 97, 98, 99, 100, +101, 103, 110, 116, 142 +December +FRA Guide for Preparing Accident/Incident Reports +Index – Page 2 +December 1, 8 +December 1, 171, 173 +Dehydration, 82, 83 +Department of Transportation, 13 +Derailment, 18, 21, 22, 39, 40, 44, 114, 133, +134 +Direct Train Control, 22 +Discernable cause, 45, 52, 54, 97 +Electronic +Electronic image, 34 +Electronic record, 15 +Electronic recordkeeping system, 11 +Electronic submission, 3, 6 +Emotional trauma, 93 +Employee Human Factor, 6, 33, 113, 137, +139, 140 +Employee Human Factor Attachment, 137 +Employee Supplement, 113 +Notice, 137 +Epilepsy, 61 +Establishment, 10, 14, 36, 43, 47, 55, 56, 59, +60 +Event or exposure, 45, 46, 50, 52, 53, 54, +55, 57, 59, 60, 61, 63, 64, 65, 92, 93, 97, +98, 100, 103, 108, 167, 168 +event or exposure arising from the +operation of a railroad, 45, 100 +First aid, 15 +Finger guard, 77 +First aid treatment, 22, 76 +Tetanus shot, 94 +FOIA, 13, 14, 49 +FOIA Requests fo Accident/Incident +Report, 49 +Freedom of Information Act, 13, 49 +Form FRA F 6180.54, 113 +Form(s) +Annual Railroad Report of Employee +Hours and Casualties, by State, 164 +Form FRA F 6180.150, 141 +Form FRA F 6180.54, 113 +Form FRA F 6180.55, 29 +Form FRA F 6180.55a, 45 +Form FRA F 6180.56, 164 +Form FRA F 6180.57, 6 +Form FRA F 6180.78, 137 +Form FRA F 6180.81, 113 +Form FRA F 6180.97, 39 +Form FRA F 6180.98, 35 +Highway User Injury Inquiry Form, 141 +Highway-Rail Grade Crossing +Accident/Inci dent Report, 8 +Initial Rail Equipment Accident/Incident +Record, 41 +Rail Equipment Accident/Incident Report, +123 +Railroad Injury and Illness Summary +(Continuation Sheet), 45 +Harassment and intimidation, 13, 96 +Hearing loss, 46, 66, 86, 88, 89 +Heatstroke, 82, 83 +Highway user, 33 +highway-rail grade crossing, 19 +Highway-rail grade crossing, 3, 24 +Ambulance, 98, 141, 155, 159 +Crossing locations, 24, 141, 142 +Medical conveyance, 98, 141, 155 +Pathway, 19, 23, 141 +Home away from home, 62 +Human factor, 6, 113, 134, 137, 138, 139, +140 +Illness, 11 +Occupational illness, 7 +Significant illness, 46 +Infectious material, 86, 87 +Injury, 5 +Needlestick or sharps injury, 46, 66 +Significant injury, 38 +Internal Control Plan, 11 +ICP, 11, 13 +Job transfer, 45, 46, 60, 70, 71, 73, 75, 87, +90 +Joint operations, 115 +Licensed Health Care Professional, 27 +Longitude and latitude, 2, 111, 129 +GPS, 129 +Longitude and latitude +latitude and longitude, 111, 129, 130 +Loss of consciousness, 38, 45, 60, 65, 85 +M505, 126 +Medical removal, 46, 66, 85 +Medical Review Officer, 107 +FRA Guide for Preparing Accident/Incident Reports +Index – Page 3 +Medical treatment, 11, 38 +Member of the general public, 46, 55, 58 +Mental illness, 47, 93 +Miles traveled +Passenger-mile, 23 +Train-mile, 23 +Yard switching train-mile, 23 +Motor vehicle accident, 46 +Musculoskeletal disorder, 64 +MSD, 90, 91 +National Response Center, 3, 5 +New case, 45, 53, 54, 57, 63, 64, 65, 90, 91 +Recovered completely, 63, 64 +Non-train incident, 102 +NTSB, 126, 127 +National Transportation Safety Board, +126 +Oath, 3 +Occupational hearing loss, 46 +Standard threshold shift, 88 +STS, 88, 89 +Occupational tuberculosis, 46, 66, 86 +On-track rail equipment, 21, 25, 28, 115 +Car, 25 +Control cab locomotive, 25 +DMU locomotive, 25 +EMU locomotive, 25 +Equipment consist, 25 +locomotive, 25 +Motorcar, 26 +Train, 26 +Work train, 26 +Yard switching trains, 26 +Optical media, 6, 138 +OSHA, 1, 2, 49, 61, 84, 86, 87, 88, 109, 166 +Occupational Safety and Health +Administration, 1 +Other accidents +Explosion-detonation, 24 +Fire or violent rupture, 24 +Highway-rail grade crossing +accident/incident, 23 +Obstruction accident, 24 +Other impacts, 25 +Other Accidents +Other accidents/incidents, 25 +Over-the-counter medication, 50 +OTC, 50, 67, 79, 84, 96, 110 +Parent corporation, 4 +Parking lot, 46, 55, 56, 62, 63, 92 +Passenger station +Passenger station platform gap, 26 +Passenger station platform gap incident, +26 +Pathway, 141 +Penalties, 13 +Personal task, 57, 58, 59, 60 +Physician or other licensed health care +professional, 45, 46, 47, 49, 68 +PLHCP, 52 +Posting(s), 10 +Post listing of all injuries and +occupational illnesses, 10 +Prescription +Prescription Medication, 27 +Privacy concern case, 10 +Public Examination and Use of Reports, 13 +Railroad +Railroad carrier, 23, 141, 169 +Record retention +5-year retention period, 34, 161 +Record retention, 10 +Remote Controlled Locomotive, 28 +RCL, 28, 122, 128, 148 +Reporting threshold, 20, 39, 43, 44, 113, +115, 132, 141 +Costs and reportable damage, 20, 125 +Equipment damage, 21 +Reportable damage, 20 +Track damage, 21 +Reports +Amended report, 7, 8, 29, 34, 114, 126, +127 +Late report, 92 +Monthly report, 89, 137 +Sidewalk, 23, 55, 141 +Significant aggravation to a preexisting +injury or illness, 45, 52 +Significant change in the damage costs for +reportable rail equipment +accidents/incidents, 9 +FRA Guide for Preparing Accident/Incident Reports +Index – Page 4 +Significant change in the number of +reportable days away from work or days +restricted, 9 +Signs or symptoms, 46, 52, 61, 63, 64, 65, +81, 82, 83 +State, 30, 37, 48 +State agency, 48 +Suicide data, 48, 49, 110 +Attempted suicide, 33, 42, 47, 48, 49, +116, 126, 127, 154 +Coroner, 48, 99, 110, 116, 126, 128, 142, +155, 156, 157, 165 +Public official, 99 +Public police officer, 48, 99, 110, 126, +128, 142, 155, 156, 157 +Telephonic reporting, 3, 4, 5, 1 +Telephonic reports, 97 +Track +Industry track, 28, 115 +Main track, 28 +Siding, 28 +Yard track, 28 +Train accident, 114 +Train incident, 114 +vehicle, 154 +Vehicle, 28, 100, 147 +Wellness program, 47 +Work environment, 46, 55 +Work-related, 55, 90 +FRA Guide for Preparing Accident/Incident Reports +Appendices +Appendix A Railroad Codes +Appendix B State Codes +Appendix C Train Accident Cause Codes +Appendix D Employee Job Codes +Appendix E Injury and Illness Codes +Appendix F Circumstance Codes +Appendix G FRA Regional Offices and Headquarters +Appendix H Forms +Appendix I Model Internal Control Plans, Including Model Statement of Policy Against +Harassment and Intimidation and Model Complaint Procedures +Appendix J Instructions and Codes for Completing “Type of Territory” (Block 30) on the Rail +Equipment Accident/Incident Report (Form FRA F 6180.54) +Appendix K Electronic Submission of Reports to FRA +Appendix L 49 CFR Part 225 +Appendix M Telephonic Reporting Chart +Appendix N Sample Cover Letter for Form FRA F 6180.150, “Highway User Injury Inquiry +Form.” +FRA Guide for Preparing Accident/Incident Reports +Appendix A - 1 Railroad Codes +APPENDIX A +Railroad Codes +The following list is subject to change. For updates, please refer to: +http://safetydata.fra.dot.gov/OfficeofSafety/publicsite/downloads/auxrr.aspx + ABRX ABRX + XADC ADM Corp + XAMD ADM Destrehan + AN AN Rwy LLC + ASRQ AS&R Mine + AR Aberdeen & Rockfish RR Co. + ACWR Aberdeen, Carolina & Western RR + AVSX Abilene & Smokey Valley RR + AKDN Acadiana Rwy Co. + ADCX Adirondack Scenic RR + ADBF Adrian & Blissfield RR + ALT Airlake Term. Rwy Co. + AB Akron Barberton Cluster Rwy Co. + AF Alabama & Florida Rwy Co. + AGR Alabama & Gulf Coast Rwy LLC + ATN Alabama & Tennessee River Rwy LLC + ALAB Alabama RR Co., Inc. + ABS Alabama Southern RR + ABWR Alabama Warrior Rwy, LLC + ABL Alameda Belt Line + ATAX Alameda Corridor Transportation Authority + AGCR Alamo Gulf Coast RR Co. + ARR Alaska RR Corp. + AERC Albany & Eastern RR Co. + APRR Albany Port RR + APR Alberta Prairie Rwy + ARC Alexander RR Co. + AOR Aliquippa & Ohio River RR Co. + AVR Allegheny Valley RR Co. + ATR Alliance Term. RR LLC + ACEX Altamont Commuter Express Authority + ALS Alton & Southern Rwy + AFR Amador Foothills RR + ARDJ American Rail Dispatching Center + AMHR Amhearst RR Industries, Inc./Landisville RR + ATK Amtrak +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 2 Railroad Codes + ACRC Andalusia & Conecuh RR Co., Inc. + ANR Angelina & Neches River RR Co. + AA Ann Arbor RR + APA Apache Rwy Co. + AO Appalachian & Ohio RR + APNC Appanoose County Community RR Co. + ARA Arcade & Attica RR Corp. + ARZC Arizona & California RR Co. + AZCR Arizona Central RR, Inc. + AZER Arizona Eastern RR + AM Arkansas & Missouri RR Co. + ALM Arkansas Louisiana & Mississippi RR Co. + AKMD Arkansas Midland RR Co., Inc. + ARS Arkansas Southern RR + AOK Arkansas-Oklahoma RR Inc. + ASRY Ashland Rwy Inc. + ACJR Ashtubula, Carson & Jefferson RR + ARFT Astoria Riverfront Trolley + ABR Athens Line LLC, The + ATW Atlantic & Western Rwy, L.P. + ATCX Austin & Texas Central RR + AUAR Austin Area Term. RR + AWRR Austin Western RR + ATLT Austin, Todd & Ladd RR Co. + BHX B&H Rail Corp + BGCM BG & CM RR + BNSF BNSF Rwy Co. + BNNS BNSF-NSCR + BJRR Baja California RR Inc. + BDTL Ballard Term. RR Co LLC + BRS Baton Rouge Southern RR + BKRR Batten Kill RR + BYCX Battleground, Yacolt & Chelatchie Prairie RR + BXN Bauxite & Northern Rwy Co. + BCR Bay Coast RR + BCLR Bay Colony RR + BAYL Bay Line RR, L.L.C., The + BLRR Bee Line RR, Inc. + BEEM Beech Mountain RR Co. + BML Belfast & Moosehead Lake RR Co. + XBLI Bell Inc. + BRC Belt Rwy Co. of Chicago + BGKX Belton Grandview and Kansas City RR Co. + SHRX Belton, Grandview and Kansas City Rwy + BCRY Berkshire Scenic Rwy Museum, Inc. + BLE Bessemer & Lake Erie RR Co. + BGEX Big Eagle Rail LLC + BSFX Big South Fork Scenic Rwy +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 3 Railroad Codes + BDW Bighorn Divide & Wyoming RR, Inc. + HKGX Birdsboro Materials/Haines & Kibblehouse + BS Birmingham Southern RR Co. + BHC Black Hills Central RR + BRW Black River & Western RR + BLR Blacklands RR, The + BNG Blackwell Northern Gateway RR Co. + BLOL Bloomer Shippers Connecting RR Co. + BCID Blount County Industrial Development Board + BRMI Bluegrass RR Museum, Inc. + BMCX Bluewater Michigan Chapter, Inc. + BVRR Boise Valley RR, Inc. + BSVY Boone Scenic Valley + BHWY Boot Hill and Western RR + BOP Border Pacific RR + BTR Boundary Trail Rwy Co. Inc. + BRAN Brandon Corp. + BSRX Brandywine Scenic RR Co. + BVRY Brandywine Valley RR Co. + BRSX Branson Scenic Rwy + BRG Brownsville & Rio Grande International RR + BCRR Buckeye Central Scenic RR + BB Buckingham Branch RR Co. + BPRR Buffalo & Pittsburgh RR, Inc. + BSOR Buffalo Southern RR, Inc. + BJRY Burlington Junction Rwy + BNSO Burlington Northern Santa Fe Suburban Operations + BYSR Byesville Scenic Rwy + CNUR C & NC RR Corp. + CGR C. G. Rwy, Inc. + CNCQ CANAC, Inc. + XCDR CDR Pigments and Dispersions + CRSL Central Railink Services, LLC + CFE Chicago, Ft. Wayne & Eastern + CMC CMC RR Inc. + CMRX CMRX + CSX CSX Transportation + CVYR Caddo Valley RR Co. + CLDT Cafe Lafayette Dinner Train + CWCY Caldwell County RR Co. + CSMX Calera & Shelby RR & Museum, Inc. + CFNR California Northern RR Co. + CSRM California State RR Museum + CWR California Western RR + PCMZ Caltrain Commuter RR Co. + CCRA Camp Chase Industrial RR Corp + CADX Can Do, Inc + CN Canadian National - North America +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 4 Railroad Codes + CP Canadian Pacific Rwy Co. + CFWR Caney Fork & Western RR + CVRC Cannon Valley RR Co. + CRRX Canon City And Royal Gorge RR, LLC + CTN Canton RR Co + CCCX Cape Cod Central + CF Cape Fear Rwys, Inc. + CMSX Cape May Seashore Lines, Inc. + CMTY Capital Metropolitan Transportation Authority + CGIF Cargill Inc Iowa Falls + CGIV Cargill Inc. GOSCNA + CLNA Carolina Coastal Rwy, Inc. + CDTX Carolina Diner Train, Inc. + CFCX Carolina Forge Co. + CALA Carolina Southern RR Co., The + CZRY Carrizo Gorge Rwy Inc. + CARR Carrollton RR + CKSI Carthage, Knightstown & Shirley RR + CSCD Cascade & Columbia River RR + CASS Cass Scenic + CMRR Catskill Mountain RR + CIC Cedar Rapids & Iowa City Rwy Co. + CEDR Cedar River RR Co. + CBRR Central Branch RR + CCT Central California Traction Co. + CFCR Central Florida Commuter Rail Transit + CFRC Central Florida Rail Corridor + CIRY Central Illinois RR Co. + CEIW Central Indiana & Western RR Co. + CIR Central Iowa RR + CMR Central Midland Rwy Co. + CM Central Montana RR + CNZR Central New England RR Co., Inc. + CNYK Central New York RR Corp. + CORP Central Oregon & Pacific RR, Inc + CPSR Central Puget Sound Regional Trans Authority + CIND Central RR Co. Of Indiana + CERA Central RR Co. Of Indianapolis + CWA Central Washington RR Co. + CATS Charlotte Area Transit System + CHS Charlotte Southern RR Co. + CHAT Chattahoochee Bay RR + CIRR Chattahoochee Industrial RR + CCKY Chattooga & Chickamauga RR + CHCX Chehalis & Centralia RR Association + CA Chesapeake & Albemarle RR Co. + CKIN Chesapeake & Indiana RR + CHR Chestnut Ridge Rwy Co. + CIW Chicago & Illinois Western RR +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 5 Railroad Codes + CPC Chicago Port RR Co. + CRL Chicago Rail Link + CSS Chicago Southshore & South Bend RR + CTM Chicago Term. RR + XCTA Chicago Transit Authority + CC Chicago, Central & Pacific RR Co + CCUO Chicago-Chemung RR Corp + CVR Cimarron Valley RR L C + CNRX Cincinnati Rwy Co., The + CIDX City Of Dayton + COHX City Of Henderson + COJB City Of Jonesboro + COPX City Of Portland + COP City Of Prineville Rwy + CIAX City of Auburn Port Authority + CCGD City of Cape Girardeau + KEOK City of Keokuk + CSIV City of Spencer, Iowa + XCOT City of Tremeton + XCMS City of West Memphis + CCRR Claremont Concord RR Corp + CLP Clarendon & Pittsford RR Co. + CCRL Cleveland Commercial RR Co., LLC + CWRO Cleveland Works Rwy Co + CTR Clinton Term. RR Co. + CTRR Cloquet Term. RR Co., Inc. + CW Colorado & Wyoming Rwy Co + CLC Columbia & Cowlitz Rwy Co. + CBRW Columbia Basin RR Co. Inc. + CBCX Columbia Business Center + CT Columbia Term. RR Co. + CAGY Columbus & Greenville Rwy Co. + CUOH Columbus & Ohio River RR + CWRY Commonwealth Rwy, Inc. + COEH Conecuh Valley RR + CDOT Conn. Dept. Of Transportation + CERZ Connecticut Electric Rwy + CSO Connecticut Southern RR Inc. + CNYX Conrad Yelvington + CTYX Conrail Train Yard & Repair Shop + CGBX Consolidated Grain & Barge Co. + CRSH Consolidated Rail Corp. + CONW Conway Scenic RR + CPMY Coopersville & Marne RR + CBR Coos Bay Rail Link + CBRY Copper Basin Rwy, Inc + CCPN Corpus Christi Term. RR Inc. + COER Crab Orchard & Egyptian RR + CTSR Cumbres & Toltec Scenic RR +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 6 Railroad Codes + CVSX Cuyahoga Valley Scenic Rwy + DAIR D & I RR Co. + DWRV D &W RR + DN Dakota Northern RR, Inc. + DSRC Dakota Southern Rwy Co. + DME Dakota, Minnesota & Eastern RR + DMVW Dakota, Missouri Valley & Western RR, Inc. + DART Dallas Area Rapid Transit + DGNO Dallas, Garland & Northeastern RR + DW Danville and Western Rwy Co. + DR Dardanelle & Russellville RR + DQE DeQueen & Eastern RR Co. + DT Decatur Junction Rwy Co. + DH Delaware & Hudson Rwy Co. + DURR Delaware & Ulster Rail Ride + DCLR Delaware Coast Line RR + DL Delaware Lackawanna RR + DC Delray Connecting RR Co. + DSRR Delta Southern RR Co. + DVS Delta Valley & Southern Rwy Co. + DCTA Denton County Transportation Authority + DRGR Denver & Rio Grande RR Co. + DRIR Denver Rock Island RR + DEMZ Dep Mine + DODA Department of Defense - Army + DLWR Depew, Lancaster & Western RR Co., Inc. + DCON Detroit Connecting RR + DE Detroit Edison + DESR Downeast Scenic RR + DSC Drake Switching Co., LLC + DCRR Dubois County RR + DNE Duluth & Northeastern RR Co. + DMIR Duluth, Missabe & Iron Range Rwy Co. + DWP Duluth, Winnipeg & Pacific Rwy + DSNG Durango & Silverton Narrow Guage RR Co. + DRHV Durango RR Historical Society + DGVX Durbin & Greenbrier Valley Scenic RR + DUPX E. I. Dupont + EBT East Broadtop RR & Coal Co. + EBSR East Brookfield & Spencer RR LLC + EACH East Camden & Highland RR Co. + ECTB East Chattanooga Belt Rwy Co. + ECBR East Cooper & Berkeley RR + EEC East Erie Commercial RR + EJR East Jersey RR & Term. Co. + ESPN East Penn RR LLC + ETRY East Tennessee Rwy, L.P. +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 7 Railroad Codes + EARY Eastern Alabama Rwy Co. + EIRR Eastern Idaho RR + EIRC Eastern Illinois RR Co. + EMRY Eastern Maine RR Co. + EWG Eastern Washington Gateway RR Co. + EASO Easx Corp./Easx RR Corporation + TXTX Econo Rail Corp. + EFRR Effingham RR Co. + EDW El Dorado & Wesson Rwy Co. + ECTM Electrick City Trolley Museum + EJE Elgin, Joliet & Eastern Rwy Co. + ELKR Elk River RR, Inc. + EERZ Ellis and Eastern Co. + EWR Erie Western Rwy + ESWR Escalanta Western Rwy + ELS Escanaba & Lake Superior RR Co. + EVWR Evansville Western Rwy, Inc. + EV Everett RR Co. + EBRR Exel Baytown RR + ESSV Exel Switching Service + FRR Falls Road RR Co. Inc. + FMRC Farmrail Corp. + FCRV Fayette Central RR + FRA Federal RR Administration + NDM Ferrocarriles Nacionales De Mexico + FMWX Fillmore and Western + FGLK Finger Lakes Rwy Corp. + FCRD First Coast RR Inc. + FBCR Fitchburg Commuter Rail + FIR Flats Industrial RR + FCEN Florida Central RR Co. + FDT Florida Department Transportation + FEC Florida East Coast Rwy Co. + FGC Florida Gulf Coast Railroad Museum, Inc. + FMID Florida Midland RR Co., Inc. + FNOR Florida Northern RR Co., Inc. + FRAX Florida Rail Adventures + FLYJ Flying J / Big West Oil + FP Fordyce & Princeton RR Co. + FRVT Fore River Transportation Corp. + FSR Fort Smith RR Co. + FWWR Fort Worth & Western RR + FVRR Fredonia Valley RR Inc. + FEVR Fremont & Elkhorn Valley RR + FRRV Frontier Rail Switch Service + FWHS Ft. Wayne Historical Society + FC Fulton County RR Co. + FCR Fulton County Rwy +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 8 Railroad Codes + + GATX GATX Rail + GIMY GITM Intermodal Yard + GSWY GITM Savannah Wharf Yard + GNRL GNP RLY Inc. + GVSR Galveston RR, L.P. + GCW Garden City Western Rwy Co. + GRW Gary Rwy Co. + GWWE Gateway Eastern RR Co. + GWWR Gateway Western Rwy + GWWL Gennesis Worldwide Logistics LLC + GLRX Georgetown Loop RR + GRR Georgetown RR Co. + GFRR Georgia & Florida Rwy + GC Georgia Central Rwy, L.P. + GMR Georgia Midland RR, Inc. + GNRR Georgia Northeastern RR Co. + GAP Georgia Power + GS Georgia Southern Rwy Co. + GSWR Georgia Southwestern RR Inc. + GWRC Georgia Woodlands RR + GET Gettysburg and Northern RR + GICX Giant Cement + GRC Glasgow Rwy Co. + GHDE Gold Hill Depot + GGMX Golden Gate RR Museum + GITM Golden Isles Term. RR, Inc. + GTRA Golden Triangle RR Co. + LACX Goodyear Tire And Rubber Co. + GU Grafton & Upton RR Co. + GNBC Grainbelt Corp. + GCRX Grand Canyon Rwy + GDLK Grand Elk RR, LLC + GR Grand Rapids Eastern RR Inc. + XGRT Grand Rivers Term. + GTW Grand Trunk Western RR Inc. + GRVV Grapevine Vintage RR + GLC Great Lakes Central RR + GRNW Great Northwest RR, Inc. + GSR Great Sandhills Rwy, Ltd. + GSM Great Smoky Mountains Rwy, The + GRWR Great Walton RR Co. + GWR Great Western Rwy of Colorado, LLC + GCRT Greater Cleveland Regional Transit Authority + GMRC Green Mountain RR Corp. + GRLW Greenville & Western Rwy Co. LLC + GRYR Grenada Rwy LLC + GORX Gulf And Ohio Rwys + GCSR Gulf, Colorado San Saba Rwy Corp. +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 9 Railroad Codes + GUX Gunderson Inc. + HGZX HGZX Industry + HRMZ HRMZ + HIRR Hainesport Industrial RR LLC + HB Hampton & Branchville RR Co. + HRT Hartwell RR Co. + HRSX Hawaiian Rwy Society + HOG Heart of Georgia RR, Inc. + HVRX Heber Valley RR Utah + HOB Henderson Overton Branch + HCAX Hennepin County Regional Rail + HR Heritage RR Corp + HPTD High Point, Thomasville & Denton RR Co. + HART Hillsborough Area Regional Trans. Authority + HWRV Hiwassee River RR + HVSR Hocking Valley Scenic Rwy + HRS Hollidaysburg and Roaring Spring RR Co. + HE Hollis & Eastern RR Co. + HHRV Hondo Rwy LLC + HCRR Honey Creek RR, Inc. + HOS Hoosier Southern RR + HVMV Hoosier Valley RR Museum + HRRC Housatonic RR Co., Inc. + HRR Huckleberry RR + HMCR Huntsville & Madison county RR Authority + HESR Huron & Eastern Rwy + IM IM Industry + ITSL ITS Technologies & Logistics, LLC. + INPR Idaho Northern & Pacific RR Co. + IMRR Illinois & Midland RR Inc + IC Illinois Central RR Co. + IRYM Illinois Rwy Museum + IR Illinois Rwy, Inc. + ILW Illinois Western RR Co. + ICRK Indian Creek RR Co. + IORY Indiana & Ohio Rwy + IERR Indiana Eastern RR LLC + IHB Indiana Harbor Belt RR Co. + IN Indiana Northeastern RR Co., Incorporated + INRD Indiana Rail Road Co. + IRM Indiana Rwy Museum + ISRR Indiana Southern RR Co., Inc + ISW Indiana Southwestern Rwy Co. + ITMZ Indiana Transportation Museum + IRSS Industrial Rwy Switching & Services + ILRV Inland Lakes Rwy + RSIX Intermodal Transfer, LLC +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 10 Railroad Codes + IAIS Iowa Interstate RR + IANR Iowa Northern Rwy Co. + IARR Iowa River RR Inc + ISR Iowa Southern RR Co. + IATR Iowa Traction RR Co. + JCIV Jacintoport International, LP + JPA Jacksonville Port Authority + JEFW Jefferson Warrior RR + JCAX Johnson County Airport Commission + JERX Joppa & Eastern RR Co. + JVRR Juniata Valley RR Co. + KWT K.W.T. Rwy, Inc. + KC Kanawha Central Rwy Co. + KRTX Kanawha River Term. + KBSR Kankakee, Beaverville & Southern RR Co. + KCS Kansas City Southern Rwy Co. + KCT Kansas City Term. Rwy Co. + KCTL Kansas City Transportation Co LLC + KO Kansas and Oklahoma RR + KKRX Kaskaskia Regional Port District + KAW Kaw River RR + KTR Kendallville Term. Rwy Co. + KT Kentucky & Tennessee Rwy + KRM Kentucky Rwy Museum + KJRY Keokuk Junction Rwy + KRSV Keolis Rail Services Virginia, LLC + KFR Kettle Falls International Rwy LLC + KRR Kiamichi RR Co. LLC + KJR Kiski Junction RR + KNOR Klamath Northern Rwy Co. + KXHR Knoxville & Holston River RR Co., Inc. + KSRY Koscuisko And Southwestern Rwy + KYLE Kyle RR Co. + LRY LRY LLC + LYNX LYNX Light Rail System + LCRA Lackawanna County RR Authority + LKP Lahaina Kaanapoli And Pacific + LCHD Lake Charles Harbor District + LCR Lake County RR + LMIC Lake Michigan & Indiana RR Co. + LSRX Lake Shore Rwy + LSRC Lake State Rwy Co. + LSI Lake Superior & Ishpeming RR Co. + LSMR Lake Superior & Mississippi RR + LSMT Lake Superior RR Museum + LT Lake Term. RR Co. +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 11 Railroad Codes + LWAT Lake Whatcom Rwy + LC Lancaster & Chester Rwy Co. + LVR Landisville RR, LLC + LNO Laona & Northern Rwy + LIRR Lapree Industrial RR + LMR Last Mountain Rwy + LRS Laurinburg & Southern RR Co. + LCSR Leadville, Colorado & Southern RR, Co. + LMMV Lebanon Mason Monroe RR + LRWY Lehigh Rwy, LLC + LVRX Lehigh Valley Rail Management + LMAX Lenar Marie Island + LFIZ Litchfield Industrial RR + LKRR Little Kanawha River Rail + LRR Little River RR + LRWN Little Rock & Western Rwy, L.P. + LRPA Little Rock Port RR Co. + LAL Livonia, Avon & Lakeville RR Corp. + LDLV Lodestar Logistics + LER Logansport & Eel River Short Line Co., Inc. + LSIZ Lone Star Industries + LI Long Island Rail Road + LS Longview Switching + LACZ Los Angeles County Metropolitan Trans Authority + LAJ Los Angeles Junction Rwy Co. + LDCX Louis Dreyfus Corp/Galena Park Term. + LDRR Louisiana & Delta RR + LNW Louisiana & North West RR Co. + LAS Louisiana Southern + LSTX Louisiana Steam Train Association + LIRC Louisville & Indiana RR Co. + LW Louisville & Wadley Rwy Co. + LNAL Louisville, New Albany & Corydon RR + LBR Lowville & Beaver River RR Co. + LXVR Luxapalila Valley RR Inc. + LSX Luzerene & Susquehanna Rwy Co. + LVRR Lycoming Valley RR Co. + MNBR M & B RR LLC + MGRI M. G. Rail, Inc + MACZ MARC Train Service + STLM METRO + MPLX Minnesota Prairie Line + MUNX MUNI - Municipal Transportation Agency + CMPA Madison RR Division + MAA Magma Arizona RR Co. + MVRY Mahoning Valley RR Co. + MERR Maine Eastern RR + MNGX Maine Narrow Gauge RR +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 12 Railroad Codes + MRSE Manteno Rail Service Corp. + MJ Manufacturers' Junction Rwy Co. + MRS Manufacturers' Rwy Co. + MQT Marquette Rail LLC + MDDE Maryland & Delaware RR Co. + MMID Maryland Midland Rwy, Inc. + MTAX Mass Transit Administration + XMBT Mass. Bay Trans. Authority + MBTA Massachusetts Bay Transit Authority + MCER Massachusetts Central RR Corp + MCRL Massachusetts Coastal RR LLC + MSTR Massena Term. RR Co. + MAW Maumee & Western RR Corp. + MCR Mccloud Rwy Co. + MKC Mckeesport Connecting RR Co. + MSN Meeker Southern RR + MATA Memphis Area Transit Authority + MGRZ Merchant's Grain Rail, Inc. + MDS Meridian Southern Rwy LLC + MNCW Metro North Commuter RR Co. + MRTA Metro Regional Transit Authority + MTAV Metro Regional Transit Authority + MRTV Metro Transit + MTPS Metropolitan Stevedore + MAL Michigan Air-Line Rwy Co. + MS Michigan Shore RR + MSO Michigan Southern RR Co., Inc. + MSTP Michigan State Trust For Rwy Preservation + MITM Michigan Transit Museum + MCRY Mid-Continent Rwy + MMRR Mid-Michigan RR Co. + MIDH Middletown & Hummelstown RR Co. + MNJ Middletown & New Jersey RR LLC + MADE Middletown Area Development Enterprise + MDRY Midlands Rwy + MBRX Milford-Bennington RR Co. + MRSX Military Ocean Term. RR At Sunny Point + MMR Minnesota & Manitoba RR + MNNR Minnesota Commercial Rwy + MNN Minnesota Northern RR Inc. + MPLI Minnesota Prairie Line, Inc. + MSWY Minnesota Southern Rwy, Inc. + MTFR Minnesota Transfer Rwy Co. + MNTX Minnesota Transportation Museum + MVRA Minnesota Valley Regional Rail Authority + MZL Minnesota Zephyr, Limited + MDW Minnesota, Dakota & Western Rwy Co. + MMT Mission Mountain RR + MSV Mississippi & Skuna Valley RR Co +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 13 Railroad Codes + MSCI Mississippi Central RR Co. + MSDR Mississippi Delta RR + MSE Mississippi Export RR Co. + MSR Mississippi Southern RR + MTNR Mississippi Tennessee RR LLC + MSRW Mississippian Rwy Cooperative, Inc. + MNA Missouri & Northern Arkansas RR Co., Inc. + MVP Missouri & Valley Park RR Corp + MNC Missouri North Central RR + MET Modesto & Empire Traction Co. + MNRR Modoc Northern RR Co. + MHWA Mohawk, Adirondack & Northern RR Corp. + MCRR Monongahela Connecting RR Co. + MRL Montana Rail Link + MRMZ Monticello Rwy Museum + MMA Montreal, Maine and Atlantic Rwy, Ltd. + MHSF Morehead & South Fork RR Co. Inc. + MCDX Morris County DOT + ME Morristown & Erie Rwy, Inc. + MTBD Morton Buildings + MCSA Moscow, Camden & San Augustine RR + MOPH Motive Power - Houston + MH Mount Hood Rwy Co. + MRSR Mount Rainier Scenic RR + MVT Mount Vernon Term. Rwy, Inc. + METW Municipality of East Troy + MCSX Music City Starr + MCCP Muskogee City-County Port Authority + NCMX N C Transportation Museum Foundation + NDCR N. D. C. RR Co. + NJT N. J. Dept. of Transportation + NCOC National Coal Corp. + NVRR Napa Valley RR + NCYR Nash County RR + NERR Nashville & Eastern RR + NWR Nashville & Western RR Corp. + NTZR Natchez Rwy LLC + NSWS National Switching Services + NAUG Naugatuck RR Co. Inc. + NRI Nebkota Rwy, Inc. + NCRC Nebraska Central RR + NENE Nebraska Northeastern Rwy Co. + NNW Nebraska Northwestern RR, Inc + NKCR Nebraska, Kansas, Colorado Railnet + VTRW Nevada Comm. for the Recon of the V&T Rwy + NCRV Nevada Commission/Reconstruction of V&T Rwy + NNRX Nevada Northern Rwy + NVSV Nevada Southern Rwy +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 14 Railroad Codes + NSMU Nevada State Museum + NBSR New Brunswick Southern Rwy Co., LTD + NCIR New Castle Industrial RR + NECR New England Central RR + NEGS New England Southern RR Co., Inc. + NHCR New Hampshire Central RR, Inc. + NHN New Hampshire North Coast RR + NHRR New Hope & Ivyland Rail Road + NHVX New Hope Valley Rwy/NC RR Museum + NJRC New Jersey Rail Carrier, LLC. + NJTR New Jersey Transit Rail Operations + NMRX New Mexico Rail Runner Express + NMSX New Mexico Steam Locomotive and RR Hist. Sociaty + NOGC New Orleans & Gulf Coast Rwy Co. Inc. + NOPB New Orleans Public Belt RR + NRRX New River Rwy + NYA New York & Atlantic Rwy Co. + NYGL New York & Greenwood Lake Rwy + NYLE New York & Lake Erie + NYOG New York & Ogdensburg Rwy Co. Inc. + NYCT New York Container Term. + NYNJ New York New Jersey Rail LLC + NYSW New York, Susquehanna & Western RR Co. + NSR Newburgh & South Shore RR + NPDX Newport Dinner Train + NICX Niles Canyon Rwy + NTRY Nimishillen & Tuscarawas, LLC + NBER Nittany & Bald Eagle + NPB Norfolk & Portsmouth Belt Line RR Co. + NS Norfolk Southern Corp. + NARZ North Alabama RR Museum + NCVA North Carolina & Virginia RR Co. + DTNC North Carolina Department Of Transportation + NCT North Charleston Term. Co. + NSHR North Shore RR + NSSR North Shore Scenic RR + NIRC Northeast IL Regional Commuter Rail Corp. + NICD Northern Indiana Commuter Transportation District + NLR Northern Lines Rwy LLC + NOW Northern Ohio & Western Rwy, LTD. + NPR Northern Plains RR, Inc. + NSCR Northstar Corridor Rail + NOKL Northwestern Oklahoma RR Co. + OTR Oakland Term. Rwy + ORC Ogeechee RR Co. + OHIC Ohi Rail Corp. + OHCR Ohio Central RR Co. + ORDC Ohio Rail Development Commission +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 15 Railroad Codes + OSRR Ohio Southern RR Co. + OVR Ohio Valley RR Co. + OCTL Oil Creek & Titusville Lines + OKGE Oklahoma General Electric + OKRX Oklahoma Rwy Museum Ltd + OAR Old Augusta RR Co. + OC Olin Corp. + OPPX Omaha Public Power District + OLB Omaha, Lincoln & Beatrice Rwy Co. + ONCT Ontario Central RR Corp. + OMID Ontario Midland RR Corp. + OERY Orange Empire Rwy Museum + OCSR Oregon Coast Scenic RR + OERR Oregon Eastern RR + OGE Oregon Great Eastern + OPR Oregon Pacific RR Co. + ORUZ Orlando Utilities Commission + OSCV Osceola & St. Croix Valley Rwy + OTVR Otter Tail Valley RR Co., Inc. + OUCH Ouachita RR + OLTX Over Land Trucking and Rail + OHRY Owego & Harford Rwy, Inc. + OVRR Ozark Valley RR Inc. + PLVW Port of Longview + PSC PYCO Industries Inc. + PARN Pacific & Arctic RR & Navigation Co. + PHL Pacific Harbor Line Inc. + PRPX Pacific RR Preservation Association + PRSX Pacific Rail Services + PSRM Pacific SW Rwy Museum + PSRR Pacific Sun RR, LLC + PI Paducah & Illinois RR Co. + PAL Paducah & Louisville Rwy Co. + PCC Palouse River & Coulee City RR Inc. + GRS Pam Am Rwys/Guilford System + PAS Pan Am Southern, LLC. + PWCV Pan Western Corp. + PNR Panhandle Northern RR Co. + PBR Patapsco & Back Rivers RR Co. + PVS Pecos Valley Southern Rwy Co. + PDRR Pee Dee River Rwy Corp. + POVA Pend Oreille Valley RR, Inc + PCJX Peninsula Cooridor Joint Powers Board + PT Peninsula Term. Co. + PSCC Pennsylvania & Southern Rwy, LLC + PSWR Pennsylvania Southwestern RR, Inc. + PPHW Peoria, Peoria Heights & Western RR + PICK Pickens Rwy Co. +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 16 Railroad Codes + PRY Pioneer Industrial Rwy Co. + PWJ Pioneer RR Co., Inc. + PVRR Pioneer Valley RR Co., Inc. + PCDX Pittsburgh & Conneaut Dock Co., The + POHC Pittsburgh & Ohio Central RR Co., The + PAM Pittsburgh, Allegheny & Mckees Rocks RR + PMSW Plainsman Switching Co. + PLL Plymouth & Lincoln + PCN Point Comfort & Northern Rwy Co. + PRCL Pola Red Car Line + PATH Port Authority Trans Hudson + PAAC Port Authority of Allegheny County + PBVR Port Bienville RR + PHRR Port Harbor RR, Inc. + PJR Port Jersey RR Co. + POCA Port of Catoosa Term. RR + PLAX Port of Los Angeles + MAUP Port of Manatee + POMJ Port of Milwaukee + POAK Port of Oakland + PPBD Port of Palm Beach Term. + POPZ Port of Pasco + POSX Port of Sacramento + POTB Port of Tillamook Bay RR + PSAN Port San Antonio + PTRA Port Term. RR Association + PTR Port Term. RR of South Carolina + PUCC Port Utilities Commission of Charleston, S.C. + PGBX Port of Greater Baton Rouge + PMKX Port of Muskogee RR + PSDX Port of San Diego + PSBX Port of Shreveport-Bossier, The + PNWR Portland & Western RR, Inc. + PTO Portland Term. + PVJR Portland Vancouver Junction RR + PEX Potomac Eagle Scenic Rail Excursion + PNW Prescott & Northwestern RR Co. + PROQ Progress Rail Switching Service + PGR Progressive Rail Inc + PW Providence & Worcester RR Co. + PSOZ Public Service of Oklahoma + PBRF Pueblo RR Museum + PSAP Puget Sound & Pacific RR Co. + + QRR Quincy RR Co. + RJCK R J Corman RR Co./Tennessee Term. LLC + RJCN R. J. Corman RR Co./Allentown Lines, Inc. + RJCL R. J. Corman RR Co./Cleveland Line +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 17 Railroad Codes + RJCM R. J. Corman RR Co./Memphis Line + RJCP R. J. Corman RR Co./Pennsylvania Lines, Inc. + RJCV R. J. Corman RR Co./WV Line + RJCC R. J. Corman RR Co/Central Kentucky Lines + RJCR R. J. Corman RR Corp./Bardstown Line + RJCW R. J. Corman, Western Ohio Line + DUT RTD Denver Union Station + RAMX Rail America Limited + RLIX Rail Link Inc. + RLGX Rail Logix L.P. + RASX Rail Serve + RSIZ Rail Services, Inc. + RRTM Rail Term + RWTV Rail Works Track Systems, Inc. + NSRX Railroading Heritage of Midwest America Inc. + RTRX Railtown 1897 RR + RCRY Raritan Central Rwy LLC + RARW Rarus Rwy Co. + RRTX Rat River Transportation Co. + RERX Reader RR + RNRX Reading & Northern RR Systems + RBMN Reading Blue Mountain & Northern RR Commission + RRVW Red River Valley & Western RR + RRC Redmont Rwy Co. + RTA Regional Transportation Authority + NRTX Regional Transportation Authority-Nashville, TN + RTDZ Regional Transportation District + RCIB Rescar Industries - Beaumont + RCXM Rescar Location 715 Switching + RSCX Rescar + RRCV Respondek RR Corp. + RSOR Riceboro Southern Rwy LLC + RPRC Richmond Pacific RR Corp. + RBX Ringling Brothers, Barnum & Bailey Circus + RVSC Rio Valley Switching Co. + RVPR River Port RR + RSR Rochester Southern RR, Inc. + RRRR Rock & Rail Inc + RSS Rockdale, Sandow & Southern RR Co. + SSR S&S Shortline RR + VTAZ Santa Clara Valley Transportation Authority + SCTR SCTRR, LLC + SGSC SGS Petroleum Service Corp. + SNY SMS Rail Lines of New York City LLC + SLRS SMS Rail Service, Inc. + SOO SOO Line RR Co. + SPNW SP News Print Co. + SRN Sabine River & Northern RR Co. +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 18 Railroad Codes + SCDT Sacramento County Department of Transportation + SCRT Sacramento County Regional Transit District + SAV Sacramento Valley RR + SL Salt Lake City Southern RR Co., Inc. + SLGW Salt Lake, Garfield & Western Rwy Co. + SBEX San Bernardino Rwy Historical Society + SDIY San Diego & Imperial Valley + SDNX San Diego Northern Rwy + SDTI San Diego Trolley Inc. + SFBY San Francisco Bay RR + SFBR San Francisco Belt RR + SJVR San Joaquin Valley RR Co. + SLRG San Luis & Rio Grande RR + SLC San Luis Central RR Co. + SMA San Manuel Arizona RR Co. + SPSR San Pedro & Southwestern RR Co. + SS Sand Springs Rwy Co. + SAN Sandersville RR Co. + SCCT Santa Clara County Transit District + SCBG Santa Cruz, Big Tree & Pacific RR + SFS Santa Fe Southern Rwy, Inc. + SMV Santa Maria Valley RR Co. + SBG Savage Bingham & Garfield RR Co. + SYSI Savage Yard Services, Inc. + SAPT Savannah Port Term. RR, Inc. + SSHV Seaside Holdings, Inc. + SVTX Seaview Transportation Co., Inc. + SGLR Seminole Gulf RR + SE Semo Port RR, Inc. + SQVR Sequatchie Valley RR + SVRR Shamokin Valley RR Co. + SABX Shaw Air Force Base + STR Shawnee Term. Rwy Co. + SVIZ Shelbyville Industrial RR + SHEL Shell Oil Co. + XSPU Shell Puget Sound Refinery + SV Shenandoah Valley RR + SLSV Short Line Services, Inc. + SLGG Sidney & Lowe RR Inc. + SERA Sierra Northern Rwy + SPKE Signal Peak Energy Corp. + SMRR Sisseton Milbank RR + SKTX Ski Train RR + SNVX Snoqualmie Valley RR + SOM Somerset RR Co + SCR Sounder Commuter Rail + SBVR South Branch Valley RR + SB South Buffalo Rwy Co. + SCRF South Carolina Central RR Co., Inc. +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 19 Railroad Codes + SCPB South Carolina Public Rwys Commission + RRWX South Carolina RR Museum, The + SCXF South Central Florida Express, Inc. + SCIH South Chicago & Indiana Harbor Rwy Co. + SCCR South County Commuter Rail + SFRV South Florida Regional Transit Authority + SKOL South Kansas & Oklahoma RR Co. + SLAL South Plains Lamesa RR, Ltd. + SRPX South River Railroad Project + XSPT Southeastern Penn. Trans. Authority + SEPA Southeastern Pennsylvania Transportation Authority + SPRX Southern Applachian Rwy Museum + SCAX Southern California Regional Rail Authority + SERX Southern Electric RR + SIND Southern Indiana Rwy, Inc. + SMRS Southern Michigan RR Society + SNJX Southern New Jersey Light Rail Group + SRNJ Southern RR Co. Of New Jersey + SSC Southern Switching Co. + SWP Southwest Pennsylvania RR Co. + SW Southwestern RR Co., Inc. + SPIX Spotsylvania County Industrial Park + SPCX Springerville & Coronada RR, Lines. + SCS Squaw Creek Southern RR + SMW St Marys Rwy West LLC + SCXY St. Croix Valley RR Co. + SLR St. Lawrence & Atlantic RR Co. + SLOI St. Louis, Iron Mountain, & Southern + STMA St. Maries River RR Co. + SM St. Marys RR Co. + SLZZ Standard Lafarge + SNCX Steamtown National Historic Site + SNHS Steamtown National Historical Society + SH Steelton & Highspire RR + STRT Stewartstown RR Co. + SLWC Stillwater Central RR Co., Inc. + SPBR Stockton Public Belt RR + STE Stockton Term. & Eastern RR + SRC Strasburg RR Co. + SUVX Sumpter Valley RR + SNR Sunflour RR, Inc. + SSMR Sunshine Mills RR + SWCX Sweetwater Central RR + SBNX Syracuse Binghampton And New York RR + TMBL Tacoma Municipal Belt Line Rwy + TRMW Tacoma Rail Mountain Division + TRIC Tahoe Reno Industrial Center + TTR Talley Rand Term. RR +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 20 Railroad Codes + THEA Tampa-Hillsborough County Expressway Authority + TZPR Tazewell & Peoria RR, Inc. + TC Temple & Central Texas Rwy, Inc. + TECX Tennessee Central RR + TSRR Tennessee Southern RR Co., Inc. + TVRM Tennessee Valley RR + TKEN Tennken RR Co. Inc. + TRRA Terminal RR Association Of St. Louis + TASD Terminal Rwy Alabama State Docks + TSWS Terminal Switching Services + TNMR Texas & New Mexico RR Co. + TN Texas & Northern Rwy Co. + TXOR Texas & Oklahoma RR Co. + TCT Texas City Term. Rwy Co. + TXNW Texas Northwestern Rwy Co. + TXPF Texas Pacifico Transportation Limited + TXR Texas Rock Crusher Rwy Co. + TSE Texas South-Eastern RR Co. + TSR Texas State RR + TXGN Texas, Gonzales & Northern Rwy Co. + TBRY Thermal Belt Rwy + TNHR Three Notch RR + TIBR Timberrock RR Co., Inc. + TIOC Tioga Central RR + TCRX Tioga Central Rail Ex. + TISH Tishomingo RR Co., Inc. + TLEW Toledo Lake Erie & Western RR + TPW Toledo, Peoria & Western Rwy Corp. + TLCP Toledo-Lucas County Port Authority + TR Tomahawk Rwy, L.P. + TMSS Towanda Monroeton Shippers Lifeline, Inc. + TTAX Trailer Train + TTI Trans Kentucky RR. + TRRJ Transco Railcar Repair, Inc. + TAMX TransitAmerica, LLC + TTIS Transkentucky Transportation RR, Inc. + TCRY Tri-City RR Co. + TCRV Tri-City Railcar Repair + TMEV Tri-Met Westside Express Service + TRE Trinity Rwy Express + TREX Trinity Rwy Express + TRSZ Triple Crown Service + TMNY Trolley Museum of New York + TRC Trona Rwy Co. + TSU Tulsa-Sapulpa Union Rwy Co. LLC + TCKR Turtle Creek Industrial RR, Inc. + TCWR Twin City & Western RR + TYBR Tyburn RR Co. +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 21 Railroad Codes + USRS U S. Rail/Salem + USAD U. S. Army Depot + USRP U. S. Rail Corp. + USRO U.S. Rail Corp/Ohio + USSZ U.S. Sugar Co. + UPIX USS - Posco Industries + UFRC UTA FrontRunner Commuter Rail + UCIR Union County Industrial RR Co. + UPME Union Pacific Metra + UP Union Pacific RR Co. + URR Union RR Co. + USAF United States Air Force + USG United States Gypsum + UHRX Upper Hudson River RR + UMP Upper Merion & Plymouth RR Co. + UCRY Utah Central Rwy Co. + UTAH Utah Rwy Co. + UTAX Utah Transit Authority + VSR V and S Rwy, Inc. + VST V&S Rwy Inc D d/b/a/Towner Railway + VR Valdosta Rwy, L.P. + VMTR Valley Metro Rail + VALE Valley RR Co. + VRRC Vandalia RR Co. + VRCX Vaughan RR Co. + VCRR Ventura County RR Co. + VVRR Vermillion Valley RR Co., Inc. + VTR Vermont Rwy, Inc. + VSOR Vicksburg Southern RR, Inc. + VTRR Virginia & Truckee RR Co., Inc. + VC Virginia Central Rwy + VPAX Virginia Port Authority + VREX Virginia Rwy Express + VSRR Virginia Southern RR + VREE Vreeland Rail LLC + VM Vulcan Materials Co. + WCTR WCTU Rwy + WBCR Wabash Central RR Corp. + WCLR Waccamaw Coast Line RR Co. + WS Walkersville Southern RR, Inc. + WHOE Walking Horse & Eastern RR Co. + WURR Wallowa Union RR Authority + WAKS Wannamakers, Kempton And Southern + WSR Warren & Saline River RR Co. + WTRM Warren & Trumbull RR Co., The + WIR Washington & Idaho Rwy, Inc. + WACR Washington County RR Corp. +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 22 Railroad Codes + WI Watco Switch Indiana + WATX Watco Switching + WCOR Wellsboro & Corning RR Co. + WCRL West Chester RR Co. + WESZ West Erie Shortline + WFS West Isle Line Inc. + WJSL West Jersey Short Line + WMI West Michigan RR Co. + WTNN West Tennessee RR Corp. + WTUX West Texas Utility + WTLC West Texas and Lubbock Rwy Co. + WVC West Virginia Central RR + WKRL Western Kentucky Rwy, LLC + WMSR Western Maryland Scenic RR + WNYP Western New York & Pennsylvania RR LLC + WRRC Western RR Co. + WRS Western Rail Switching, Inc. + WRM Western Rwy Museum + WCTX Weyerhaeuser Woods RRs + WE Wheeling & Lake Erie Rwy Co. + WVRR Whitewater Valley RR + WTA Wichita Term. Association + WTJR Wichita, Tillman & Jackson Rwy Co., Inc. + WBC Wilkes-Barre Connecting RR Co. + WPRR Willamette & Pacific RR, Inc. + WVR Willamette Valley Rwy Co. + WWRC Wilmington & Western RR Co. + WTRY Wilmington Term. RR Inc. + WSRY Winamac Southern Rwy Co. + WW Winchester & Western RR Co. + WRCC Winnipesaukee RR Corp. + WSS Winston-Salem Southbound Rwy + WST Winston-Salem Term. Co. + WGCR Wiregrass Central RR Co. + WGNX Wisconsin & Great Northern + WSOR Wisconsin & Southern RR Co. + WC Wisconsin Central Ltd. + WGNS Wisconsin Great Northern RR, Inc. + WN Wisconsin Northern RR + WYET Wye Transportation Corp + WYCO Wyoming & Colorado RR + YCR YCR Corp. + YVRR Yadkin Valley RR Co. + YSVR Yellowstone Valley RR Inc. + YRC York Rwy Co. + YARR Youngstown & Austintown RR + YB Youngstown Belt RR Co., The + YSRR Yountstown & Southeastern RR Co., Inc. +FRA Guide for Preparing Accident/Incident Reports + + +Appendix A - 23 Railroad Codes + YW Yreka Western RR Co. + ZWSX Zanesville & Western Scenic RR +FRA Guide for Preparing Accident/Incident Reports +Appendix B - 1 State Codes +APPENDIX B +State Codes +AL Alabama SC South Carolina +AK Alaska SD South Dakota +AZ Arizona TN Tennessee +AR Arkansas TX Texas +CA California UT Utah +CO Colorado VT Vermont +CT Connecticut VA Virginia +DE Delaware WA Washington +DC District of Columbia WV West Virginia +FL Florida WI Wisconsin +GA Georgia WY Wyoming +HI Hawaii +ID Idaho +IL Illinois +IN Indiana +IA Iowa +KS Kansas +KY Kentucky +LA Louisiana +ME Maine +MD Maryland +MA Massachusetts +MI Michigan +MN Minnesota +MS Mississippi +MO Missouri +MT Montana +NE Nebraska +NV Nevada +NH New Hampshire +NJ New Jersey +NM New Mexico +NY New York +NC North Carolina +ND North Dakota +OH Ohio +OK Oklahoma +OR Oregon +PA Pennsylvania +RI Rhode Island +FRA Guide for Preparing Accident/Incident Reports +Train Accident Appendix C - 1 Cause Codes +APPENDIX C +Train Accident Cause Codes +TRACK, ROADBED AND STRUCTURES + +Roadbed +T001 Roadbed settled or soft +T002 Washout/rain/slide/flood/snow/ice damage to track +T099 Other roadbed defects (Provide detailed description in narrative) +Track Geometry +T101 Cross level of track irregular (at joints) +T102 Cross level of track irregular (not at joints) +T103 Deviation from uniform top of rail profile +T104 Disturbed ballast section +T105 Insufficient ballast section +T106 Superelevation improper, excessive, or insufficient +T107 Superelevation runoff improper +T108 Track alignment irregular (other than buckled/sunkink) +T109 Track alignment irregular (buckled/sunkink) +T110 Wide gage (due to defective or missing crossties) +T111 Wide gage (due to defective or missing spikes or other rail fasteners) +T112 Wide gage (due to loose, broken, or defective gage rods) +T113 Wide gage (due to worn rails) +T199 Other track geometry defects (Provide detailed description in narrative) +Rail, Joint Bar and Rail Anchoring + +T201 Broken Rail - Bolt hole crack or break +T202 Broken Rail - Base +T203 Broken Rail - Weld (plant) +T204 Broken Rail - Weld (field) +T205 Defective or missing crossties (use code T110 if results in wide gage) +T206 Defective spikes or missing spikes or other rail fasteners (use code T111 if results in wide gage) +T207 Broken Rail - Detail fracture from shelling or head check +T208 Broken Rail - Engine burn fracture +T210 Broken Rail - Head and web separation (outside joint bar limits) +T211 Broken Rail - Head and web separation (within joint bar limits) +T212 Broken Rail - Horizontal split head +T213 Joint bar broken (compromise) +T214 Joint bar broken (insulated) +T215 Joint bar broken (noninsulated) +T216 Joint bolts, broken, or missing +T217 Mismatched rail-head contour +T218 Broken Rail - Piped rail +T219 Rail defect with joint bar repair +T220 Broken Rail - Transverse/compound fissure +APPENDIX C - Continued +Train Accident Appendix C - 2 Cause Codes +FRA Guide for Preparing Accident/Incident Reports +T221 Broken Rail - Vertical split head +T222 Worn rail +T223 Rail Condition - Dry rail, freshly ground rail +T224 Rail defect originating from bond wire attachment (Provide description in narrative) +T299 Other rail and joint bar defects (Provide detailed description in narrative) +Frogs, Switches and Track Appliances + +T301 Derail, defective +T302 Expansion joint failed or malfunctioned +T303 Guard rail loose/broken or mislocated +T304 Railroad crossing frog, worn or broken +T305 Retarder worn, broken, or malfunctioning +T306 Retarder yard skate defective +T307 Spring/power switch mechanism malfunction +T308 Stock rail worn, broken or disconnected +T309 Switch (hand operated) stand mechanism broken, loose, or worn +T310 Switch connecting or operating rod is broken or defective +T311 Switch damaged or out of adjustment +T312 Switch lug/crank broken +T313 Switch out of adjustment because of insufficient rail anchoring +T314 Switch point worn or broken +T315 Switch rod worn, bent, broken, or disconnected +T316 Turnout frog (rigid) worn, or broken +T317 Turnout frog (self guarded), worn or broken +T318 Turnout frog (spring) worn, or broken +T319 Switch point gapped (between switch point and stock rail) +T399 Other frog, switch and track appliance defects (Provide detailed description in narrative) +Other Way and Structure + +T401 Bridge misalignment or failure +T402 Flangeway clogged +T403 Engineering design or construction +T404 Catenary system defect +T499 Other way and structure defect (Provide detailed description in narrative) +SIGNAL AND COMMUNICATION + +S001 Automatic cab signal displayed false proceed +S002 Automatic cab signal inoperative +S003 Automatic train control system inoperative +S004 Automatic train-stop device inoperative +S005 Block signal displayed false proceed +S006 Classification yard automatic control system switch failure +S007 Classification yard automatic control system retarder failure +S008 Fixed signal improperly displayed (defective) +S009 Interlocking signal displayed false proceed +S010 Power device interlocking failure +S011 Power switch failure +APPENDIX C - Continued +Train Accident Appendix C - 3 Cause Codes +FRA Guide for Preparing Accident/Incident Reports +S012 Radio communication equipment failure +S013 Other communication equipment failure +S014 Computer system design error (vendor) +S015 Computer system configuration/management error (vendor) +S016 Classification yard automatic control system - Inadequate or insufficient control (e.g., automatic cycling, +other software/programming deficiencies, etc.) +S099 Other signal failures (Provide detailed description in narrative) +S101 Remote control transmitter defective +S102 Remote control transmitter, loss of communication +S103 Radio controlled switch communication failure +S104 Radio controlled switch not locked effectively (Equipment Failure) +MECHANICAL AND ELECTRICAL FAILURES +Brakes + +E00C Air hose uncoupled or burst +E00L Air hose uncoupled or burst (LOCOMOTIVE) +E01C Hydraulic hose uncoupled or burst +E01L Hydraulic hose uncoupled or burst (LOCOMOTIVE) +E02C Broken brake pipe or connections +E02L Broken brake pipe or connections (LOCOMOTIVE) +E03C Obstructed brake pipe (closed angle cock, ice, etc.) +E03L Obstructed brake pipe (closed angle cock, ice, etc.) (LOCOMOTIVE) +E04C Other brake components damaged, worn, broken, or disconnected +E04L Other brake components damaged, worn, broken, or disconnected (LOCOMOTIVE) +E05C Brake valve malfunction (undesired emergency) +E05L Brake valve malfunction (undesired emergency) (LOCOMOTIVE) +E06C Brake valve malfunction (stuck brake, etc.) +E06L Brake valve malfunction (stuck brake, etc.) (LOCOMOTIVE) +E07C Rigging down or dragging +E07L Rigging down or dragging (LOCOMOTIVE) +E08C Hand brake (including gear) broken or defective +E08L Hand brake (including gear) broken or defective (LOCOMOTIVE) +E0HC Hand brake linkage and/or connections broken or defective +E0HL Hand brake linkage/Connections broken/defective (LOCOMOTIVE) +E09C Other brake defects, cars (Provide detailed description in narrative) +E09L Other brake defects, (Provide detailed description in narrative) (LOCOMOTIVE) +E10L Computer controlled brake communication failure (LOCOMOTIVE) +Trailer or Container on Flatcar + +E11C Broken or defective tiedown equipment +E12C Broken or defective container +E13C Broken or defective trailer +E19C Other trailer or container on flat car defects (Provide detailed description in narrative) +APPENDIX C - Continued +Train Accident Appendix C - 4 Cause Codes +FRA Guide for Preparing Accident/Incident Reports +Body + +E20C Body bolster broken or defective +E20L Body bolster broken or defective (LOCOMOTIVE) +E21C Center sill broken or bent +E21L Center sill broken or bent (LOCOMOTIVE) +E22C Draft sill broken or bent +E22L Draft sill broken or bent (LOCOMOTIVE) +E23C Center plate broken or defective +E23L Center plate broken or defective (LOCOMOTIVE) +E24C Center plate disengaged from truck (car off center) +E24L Center plate disengaged from truck unit/off center (LOCOMOTIVE) +E25C Center pin broken or missing +E25L Center pin broken or missing (LOCOMOTIVE) +E26C Center plate attachment defective +E26L Center plate attachment defective (LOCOMOTIVE) +E27C Side sill broken +E27L Side sill broken (LOCOMOTIVE) +E29C Other body defects, (CAR) (Provide detailed description in narrative) +E29L Other body defects, (LOCOMOTIVE) (Provide detailed description in narrative) +Coupler and Draft System + +E30C Knuckle broken or defective +E30L Knuckle broken or defective (LOCOMOTIVE) +E31C Coupler mismatch, high/low +E31L Coupler mismatch, high/low (LOCOMOTIVE) +E32C Coupler drawhead broken or defective +E32L Coupler drawhead broken or defective (LOCOMOTIVE) +E33C Coupler retainer pin/cross key missing +E33L Coupler retainer pin/cross key missing (LOCOMOTIVE) +E34C Draft gear/mechanism broken or defective (including yoke) +E34L Draft gear/mechanism broken/defective (including yoke) (LOCOMOTIVE) +E35C Coupler carrier broken or defective +E35L Coupler carrier broken or defective (LOCOMOTIVE) +E36C Coupler shank broken or defective (includes defective alignment control) +E36L Coupler shank broken or defective (includes defective alignment control) (LOCOMOTIVE) +E37C Failure of articulated connectors +E37L Failure of articulated connectors (LOCOMOTIVE) +E39C Other coupler and draft system defects, (CAR) (Provide detailed description in narrative) +E39L Other coupler and draft system defects, (LOCOMOTIVE) (Provide detailed description in narrative) + +Truck Components + +E40C Side bearing clearance insufficient +E40L Side bearing clearance insufficient (LOCOMOTIVE) +E41C Side bearing clearance excessive +E41L Side bearing clearance excessive (LOCOMOTIVE) +E42C Side bearing(s) broken +E42L Side bearing(s) broken (LOCOMOTIVE) +APPENDIX C - Continued +Train Accident Appendix C - 5 Cause Codes +FRA Guide for Preparing Accident/Incident Reports +E43C Side bearing(s) missing +E43L Side bearing(s) missing (LOCOMOTIVE) +E44C Truck bolster broken +E44L Truck bolster broken (LOCOMOTIVE) +E45C Side frame broken +E45L Side frame broken (LOCOMOTIVE) +E46C Truck bolster stiff, improper swiveling +E4AC Gib Clearance (lateral motion excessive) +E4BC Truck bolster stiff (failure to slew) +E46L Truck bolster stiff, improper lateral or improper swiveling (LOCOMOTIVE) +E47C Defective snubbing (including friction and hydraulic) +E47L Defective snubbing (LOCOMOTIVE) +E48C Broken, missing, or otherwise defective springs (including incorrect repair and/or installation) +E48L Broken, missing, or otherwise defective springs (LOCOMOTIVE) +E4TC Truck hunting +E4TL Truck hunting (LOCOMOTIVE) +E49C Other truck component defects, including mismatched side frames (CAR) (Provide detailed description in +narrative) +E49L Other truck component defects, (LOCOMOTIVE) (Provide detailed description in narrative) +Axles and Journal Bearings + +E51C Broken or bent axle between wheel seats +E51L Broken or bent axle between wheel seats (LOCOMOTIVE) +E52C Journal (plain) failure from overheating +E52L Journal (plain) failure from overheating (LOCOMOTIVE) +E53C Journal (roller bearing) failure from overheating +E53L Journal (roller bearing) failure from overheating- LOCOMOTIVE +E54C Journal fractured, new cold break +E54L Journal fractured, new cold break (LOCOMOTIVE) +E55C Journal fractured, cold break, previously overheated +E55L Journal fractured, cold break, previously overheated (LOCOMOTIVE) +E59C Other axle and journal bearing defects (CAR) (Provide detailed description in narrative) +E59L Other axle and journal bearing defects (LOCOMOTIVE) (Provide detailed description in narrative) +Wheels + +E60C Broken flange +E60L Broken flange (LOCOMOTIVE) +E61C Broken rim +E61L Broken rim (LOCOMOTIVE) +E62C Broken plate +E62L Broken plate (LOCOMOTIVE) +E63C Broken hub +E63L Broken hub (LOCOMOTIVE) +E64C Worn flange +E64L Worn flange (LOCOMOTIVE) +E65C Worn tread +E65L Worn tread (LOCOMOTIVE) +E66C Damaged flange or tread (flat) +E66L Damaged flange or tread (flat) (LOCOMOTIVE) +APPENDIX C - Continued +Train Accident Appendix C - 6 Cause Codes +FRA Guide for Preparing Accident/Incident Reports +E67C Damaged flange or tread (build up) +E67L Damaged flange or tread (build up) (LOCOMOTIVE) +E68C Loose wheel +E68L Loose wheel (LOCOMOTIVE) +E6AC Thermal crack, flange or tread +E6AL Thermal crack, flange or tread (LOCOMOTIVE) +E69C Other wheel defects (CAR) (Provide detailed description in narrative) +E69L Other wheel defects (LOCOMOTIVE) (Provide detailed description in narrative) +Locomotives + +E70L Running gear failure (LOCOMOTIVE) +E71L Traction motor failure (LOCOMOTIVE) +E72L Crank case or air box explosion (LOCOMOTIVE) +E73L Oil or fuel fire (LOCOMOTIVE) +E74L Electrically caused fire (LOCOMOTIVE) +E75L Current collector system (LOCOMOTIVE) +E76L Remote control equipment inoperative (LOCOMOTIVE) +E77L Broken or defective swing hanger or spring plank (LOCOMOTIVE) +E78L Pantograph defect (LOCOMOTIVE) +E7AL On-board computer - failure to respond (LOCOMOTIVE) +E7BL Third rail shoe or shoe beam (LOCOMOTIVE) +E79L Other locomotive defects (Provide detail description in narrative) +Doors + +E80C Box car plug door open +E81C Box car plug door, attachment defective +E82C Box car plug door, locking lever not in place +E83C Box car door, other than plug, open +E84C Box car door, other than plug, attachment defective +E85C Bottom outlet car door open +E86C Bottom outlet car door attachment defective +E89C Other car door defects (Provide detail description in narrative) +General Mechanical and Electrical Failures +E99C Other mechanical and electrical failures, (CAR) (Provide detailed description in narrative) +E99L Other mechanical and electrical failures, (LOCOMOTIVE) (Provide detailed description in narrative) +TRAIN OPERATION - HUMAN FACTORS + +Brakes, Use of + +H008 Improper operation of train line air connections (bottling the air) +H017 Failure to properly secure engine(s) (railroad employee) +H018 Failure to properly secure hand brake on car(s) (railroad employee) +H019 Failure to release hand brakes on car(s) (railroad employee) +H020 Failure to apply sufficient number of hand brakes on car(s) (railroad employee) +H021 Failure to apply hand brakes on car(s) (railroad employee) +APPENDIX C - Continued +Train Accident Appendix C - 7 Cause Codes +FRA Guide for Preparing Accident/Incident Reports +H022 Failure to properly secure engine(s) or car(s) (non railroad employee) +H025 Failure to control speed of car using hand brake (railroad employee) +H099 Use of brakes, other (Provide detailed description in narrative) +Employee Physical Condition + +H101 Impairment of efficiency or judgment because of drugs or alcohol +H102 Incapacitation due to injury or illness +H103 Employee restricted in work or motion +H104 Employee asleep +H199 Employee physical condition, other (Provide detailed description in narrative) +Flagging, Fixed, Hand and Radio Signals + +H201 Blue Signal, absence of +H202 Blue Signal, improperly displayed +H205 Flagging, improper or failure to flag +H206 Flagging signal, failure to comply +H207 Hand signal, failure to comply +H208 Hand signal improper +H209 Hand signal, failure to give/receive +H210 Radio communication, failure to comply +H211 Radio communication, improper +H212 Radio communication, failure to give/receive +H217 Failure to observe hand signals given during a wayside inspection of moving train +H218 Failure to comply with failed equipment detector warning or with applicable train inspection rules. +H219 Fixed signal (other than automatic block or interlocking signal), improperly displayed. +H220 Fixed signal (other than automatic block or interlocking signal), failure to comply. +H221 Automatic block or interlocking signal displaying a stop indication - failure to comply.* +H222 Automatic block or interlocking signal displaying other than a stop indication - failure to comply.* +H299 Other signal causes (Provide detailed description in narrative) +Note for Codes H221, H222, and H605: For accidents involving noncompliance by crew members +with the indication of block or interlocking signals, the appropriate human factor cause relating to +failure to comply with the signal should always be used as the primary cause. Code H605, “Failure +to comply with restricted speed in connection with the restrictive indication of a block or interlocking +signal,” should be shown as the contributing cause in those accidents arising from noncompliance +with block or interlocking signal conveying a restrictive indication. Code H607 may be used as the +primary cause code when the accident did not involve block or interlocking signals, but arose due to +noncompliance by crew members with timetable special instructions, equipment restrictions, and/or +operating rules or procedures. +General Switching Rules +H301 Car(s) shoved out and left out of clear +H302 Cars left foul +H303 Derail, failure to apply or remove +H304 Hazardous materials regulations, failure to comply +H305 Instruction to train/yard crew improper +H306 Shoving movement, absence of man on or at leading end of movement +APPENDIX C - Continued +Train Accident Appendix C - 8 Cause Codes +FRA Guide for Preparing Accident/Incident Reports +H307 Shoving movement, man on or at leading end of movement, failure to control +H308 Skate, failure to remove or place +H309 Failure to stretch cars before shoving +H310 Failure to couple +H311 Moving cars while loading ramp/hose/chute/cables/bridge plate, etc., not in proper position +H312 Passed couplers (other than automated classification yard) +H313 Retarder, improper manual operation +H314 Retarder yard skate improperly applied +H315 Portable derail, improperly applied +H316 Manual intervention of classification yard automatic control system modes by operator +H317 Humping or cutting off in motion equipment susceptible to damage, or to cause damage to other equipment +H318 Kicking or dropping cars, inadequate precautions +H399 Other general switching rules (Provide detailed description in narrative) +Main Track Authority + +H401 Failure to stop train in clear +H402 Motor car or on-track equipment rules, failure to comply +H403 Movement of engine(s) or car(s) without authority (railroad employee) +H404 Train order, track warrant, track bulletin, or timetable authority, failure to comply +H405 Train orders, track warrants, direct traffic control, track bulletins, radio, error in preparation, transmission +or delivery +H406 Train orders, track warrants, direct traffic control, track bulletins, written, error in preparation, transmission +or delivery +H499 Other main track authority causes (Provide detailed description in narrative) +Train Handling/Train Makeup +H501 Improper train make-up at initial terminal +H502 Improper placement of cars in train between terminals +H503 Buffing or slack action excessive, train handling +H504 Buffing or slack action excessive, train makeup +H505 Lateral drawbar force on curve excessive, train handling +H506 Lateral drawbar force on curve excessive, train makeup +H507 Lateral drawbar force on curve excessive, car geometry (short car/long car combination) +H508 Improper train make-up +H509 Improper train inspection +H510 Automatic brake, insufficient (H001) -- see note after cause H599 +H511 Automatic brake, excessive (H002) +H512 Automatic brake, failure to use split reduction (H003) +H513 Automatic brake, other improper use (H004) +H514 Failure to allow air brakes to fully release before proceeding (H005) +H515 Failure to properly cut-out brake valves on locomotives (H006) +H516 Failure to properly cut-in brake valves on locomotives (H007) +H517 Dynamic brake, insufficient (H009) +H518 Dynamic brake, excessive (H010) +H519 Dynamic brake, too rapid adjustment (H011) +H520 Dynamic brake, excessive axles (H012) +H521 Dynamic brake, other improper use (H013) +H522 Throttle (power), improper use (H014) +H523 Throttle (power), too rapid adjustment (H015) +APPENDIX C - Continued +Train Accident Appendix C - 9 Cause Codes +FRA Guide for Preparing Accident/Incident Reports +H524 Excessive horsepower (H016) +H525 Independent (engine) brake, improper use (except actuation) (H023) +H526 Failure to actuate off independent brake (H024) +H599 Other causes relating to train handling or makeup (Provide detailed description in narrative) +Note: The description of the causes for codes H510 through H526 were originally found in +subgroup “Brakes, Use of.” It has been decided that these causes are more +appropriate to the “Train Handling/Train Makeup” subgroup. Consequently, it +was necessary to assign new codes in order to maintain the coding convention and to +simplify grouping of causes by computer. The original code has been appended to +the description to aid in data conversion. +Speed + +H601 Coupling speed excessive +H602 Switching movement, excessive speed +H603 Train on main track inside yard limits, excessive speed +H604 Train outside yard limits, in block signal or interlocking territory, excessive speed +H605 Failure to comply with restricted speed in connection with the restrictive indication of a block or +interlocking signal. +H606 Train outside yard limits in nonblock territory, excessive speed +H607 Failure to comply with restricted speed or its equivalent not in connection with a block or interlocking +signal. +H699 Speed, other (Provide detailed description in narrative) +Switches, Use of + +H701 Spring Switch not cleared before reversing +H702 Switch improperly lined +H703 Switch not latched or locked +H704 Switch previously run through +H705 Moveable point switch frog improperly lined +H706 Switch improperly lined, radio controlled +H707 Radio controlled switch not locked effectively (Human Error) +H799 Use of switches, other (Provide detailed description in narrative) +Cab Signals + +H821 Automatic cab signal, failure to comply +H822 Automatic cab signal cut out +H823 Automatic train-stop device cut out +H824 Automatic train control device cut out +H899 Other causes relating to cab signals (provide detailed description in narrative) +Miscellaneous + +H991 Tampering with safety/protective device(s) +H992 Operation of locomotive by uncertified/unqualified person +H993 Human Factor - track +APPENDIX C - Continued +Train Accident Appendix C - 10 Cause Codes +FRA Guide for Preparing Accident/Incident Reports +Example: Track is inspected and an FRA defect is found; however, the track supervisor decides to +delay repairs and does not slow order that location. A derailment occurs which is attributable to the +defective track condition. +Example: A railroad employee (or a contracted employee), while using a bulldozer to rerail cars, +caused damage to the rail on an adjacent main track. A train passing on this adjacent main track +derailed due to the damage caused by the bulldozer operated by the railroad employee (or an +employee contracted by the railroad). +H994 Human Factor - Signal installation or maintenance error (field) +Example: A signal maintainer was servicing the signal system. It was later determined during the +investigation of a rear-end collision that the signal maintainer made an installation/maintenance +error resulting in an incorrect aspect being displayed in the wayside signal or cab signal. +H99A Human Factor - Signal - Train Control - Installation or maintenance error (shop). +H99B Human Factor - Signal - Train Control - Operator Input On-board computer incorrect data entry. +H99C Human Factor - Signal - Train Control - Operator Input On-board computer incorrect data provided +H99D Computer system design error (non vendor) +H99E Computer system configuration/management error (non vendor) +H995 Human Factor - Motive power and equipment +Example: A car inspector observes an obvious thin flange wheel that normally requires the car to be +removed from service. However, because the train is ready to leave, he elects to leave in service. The +wheel splits the next switch point and the car derails. +H996 Oversized loads or Excess Height/Width cars, misrouted or switched. +H997 Motor car or other on-track equipment rules (other than main track authority) - Failure to Comply. +H999 Other train operation/human factors (Provide detailed description in narrative) + +MISCELLANEOUS CAUSES NOT OTHERWISE LISTED +Environmental Conditions + +M101 Snow, ice, mud, gravel, coal, sand, etc. on track +M102 Extreme environmental condition - TORNADO +M103 Extreme environmental condition - FLOOD +M104 Extreme environmental condition - DENSE FOG +M105 Extreme environmental condition - EXTREME WIND VELOCITY +M199 Other extreme environmental conditions (Provide detailed description in narrative) +Loading Procedures + +M201 Load shifted +M202 Load fell from car +M203 Overloaded car +M204 Improperly loaded car +M206 Trailer or container tiedown equipment improperly applied +M207 Overloaded container/trailer on flat car +M208 Improperly loaded container/trailer on flat car +APPENDIX C - Continued +Train Accident Appendix C - 11 Cause Codes +FRA Guide for Preparing Accident/Incident Reports +M299 Miscellaneous loading procedures (Provide detailed description in narrative) +Highway-Rail Grade Crossing Accidents + +M301 Highway user impairment because of drug or alcohol usage (as determined by local authorities, e.g., police) +M302 Highway user inattentiveness +M303 Highway user misjudgment under normal weather and traffic conditions +M304 Highway user cited for violation of highway-rail grade crossing traffic laws +M305 Highway user unawareness due to environmental factors (angle of sun, etc.) +M306 Highway user inability to stop due to extreme weather conditions (dense fog, ice or snow packed road, etc.) +M307 Malfunction, improper operation of train activated warning devices +M308 Highway user deliberately disregarded crossing warning devices +M309 Suicide (Highway-Rail Grade Crossing Accident) +M310 Attempted Suicide (Highway-Rail Grade Crossing Accident) +M399 Other causes (Provide detailed description in narrative) +Unusual Operational Situations + +M401 Emergency brake application to avoid accident +M402 Object or equipment on or fouling track (motor vehicle - other than highway-rail crossing) +M403 Object or equipment on or fouling track (livestock) +M404 Object or equipment on or fouling track - other than above (for vandalism, see code M503) +M405 Interaction of lateral/vertical forces (includes harmonic rock off) +M406 Fire, other than vandalism, involving on-track equipment +M407 Automatic hump retarder failed to sufficiently slow car due to foreign material on wheels of car being +humped +M408 Yard skate slid and failed to stop cars +M409 Objects such as lading chains or straps fouling switches +M410 Objects such as lading chains or straps fouling wheels +M411 Passed couplers (automated classification yard) +Other Miscellaneous + +M501 Interference (other than vandalism) with railroad operations by non-railroad employee +M502 Vandalism of on-track equipment, e.g., brakes released +M503 Vandalism of track or track appliances, e.g., objects placed on track, switch thrown, etc. +M504 Failure by non-railroad employee, e.g., industry employee, to control speed of car using hand brake +M505 Cause under active investigation by reporting railroad (Amended report will be forwarded when reporting +railroad’s active investigation has been completed.) +M506 Track damage caused by non-railroad interference with track structure +M507 Investigation complete, cause could not be determined (When using this code, the narrative must include +the reason(s) why the cause of the accident/incident could not be determined.) +M509 Suicide (Other Miscellaneous) +M510 Attempted suicide (Other Miscellaneous) +M599 Other miscellaneous causes (Provide detailed description in narrative) +FRA Guide for Preparing Accident/Incident Reports +APPENDIX C - Continued +Train Accident Appendix C - 12 Cause Codes +Definitions and Guidelines to support Train Accident Cause Codes +1. “Fixed Signal” +A signal of fixed location indicating a condition affecting the movement of a train or +engine. Note: The definition of a “Fixed Signal” covers such signals as switch, train +order, block, interlocking, semaphore, disc, stop board, yard limit boards, direct traffic +control signs, or other means for displaying indications that govern the movement of a +train or engine. +Codes H219 and H220 have been designed to capture accidents/incidents that result from +fixed signals other than automatic block or interlocking signals. Events of this type +would result from the improper display of, or failure to comply with, switch targets; train +order signals that are not a part of the automatic block or interlocking signal system; +semaphore signals; discs; stop boards at railroad crossings or other locations; and/or yard +limit boards. Code H219 is to be used for improper display, and Code 220 for failure to +comply. +FRA Guide for Preparing Accident/Incident Reports +Appendix D - 1 Employee Job Codes +APPENDIX D +Employee Job Codes +EXECUTIVES, OFFICIALS, AND STAFF ASSISTANTS +101 Executives and General Officers President, Vice President, Asst. Vice President, Controller, + General Counsel, Treasurer, Director (head of +subdepartment), General Supt., (subdept. head), Chief +Engineer, General Manager (department or subdepartment +head), Chief Medical Officer. + +102 Corporate Staff Managers Director (other than subdepartment head), Asst. Director, +Asst. General Manager (not regional), Manager, Asst. +Manager, Asst. Chief Engineer, Purchasing Agent, Asst. +General Counsel, Superintendent (not division), Asst. to +(corporate, executive or general officer), Executive Asst. +(to corporate executive) Budget Officer. +103 Regional and Division Officers’ Assistants Asst. General Manager, Asst. Regional Manager, General + and Staff Assistants Supt., Asst. to General Manager, Division Supt., Master +Mechanic, District Engineer, Asst. Superintendent, Captain +of Police, Division Engineer. +104 Transportation Officers/Managers Trainmaster, Asst. Train Master, General Yardmaster, + General Road Foreman, Road Foreman, Asst. Road +Foreman, Chief Power Supervisor (motive). +100 Executives, Officials, and Staff Assistants Executives, Officials, and Staff Assistants not listed above. + (other) +PROFESSIONAL AND ADMINISTRATIVE +201 Professionals (other than those reported in General Attorney, Asst. General Attorney, Attorney, + 101 and 102) Commerce Counsel, Medical Officer, Surgeon, Company +Surgeon, Engineer, Architect, Chief Chemist, Nurse, +General Accountant, Corporate Accountant, Supervisor +Programming, Senior Computer System Specialist, Senior +System Analyst, Chief Draftsman. + +202 Subprofessionals Draftsman, Chemist, Asst. Chemist, X-ray Technician, +Supervisor Estimating, Junior Engineer, Engineering +Trainee, Photographer, Computer Programmer, Computer +Analyst, Market Analyst, Pricing Analyst, Employment +Supervisor, Research Analyst. +203 Auditors, Traveling Auditors Traveling Auditor, Accounting Specialist Auditors, + Operations Traveling Auditors, Station Auditors. +APPENDIX D - Continued +Appendix D - 2 Employee Job Codes +FRA Guide for Preparing Accident/Incident Reports +204 General & Administrative Supervisors General Supervisor, Supervisor, Chief Clerk, Office + Supervisor, Supervisor Administration Office Manager, +Supervising Clerk, Head Clerk, Asst. Chief Clerk, +Supervising Cashier, Division Supervisor, Regional +Supervisor, Budget Supervisor, Administrative Supervisor, +Manager of Materials, Administrative Asst. + +205 Sales & Traffic Representatives & Agents Freight Traffic Agent, Coal Traffic Agent, Sales + Representative, Freight Sales Representative, Freight + Traffic Representative, Passenger Sales Representative. + +206 Freight and Other Claims Agents and Claim Agent, Claim Investigator, Freight Claim Agent, + Investigators Freight Claim Investigator. + +207 Supervising & Chief Claim Agents Chief Claim Agent, Chief Freight Claim Agent, Asst. Chief + Claim Agent, Chief District Claim Agent, District Freight + Claim Agent, Chief Claim Investigator. + +208 Lieutenants & Sergeants of Police Police Lieutenant, Police Sergeant. +209 Police Officers, Watcher and Guards Police Officer, Patrolman, Watchman, Guard. + (Except Crossing and Bridge) +210 Inspectors (Except Maintenance of Way & Rules Examiner, Supervisor Rules, Safety Supervisor, + Equipment), Other Investigators, Examiners, Safety Inspector, Fire Marshall, Fire Chief, Instructor, + Instructors, and Other Agents (Except Supervisor Procedures, Supervisor Yard Procedures, Real + Station Agents) Estate Agent, Real Estate Supervisor, Tax Agent. + +211 Buyers, and Sales Agents Buyer, Asst. Buyer, Sales Agent, Asst. Sales Agent. + +212 Clerical Technicians and Clerical Specialists Lead Clerk, Staff Asst., (clerical, Statistician, Cashier, + Teller, Asst. Statistician, Rate Clerk, Pricing Clerk, + Computer Technician. + +213 Office Machine and Data Equipment Machine Operator, Clerk, Computer Operator, Keypunch + Operators Operator, Office Machine Technician. + +214 Secretaries, Stenographers, and Typists Secretary, Stenographer, Typists, Clerk Typists, Steno- + clerk. + +215 General and Other Clerks (excluding yard File Clerk, General Clerk, Bookkeeper, Ticket Clerk, + clerk and crew dispatcher) Records Clerk, Trace Clerk, Assignment Clerk, Personnel + Clerk, M O W Clerks, M of W Clerks. + +216 Telephone & Switchboard Operators Switchboard Operator, Chief Operator. + +217 Building & Office Attendants Elevator Operator, Elevator Starter, Janitor, Cleaner, + Porter. + +218 Messengers & Office Persons Messenger, Office Person. + +219 Motor Vehicle Operators Truck Driver, Bus Driver, Driver, Chauffeur. +APPENDIX D - Continued +Appendix D - 3 Employee Job Codes +FRA Guide for Preparing Accident/Incident Reports + +200 Professional and Administrative (other) Professional and Administrative not listed above. +MAINTENANCE OF WAY AND STRUCTURES +301 Supervisors, Maintenance of Way, Roadmaster, Division Roadmaster, Supervisor Track, +Structures, Communication & Signals Supervisor Bridge and Buildings, Supervisor +Communications and Signals, Asst. Supervisor, +General Foreman (MW&S), Asst., General Foreman +(MW&S), Master Carpenter. +302 Maintenance of Way, Structures, Chief Bridge & Building Inspector, Chief +Communication and Signals, and Scale Inspectors Scale Inspector, Bridge & Building Inspector, +Roadway Equipment Inspector, Track & Roadway +Inspector, Instrument Man, Roadman, Chairman, +Inspector Communications & Signals, Signal +Inspector. +303 Bridge and Building Gang Foreman Gang Foreman, Lead Workman. +304 Bridge and Building Carpenters Carpenter. +305 Bridge and Building Ironworkers Ironworker. +306 Bridge and Building Painters Painter, Sign Painter. +307 Masons, Bricklayers, Plasterers, and Plumbers Mason, Bricklayer, Plasterer, Plumber, Operator, +Grinder, Welder (M of W). +308 Bridge and Building Helpers and Apprentices Carpenter Helper, Ironworker Helper, Mason Helper, +Plumber Helper, Painter Helper, Apprentice +Carpenter, Apprentice Ironworker, Apprentice +Mason, Plumber Apprentice, Apprentice Painter, +Welder Helper. +309 Bridge and Building Gang and Bridge and Bridge and Building Laborer. +Building Dept. Laborers +310 Track Gang Foreman (Extra Gang work Gang Foreman, Asst. Foreman. +train laborers) +311 Gang or Section Foreman Gang Foreman, Asst. Foreman, Section Foreman. +312 Extra Gang Laborers Trackman, Fence Laborer. +313 Section Laborers Track, Track and Roadway Section Laborer. + +314 Machine Operators Craneman, Portable Equipment Engineer, Portable +Equipment Operator, Helper. +APPENDIX D - Continued +Appendix D - 4 Employee Job Codes +FRA Guide for Preparing Accident/Incident Reports +315 Gang Foreman, Communications Gang Foreman, Asst. Gang Foreman, Lead + Signal Maintainer. +316 Signalmen & Signal Maintainers Signalman, Signal Maintainer. +317 Linemen, Groundmen, and Communications Electrical Worker (Lineman), Electrical Worker + Craftsman (Groundman Communications Maintainer). + +318 Assistant Signalmen and Assistant Signal Asst. Signalman, Asst. Signal Maintainer. + Maintainers + +319 Signal Helpers and Signal Maintainer Signalman Helper, Signal Maintainer Helper. + Helpers +320 Camp Car Cooks Camp Car Cook, Camp Car Helpers. + +300 Maintenance of Way and Structures Maintenance of Way and Structures not listed above. + +MAINTENANCE OF EQUIPMENT AND STORES +401 Supervisors and General Foremen General Foreman Shop, General Foreman Engine house, + Maintenance of Equipment General Foreman Diesel Terminal, Asst. General Foreman +(M of E). +402 Supervisors and General Foremen, Materials Supervisor Materials, Asst. Supervisor, Materials, General + and Stores Foreman Stores, General Foreman Reclamation Plant, +Asst. General Foreman. +403 Equipment, Shop, Electrical Inspectors Chief Electrical Inspector, Chip Shop & Equipment + Inspector, Electrical Inspector, Inspector Diesel + Locomotive, Fuel Inspector. +404 Materials and Supplies Inspectors Materials & Supplies Inspector, Chief Materials & + Supplies Inspector, Timber Inspector, Tie Inspector. +405 Storekeeper Storekeeper, Assistant, Storekeeper, Materials Clerk, Store + Clerk. +406 Gang Foremen, Maintenance of Equipment Gang Foreman. +407 Blacksmith Blacksmith. +408 Boilermakers Boilermaker. +409 Carmen (Freight) Car Repairman, Car Inspector, Carman, Painter. +410 Carmen (Other) Carman. +411 Electrical Workers (A) Electrician, Electrical Worker. +412 Electrical Workers (B) Crane Operator, Lead Dispatcher, Power Station Operator, +APPENDIX D - Continued +Appendix D - 5 Employee Job Codes +FRA Guide for Preparing Accident/Incident Reports + Asst. Power Director. +413 Electrical Workers (C) Coal and Ore Elevator Operator (electrical), Grain + Elevator Operator (electrical). +414 Machinists Machinist. +415 Sheet Metal Workers Sheet Metal Worker. +416 Skilled Trades, Helpers, Maintenance of Helper. +Equipment and Stores +417 Apprentices, Maintenance of Equipment and Apprentice, Helper Apprentice. + Stores +418 Coach Cleaners Coach Cleaner. +419 Laborers: Shops, Engine houses, and Power Laborer. + Plants +420 Gang Foreman, Materials and Stores Gang Foreman. +421 Equipment Operators and General Laborers, Laborer, Materials Handler, Equipment Operators, + Materials and Stores Machine Operators. +422 Stationary Engineers Chief Engineer (Steam Plant), Engineer, Stationary + Engineer. +423 Stationary Fireman Stationary Fireman, Power Equipment Operator, Helper, + Oiler. +400 Maintenance of Equipment and Stores (other) Maintenance of Equipment and Stores not listed above. +TRANSPORTATION, OTHER THAN TRAIN AND ENGINE +501 Transportation Supervisor and Chief Train Chief Train Dispatcher, Supervisor Train Operations, + Dispatcher Transportation Supervisor, Supervisor Train Operations, +Supervisor Locomotive & Car Distribution, Asst. Chief +Train Dispatcher. +502 Train Dispatchers Train Dispatcher. +503 Station, Freight and Passenger Agents Supervising Station Agent, Asst. Supervising Station + Agent, Station Agent, Freight Agent, Passenger Agent, +Ticket Agent, Traveling Agent, Agent Operators. +504 Chief Operators and Wire Chiefs Supervising Operator, Chief Operator, Asst. Supervising + Operator, Wire Chief. +505 Clerk Operators, Towermen, Train Directors Clerk Operator, Block Operator, Operator, Towerman, + Train Directors. +APPENDIX D - Continued +Appendix D - 6 Employee Job Codes +FRA Guide for Preparing Accident/Incident Reports +506 Station Masters and Asst., Supervising Station Master, Asst. Station Master, Supervising Baggage + Baggage Agents, Baggage Agents and Asst. Agent, Baggage Agent, Asst. Baggage Agent, Parcel + Room Agent. +507 Baggage, Parcel Room and Station Attendants Baggage Attendant, Parcel Room Attendant, Station + Attendant, Gateman, Announcer, Station Usher, Red Cap, + Information Bureau Attendant. +508 General and Assistant General Foremen, General Foreman, Asst. General Foreman. + Stations, Warehouses, Grain Elevators, and + Docks +509 Gang Foremen, Stations, Warehouses, Grain Gang Foreman. + Elevators and Docks +510 Grain Elevator and Dock Laborers Laborer. +511 Station and Warehouse Laborers Loader, Sealer. + +512 Truckers (Station, Warehouse & Platforms). Trucker. + +513 Food and Lodging Manager, Supervisors Manager Lodging House, Restaurant Manager, Dining Car + Supervisor, Dining Car Steward. + +514 Transportation and Dining Service Inspectors Instructor Chef, Restaurant Inspectors, Freight Service + Inspector, Baggage Inspector. + +515 Waiters and Kitchen Helpers (Restaurant Waiter-in-charge, Waiter. + and Dining Car) + +516 Chefs and Cooks (Restaurant and Dining Car) Chef, Cook. + +517 Marine Officers and Workers and Shore Captain, Engineer, Mate, Deckhand, Oiler Purser, Boat + Workers Master, Fireman, Wharf Master, Able Seaman, + Baggageman, Boat Dispatcher. + +518 Train Attendants Porter, Buffet Lounge Attendant, Stewardess. + +519 Bridge Operators and Helpers Bridge Operator. + +520 Bridge and Crossing Flagman & Gateman Bridge Flagman, Crossing Gateman. + +521 Yard Clerks Yard Clerk, Yard Clerk Caller, Yard Demurrage Clerk, + Yard Dispatcher Clerk, Piggyback Clerk. + +522 Crew Dispatchers Crew Dispatcher, Crew Caller. + +523 Yardmaster & Asst. Yardmasters Yardmaster, Asst. Yardmaster. + +500 Transportation, Other Than Train and Transportation, Other Than Train and Engine not listed + Engine (others) above. +APPENDIX D - Continued +Appendix D - 7 Employee Job Codes +FRA Guide for Preparing Accident/Incident Reports + +TRANSPORTATION, TRAIN AND ENGINE +601 Switchtenders Switchtender. + +602 Car Retarder Operators and Ground Service Car Retarder Operator, Skatesman, Herder, Yard Pilot. + Employees + +603 Outside Hostlers Outside Hostler. + +604 Outside Hostler Helpers Outside Hostler Helper. + +605 Inside Hostler Inside Hostler. +606 Road Passenger Conductors Passenger Conductor. + +607 Asst. Road Passenger Conductors and Ticket Asst. Passenger Conductor, Ticket Collector. + Collectors + +608 Road Freight Conductors (Through Freight). Freight Conductor, Work Train Conductor, (paid through + rate). + +609 Road Freight Conductors (Local and Way Freight Conductor, Work Train Conductor, (paid local + Freight) rate). +610 Lead Passenger Baggageperson Baggageperson. + +611 Lead Passenger Brakemen and Flagmen Passenger Brakeman, Passenger Flagmen. + +612 Road Freight Brakemen and Flagmen Freight Brakeman, Freight Flagman, Work Train + (Through Freight) Brakeman (paid through rate). + +613 Road Freight Brakemen and Flagmen (Local Freight Brakeman, Freight Flagman, Work Train + and Way Freight) Brakeman, (paid local rate). + +614 Yard Conductors and Yard Foremen Yard Conductor, Yard Foreman. + +615 Yard Brakemen and Yard Helpers Yard Brakeman, Yard Helper. + +616 Road Passenger Engineers and Motormen Passenger Engineer, Motorman Operator. + +617 Road Freight Engineers (Through Freight). Freight Engineer, Work Train Engineer (paid through + rate). + +618 Road Freight Engineers (Local and Way Freight Engineer, Work Train Engineer (paid local rate). + Freight). + +619 Yard Engineers Yard Engineer. + +620 Road Passenger Firemen and Helpers Passenger Fireman. + +APPENDIX D - Continued +Appendix D - 8 Employee Job Codes +FRA Guide for Preparing Accident/Incident Reports +621 Road Freight Firemen and Helpers, Freight Fireman. + (Through Freight) +622 Road Freight Fireman and Helpers, (Local Freight Fireman. + and Way Freight) + +623 Yard Firemen and Helpers Yard Fireman. +630 Remote Control Locomotive Operator - Person operating remote control locomotive at the + Operating time of the injury regardless of any other job title. + +631 Remote Control Locomotive Operator - Not Person carrying remote control locomotive device at the + Operating time of the injury regardless of any other job title. + +600 Transportation, Train and Engine (other) Transportation, Train and Engine not listed above. +FRA Guide for Preparing Accident/Incident Reports +Appendix E - 1 Injury and Illness Codes +APPENDIX E +Injury and Illness Codes +INJURIES +Use the codes on this page to identify the nature and body part affected for both fatal and +nonfatal injuries. For example, a broken collarbone would be recorded as “706E.” When an +individual has sustained multiple injuries, the most severe of these is to be identified. If the +injuries are of equal severity, for example, cuts or abrasions on arms and legs, then the multiple +location code “8” may be used. +NATURE OF INJURY CODES +10 Bruise or contusion +13 Crushing injury +20 Sprain or strain +30 Cut/laceration or abrasion +35 Puncture wound (other than needle stick) +36 Needle stick +40 Electrical shock or burn +50 Other burns +60 Dislocation +70 Fracture (broken bone) +71 Rupture/tear, e.g., tendon, cartilage (for hernia, + use code 92) +72 Gunshot/knife wounds +74 Animal/snake/insect bite +75 Dental related +80 Amputation +90 FATALLY INJURED +91 Foreign object in eye +92 Hernia +93 Concussion/closed head injury +94 Nervous shock (injury related) +95 Internal injury +96 Loss of eye +97 Reaction from one-time external + exposure to chemicals, e.g., solvents, creosote. +98 Symptoms due to one-time exposure to loud + noise, e.g., an explosion +9A Symptoms due to one-time inhalation exposure to + airborne contamination that does not exceed a + single duty tour and without long term or + permanent consequences +9B Medical removal (under OSHA medical + surveillance requirements) +99 All other injuries +LOCATION OF INJURY CODES +1 Arm or hand: + A - upper arm + B - elbow + C - lower arm + D - wrist + E - hand (general) + F - thumb/fingers + G - finger/thumb nail(s) +5 Head or face: + A - eye + G - eye area (not eyeball), e.g., eye lid + B - ear and surrounding area + C - nose + D - mouth/teeth + E - skull/scalp + F - neck/throat + H - jaw/chin + I - cheek + J - forehead + K - intracranial +FRA Guide for Preparing Accident/Incident Reports +APPENDIX E - Continued +Appendix E - 2 Injury and Illness Codes +3 Leg or foot: + A - upper leg + B - knee + C - lower leg + D - ankle + E - heel + F - toes + G - foot (general) +6 Torso: + A - spine/spinal cord + B - upper back + C - lower back + D - shoulder (includes rotator cuff) + E - collar bone + F - ribs/sternum + G - internal injuries + H- external injuries - other + I - hips/buttocks/pelvis + J - genitalia/groin area + K - abdomen + L - chest +8 Injuries to multiple body 9 Other body parts + parts of relatively + equal severity +OCCUPATIONAL ILLNESS CODES +Occupational Skin Diseases or Disorders +1101 Dermatitis (inflammation of the skin) + +1102 Eczema - inflammation of the skin characterized by the formation of vesicles (blisters) which may be +either acute or chronic + +1103 Rash caused by primary irritants and sensitizers or poisonous plants + +1104 Oil acne - sometimes known as oil folliculitis, it is an inflammation of the hair follicles caused by +depositing of oil into them, resulting in inflammation, swelling, redness and pus formation + +1105 Chrome ulcers - pitted sores of the skin that are slow or resistant to healing, caused by exposure to +chromium salts + +1107 Other occupational skin diseases or disorders + +1109 DEATH resulting from occupational skin diseases or disorders +Dust Diseases of the Lungs (Pneumoconioses) +1111 Silicosis - caused by the depositing of dust containing free silica into the lung + +1112 Asbestosis - caused by the presence of asbestos in the lung +1113 Coal worker's pneumoconiosis (formerly known as black lung) - caused by the depositing of coal dust +in the lung +FRA Guide for Preparing Accident/Incident Reports +APPENDIX E - Continued +Appendix E - 3 Injury and Illness Codes +1114 Byssinosis (formerly known as brown lung) - caused by the depositing of cotton dust in the lung + +1115 Pneumoconioses, other. Other lung diseases characterized by the presence of dust in the lungs and the +lungs reaction to that dust. + +1119 DEATH resulting from dust diseases of the lungs + +Respiratory Conditions Due to Toxic Agents +1121 Pneumonitis - inflammation of the lungs + +1122 Pharyngitis - inflammation of the throat + +1123 Rhinitis - inflammation of the nose + +1124 Acute congestion due to chemicals, dust, gases, or fumes + +1125 Farmers lung + +1126 Other respiratory conditions due to toxic agents +1129 DEATH resulting from respiratory conditions due to toxic agents + +Poisoning (Systemic Effects of Toxic Materials) +1131 Poisoning by lead, mercury, cadmium, arsenic, or other metals + +1132 Poisoning by carbon monoxide, hydrogen sulfide or other gases + +1133 Poisoning by benzol, carbon tetrachloride, or other organic solvents + +1134 Poisoning by insecticide sprays such as parathion, lead arsenate + +1135 Poisoning by chemicals such as formaldehyde, plastics and resins + +1136 Other poisoning due to the systemic effects of toxic materials + +1139 DEATH resulting from poisoning +Disorders Due to Physical Agents (Other than Toxic Materials +1141 Heat stroke/sun stroke - serious heat-related condition in which the patient often stops sweating and +experiences a marked rise in core temperature +FRA Guide for Preparing Accident/Incident Reports +APPENDIX E - Continued +Appendix E - 4 Injury and Illness Codes + +1142 Effects of ionizing radiation - refers to the various effects of ionizing radiation, e.g. gamma rays or xrays + +1143 Effects of non-ionizing radiation - refers to the effects of electro-magnetic radiation, e.g., radio waves, +microwaves, welding flash, ultraviolet rays of the sun, etc. + +1144 Heat exhaustion - heat-related condition of moderate degree which, if not treated, may lead to heat +stroke. + +1145 Freezing/frostbite - freezing of tissue with disruption of the blood supply + +1146 Other disorders due to physical agents other than toxic materials + +1149 DEATH resulting from physical agents (other than toxic materials) +Disorders Due to Repeated Trauma +1151 Noise-induced hearing loss - a standard threshold shift (STS). An STS is a change in hearing noiseinduced hearing loss. If an employee’s hearing test (audiogram) reveals that the employee has +experienced a work-related STS in hearing in one or both ears, and the employee’s total hearing level is +25 decibels (dB) or more above audiometric zero (averaged at 2000, 3000, and 4000 Hz) in the same +ear(s) as the STS, you must report the case on Form FRA F 6180.55a. + A standard threshold shift, or STS, is defined in the occupational noise exposure standard at 29 CFR +1910.95(g)(10)(i) as a change in hearing threshold, relative to the baseline audiogram for that employee, +of an average of 10 dB or more at 2000, 3000, and 4000 Hz in one or both ears. + STS. If the employee has never previously experienced a recordable hearing loss, you must compare +the employee’s current audiogram with that employee’s baseline audiogram. If the employee has +previously experienced a recordable hearing loss, you must compare the employee’s current audiogram +with the employee’s revised baseline audiogram (the audiogram reflecting the employee’s previous +recordable hearing loss case). + 25-dB loss. Audiometric test results reflect the employee’s overall hearing ability in comparison to +audiometric zero. Therefore, using the employee’s current audiogram, you must use the average +hearing level at 2000, 3000, and 4000 Hz to determine whether or not the employee’s total hearing level +is 25 dB or more. + + See additional instructions in Chapter 6. +1152 Synovitis - inflammation of the membrane around a joint or other musculoskeletal element +1153 Tenosynovitis - inflammation of the tendon (fibrous tissue that connects the muscle to a bone) or the +membrane that surrounds it, e.g., epicondylitis or tendinitis. +1154 Bursitis - inflammation of the bursa (a membranous pouch that is used for cushioning the joints +FRA Guide for Preparing Accident/Incident Reports +APPENDIX E - Continued +Appendix E - 5 Injury and Illness Codes +1155 Raynaud’s phenomena - a symptom complex usually related to poor circulation of an extremity +characterized by loss of feeling, blanching (whitening) and coolness of the part, typically a finger, toe, +hand, or foot +1156 Carpal tunnel syndrome +1157 Other conditions associated with repeated motion, vibration, pressure, or repeated trauma. +1159 DEATH resulting from repeated trauma +Other Occupational Illnesses Not Listed above +1191 Anthrax - bacterial disease, typically spread from infected animals to humans + +1192 Brucellosis - an infectious bacterial disease spread by contact with the tissues, blood, urine or fetuses of +contaminated animals +1193 Infectious hepatitis (also known as hepatitis A) - infection of the liver, characterized by fever, +abdominal pain, loss of appetite and in severe cases, jaundice + +1194 Malignant tumors - tumors which spread beyond their original boundaries to distant organs and will +generally result in death if not treated +1195 Benign tumors - tumors that do not spread beyond the original tumor mass except through local growth +and do not pose the same risk of distant spread, disease, and death as seen in malignant tumors + +1196 Stress related (determined by a qualified health care professional) +1197 Histoplasmosis/Coccidiomycosis - fungal infectious diseases +119E Emotional Trauma/nervous shock +1198 All other occupational illnesses other than those classified above +1199 DEATH resulting from other occupational illnesses + +FRA Guide for Preparing Accident/Incident Reports +Appendix F - 1 Circumstance Codes +APPENDIX F +Circumstance Codes +1. Physical Act (Page F-2) +2. Location - Parts I, II, and III (Page F-4) +3. Event (Page F-6) +4. Tools, Machinery, Appliances, Structures, Surfaces, etc. (Page F-8) +5. Probable Reason for Injury/Illness (Page F-10) +A complete record of all of factors associated with an injury or illness would be beneficial in +prevention analysis. However, it is not practical, even if it were possible, to develop forms and +codes that would capture every detail that may be associated with each incident. When selecting +circumstance codes, use a combination that best identifies the key factors without duplicating +information identified by another code. The narrative portion of the report is to be used to +provide additional information concerning those items that cannot be adequately described on the +coded portions of the form. +FRA Guide for Preparing Accident/Incident Reports +APPENDIX F - Continued +Appendix F - 2 Circumstance Codes +PHYSICAL ACT CIRCUMSTANCE CODES +(What was the person doing when hurt?) +Select one of these codes and enter in Form F6180.55a, 5j. Physical Act. +01 Adjusting coupler +02 Adjusting drawbar +03 Adjusting, other +04 Applying rail anchor/fastener +B3 Arresting/apprehending/subduing +A2 Ascending +05 Bending, stooping +06 Carrying +07 Chaining, cabling car or locomotive +08 Cleaning/scrubbing +09 Climbing over/on +10 Closing +13 Coupling air hose +11 Coupling electric cables +12 Coupling steam hose +16 Crossing between +15 Crossing or crawling under +14 Crossing over +17 Cutting rail +18 Cutting vegetation +19 Cutting, other +77 Derail, applying +79 Derail, other +78 Derail, removing +A3 Descending +20 Digging, excavating +21 Driving (motor vehicle, forklift, etc.) +A4 Exercising +22 Flagging +23 Fueling +A5 Getting in +A6 Getting out +25 Getting off +24 Getting on +26 Grinding +74 Handbrakes, applying +75 Handbrakes, releasing +76 Handbrakes, other +27 Handling baggage +28 Handling car parts +30 Handling locomotive parts +29 Handling material, general +33 Handling other track material/supplies +34 Handling poles +37 Handling rail +35 Handling tie plates +36 Handling ties +31 Handling wheels/trucks +32 Handling, other +A7 Hauling +38 Inspecting +39 Installing +40 Jumping from +41 Jumping onto +42 Laying +44 Lifting equipment (tools, parts, etc.) +43 Lifting other material +45 Lining switches +46 Lining, other +47 Loading/unloading +B6 Lying down +48 Maintaining/servicing +A8 Moving +49 Opening +50 Opening/closing angle cock +51 Operating +53 Pulling +52 Pulling pin lifter/operating uncoupling lever +54 Pushing +55 Reaching +56 Removing rail anchors/fasteners +57 Repairing +A1 Replacing +58 Riding +59 Running +B2 Sanding +B1 Servicing +60 Sitting +B4 Sleeping +61 Spiking (installation/removal) +62 Standing +B5 Stepped on +80 Stepping across (passenger cars) +63 Stepping up +64 Stepping down +65 Stepping over +FRA Guide for Preparing Accident/Incident Reports + +APPENDIX F - Continued +Appendix F - 3 Circumstance Codes +PHYSICAL ACT CIRCUMSTANCE CODES +(Continued from previous page) +66 Uncoupling air hose +68 Uncoupling electric cables +67 Uncoupling steam hose +69 Using hand signals +70 Using hand tool +71 Using, other +72 Walking +A9 Washing +73 Welding (includes field welding) +99 Other (Narrative must be provided) +FRA Guide for Preparing Accident/Incident Reports +APPENDIX F - Continued +Appendix F - 4 Circumstance Codes +LOCATION CIRCUMSTANCE CODES +Select one code from each part and enter in Form F6180.55a, 5k. Location. Enter Part I followed +by Part II, then Part III. +Part I of Code +Did A/I occur on or near rail right of way? If so, select code that best describes the type of track. +A Main/branch +B Yard +C Siding +D Industry +E Repair +Y Other track (explain in narrative) +If A/I did not occur on or near rail right of way, select code that best describes the location. +F Restroom +G Break/lunch room +H Freight terminal +J Highway/roadway +K Loading dock +L Lodging facility +M Office environment +N Parking lot +P Passenger terminal +Q Repair shop +R Storage facility +S Sidewalk/walkway +T Other, (off site location) +U Airport/Airplane +V Freight terminal +W Private property +Z Other location (describe in narrative) +Part II of Code +If A/I involved rail equipment, select code that best describes type of equipment involved. +01 Camp car - moving +02 Camp car - standing +06 Freight car(s) - moving +05 Freight car(s) - standing +03 Freight train - moving +04 Freight train - standing +07 Hy-rail/other inspection vehicle - moving +08 Hy-rail/other inspection vehicle - standing +09 Locomotive(s), not remote controlled - standing +10 Locomotive(s), not remote controlled - moving +18 Locomotive(s), remote control - moving +17 Locomotive(s), remote control - standing +12 Maintenance of way equipment - moving +11 Maintenance of way equipment - standing +15 Passenger car(s) - moving +16 Passenger car(s) - standing +14 Passenger train - moving +13 Passenger train - standing +49 Other on-track equipment - moving +50 Other on-track equipment - standing +Other self-propelled equipment, or equipment used in +transportation +51 Automobile +65 Bus +52 Crane, hoists, etc. +53 Excavating machinery +54 Grading/surfacing machinery +55 Loaders, forklifts, tractor, etc +64 Motorcycle +56 Off road vehicle - industrial +57 Off road vehicle - recreational +58 Other construction type equipment +98 Other equipment (explain in narrative) +97 Other operated equipment (explain in narrative) +59 Taxi/commercial vehicle +66 Tractor +60 Truck +62 Van (passenger) +61 Van (utility) +63 Water vehicle, ship, boat, barge, etc. +99 The A/I was not associated with on-track equipment or + any listed vehicle type +FRA Guide for Preparing Accident/Incident Reports +APPENDIX F - Continued +Appendix F - 5 Circumstance Codes +Part III of Code +Select the code that best identifies the location of the person whose injury/illness is being reported. +A1 Alongside of on-track equipment - on ground +G2 Area between Coupled Car and Platform +G3 Area along Car Body, other than Threshold Plate + and Platform Edge +AA At freight terminal +D1 At lodging facility +A2 At work station +A5 Between cars/locomotives +A7 Car, in (rail car) +G4 Car in Vestibule +B8 Car, on end of (rail car) +B6 Car, on side of (rail car) +CA Car, on top of (rail car) +C7 Car, under (rail car) +CC Depot +D5 In airport +D6 In airplane +E2 In building +AC In cafeteria/lunch room +A8 In elevator +D7 In hotel room +E3 In restroom +B1 In tower +B2 In tunnel +A9 In/operating vehicle +A6 Locomotive, in cab or on walkways +C9 Locomotive, on top of +C6 Locomotive, other location +C8 Locomotive, under +B3 On bridge/trestle +CD On elevated work station +C3 On escalator +D2 On highway/street +B4 On highway-rail crossing +C5 On ladder +B5 On other rail crossing +E1 On parking lot +C2 On platform +B9 On pole/signal mast +D3 On private property +C1 On scaffold +D4 On sidewalk/walkway +C4 On stairs +CE On station platform +AB On tower +CB On top of equipment, other than ontrack equipment +G1 Rail Car Door Threshold Plate to Edge of Platform-Gap +A3 Track, beside +A4 Track, between +B7 Track, on +X9 Other location (describe in narrative) +FRA Guide for Preparing Accident/Incident Reports +APPENDIX F - Continued +Appendix F - 6 Circumstance Codes +EVENT CIRCUMSTANCE CODES +Select one of these codes and enter in Form F6180.55a, 5l. Event. +01 Aggravated pre-existing condition +02 Apprehending/removing from property +04 Assaulted by coworker +03 Assaulted by other +06 Bitten by animal +05 Bitten/stung by bee, spider, other insect +74 Blowing/falling debris +07 Bodily function/sudden movement, e.g., + sneezing, twisting +72 Bumped +73 Burned +81 Caught Between Equipment +79 Caught Between Machinery +82 Caught Between Material +08 Caught in or compressed by hand tools +09 Caught in or compressed by other machinery +12 Caught in or compressed by powered hand tools +10 Caught in or crushed by materials +11 Caught in or crushed in excavation, land slide, + cave-in, etc. +68 Caught, crushed, pinched, other. +13 Cave in, slide, etc. +16 Climatic condition, exposure to environmental + cold +15 Climatic condition, exposure to environmental + heat +14 Climatic conditions, other (e.g., high winds) +17 Collision - between on track equipment +18 Collision/impact - auto, truck, bus, van, etc. +19 Committing vandalism/theft +20 Defective/malfunctioning equipment +21 Derailment +23 Electrical shock due to contact with 3rd rail, + catenary, pantograph +25 Electrical shock from hand tool +22 Electrical shock while operating welding + equipment +24 Electrical shock, other +27 Exposure to chemicals - external +26 Exposure to fumes - inhalation +30 Exposure to noise - single incident +29 Exposure to noise over time +28 Exposure to poisonous plants +31 Exposure to welding light +32 Highway-rail collision/impact +33 Horseplay, practical joke, etc. +34 Lost balance +35 Missed handhold, grabiron, step, etc. +36 Needle puncture/prick/stick +69 On track equipment, other incidents +37 Other impacts - on track equipment +38 Overexertion +41 Pushed/shoved from +39 Pushed/shoved into/against +40 Pushed/shoved onto +43 Ran into object/equipment +42 Ran into on-track equipment +46 Repetitive motion - tools +45 Repetitive motion - typing, keyboard, etc. +44 Repetitive motion - work processes +47 Repetitive motion - other +48 Rubbed, abraded, etc. +49 Shot +50 Slack action, draft, compressive buff/coupling +80 Slack adjustment during switching operation +52 Slipped, fell, stumbled, etc. due to climatic + condition (rain, snow, ice, etc.) +51 Slipped, fell, stumbled, etc. due to irregular + surface, e.g., depression, slope, etc. +54 Slipped, fell, stumbled, etc. due to object, + e.g., ballast, spike, material, etc. +53 Slipped, fell, stumbled, etc. on oil, grease, other + slippery substance +70 Slipped, fell, stumbled, other +55 Stabbing, knifing, etc. +56 Stepped on object +61 Struck against object +77 Struck by other remote control locomotive- + controlled equipment +76 Struck by own remote control locomotive- + controlled equipment +60 Struck by falling object +58 Struck by object +59 Struck by on-track equipment +57 Struck by thrown or propelled object +62 Sudden release of air +FRA Guide for Preparing Accident/Incident Reports +Appendix F - 7 Circumstance Codes +FRA Guide for Preparing Accident/Incident Reports + +APPENDIX F - Continued +EVENT CIRCUMSTANCE CODES +(Continued from previous page) +75 Sudden/Unexpected Movement of tools +63 Sudden/unexpected movement of material +64 Sudden/unexpected movement of on-track + equipment +65 Sudden/unexpected movement of vehicle +71 Sudden, unexpected movement, other +66 Sustained viewing +67 Thrill seeking +99 Other (describe in narrative) +Appendix F - 8 Circumstance Codes +FRA Guide for Preparing Accident/Incident Reports +APPENDIX F - Continued + TOOLS, MACHINERY, APPLIANCES, STRUCTURES, SURFACES, ETC. +CIRCUMSTANCE CODES +Select one of these codes and enter in Form F6180.55a, 5m. Tools. +59 Anchor +7F Animal, insect, reptile +01 Baggage +02 Ballast, stones, etc. +61 Bed +03 Boring tools +67 Box +80 Brakeshoe +04 Bridge/trestle +44 Cable +05 Caboose +7E Chains, straps, tie down devices. +34 Chair/seat +46 Chemicals, fumes, etc. +35 Chock +7H Compressor +7C Computer equipment +06 Coupler +83 Crane +07 Cutting tools +08 Derail +09 Door +1G Door, End or Side-Passenger Train +2G Door, Trap-Passenger Train +45 Electrical connections, wiring, etc. +10 End of train device +11 Floor +63 Food +12 Fusees/torpedoes +13 Grabiron +14 Ground +15 Hand tools, digging, e.g., shovels, picks, etc. +16 Hand tools, gripping, e.g., pliers, tongs, clamps +17 Hand tools, striking & nailing, e.g., hammers, + mallets +8F Hand tools, other +37 Handbrake +18 Highway, street, road +19 Hose +56 Hose connections +20 Inspection Pit +21 Jack +8K Knuckle +22 Ladder +40 Lever +51 Locomotive cab Door(s) +89 Locomotive cab floor +90 Locomotive cab seat +52 Locomotive cab electric locker doors +53 Locomotive car-body doors +50 Locomotive fire extinguisher +47 Locomotive horn +54 Locomotive radios +48 Locomotive refrigerator +49 Locomotive toilet +82 Locomotive, other +7A Luggage +84 MOW equipment +66 Motor +7K Motor vehicle, non rail +7J Needle, syringe,sharps +23 Office equipment +7G Plants, trees, foliage, etc. +43 Platform +24 Power tools +25 Pry bar +26 Rail bike +64 Refrigerator +8N Remote control transmitter +91 Repair shop-MOW +85 Repair shop-locomotive +86 Repair shop-Car +88 Rock, other than ballast +60 Signal equipment (gates, poles, gaffs, etc.) +57 Soap +38 Spike, tie plates, rail fasteners, etc +27 Stair step +36 Step/stirrup, equipment +65 Stove +28 Switch +87 Switch machine +29 Tie +62 Toilet +30 Torch, acetylene, gas, etc. +81 Track (Rail) +58 Traction motor +FRA Guide for Preparing Accident/Incident Reports +Appendix F - 9 Circumstance Codes +FRA Guide for Preparing Accident/Incident Reports +APPENDIX F - Continued +TOOLS, MACHINERY, APPLIANCES, STRUCTURES, SURFACES, ETC. +CIRCUMSTANCE CODES +(Continued from previous page) +31 Trailer/container on flat car (TOFC, COFC) +7L Weapon +32 Welder - electric +7M Welder/torch, other +33 Window +99 Other (describe in narrative) +FRA Guide for Preparing Accident/Incident Reports +APPENDIX F – Continued +Appendix F - 10 Circumstance Codes +PROBABLE REASON FOR INJURY/ILLNESS CIRCUMSTANCE CODES +Select one of these codes and enter in Form F6180.55a, 5n. Cause. +CONVENTIONAL OPERATIONS +01 Environmental +02 Safety equipment not worn or in place +03 Procedures for operating/using equipment not + followed +04 Equipment +05 Signal +06 Track +07 Impairment, substance use +08 Impairment, physical condition, e.g., fatigue +09 Human factor +10 Trespassing +11 Object fouling track +12 Outside caused (e.g., assaulted/attacked) +13 Lack of communication +14 Slack adjustment during switching operation +15 Insufficient training +16 Failure to provide adequate space between + equipment during switching operation +17 Close or no clearance +18 Slipped, fell, stumbled due to Passenger Station + Platform Gap +19 Act of God +99 Undetermined +REMOTELY CONTROLLED LOCOMOTIVE(S) ENVIRONMENT +21 Environmental, related to using RCL +22 Safety equipment not worn or in place, related to + using RCL +23 Procedures for operating/using equipment not + followed, related to using RCL +24 Equipment, related to using RCL +25 Signal, related to using RCL +26 Track, related to using RCL +27 Impairment, substance use, related to using RCL +28 Impairment, physical condition, e.g., fatigue, + related to using RCL +29 Human factor, related to using RCL +31 Trespassing, related to using RCL +R1 Object fouling track, related to using RCL +R2 Outside caused (e.g., assaulted/attacked), related + to using RCL +R3 Lack of communication, related to using RCL +R4 Slack adjustment during switching operation, + related to using RCL +R5 Insufficient training, related to using RCL +R6 Failure to provide adequate space between + equipment during switching operation, related to + using RCL +R7 Close or no clearance, related to using RCL +R8 Act of God, related to using RCL +39 Undetermined, related to using RCL +41 Environmental, unrelated to using RCL +42 Safety equipment not worn or in place, unrelated + to using RCL +43 Procedures for operating/using equipment not + followed, unrelated to using RCL +44 Equipment, unrelated to using RCL +45 Signal, unrelated to using RCL +46 Track, unrelated to using RCL +47 Impairment, substance use, unrelated to using + RCL +48 Impairment, physical condition, e.g., fatigue, + unrelated to using RCL +49 Human factor, unrelated to using RCL +50 Trespassing, unrelated to using RCL +U1 Object fouling track, unrelated to using RCL +U2 Outside caused (e.g., assaulted/attacked), + unrelated to using RCL +U3 Lack of communication, unrelated to using RCL +U4 Slack adjustment during switching operation, + unrelated to using RCL +U5 Insufficient training, unrelated to using RCL +U6 Failure to provide adequate space between + equipment during switching operation, unrelated + to using RCL +U7 Close or no clearance, unrelated to using RCL +U8 Act of God, unrelated to using RCL +59 Undetermined, unrelated to using RCL +Appendix G - 1 FRA Regional Offices +FRA Guide for Preparing Accident/Incident Reports + +APPENDIX G +FRA Regional Offices and Headquarters +REGION OFFICE PHONE + I (617) 494-2302 +Regional Administrator +Federal Railroad Administration +55 Broadway - Room 1077 +Cambridge, MA 02142 + II (610) 521-8200 +Regional Administrator +Federal Railroad Administration +Baldwin Tower, Suite 660 +1510 Chester Pike +Crum Lynne, PA 19022 + III (404) 562-3800 +Regional Administrator +Federal Railroad Administration +61 Forsyth Street, SW - Suite 16T20 +Atlanta, GA 30303-3104 + IV (312) 353-6203 +Regional Administrator +Federal Railroad Administration +200 West Adams Street +Chicago, IL 60606 + V (817) 862-2200 +Regional Administrator +Federal Railroad Administration +4100 International Plaza, Suite 450 +Fort Worth, TX 76109-4820 + VI (816) 329-3840 +Regional Administrator +Federal Railroad Administration +Department of Transportation Building +901 Locust Street - Suite 464 +Kansas City, MO 64106 +FRA Guide for Preparing Accident/Incident Reports +APPENDIX G – Continued +Appendix G - 2 FRA Regional Offices +REGION OFFICE PHONE + VII (916) 498-6540 +Regional Administrator +Federal Railroad Administration +801 I Street - Suite 466 +Sacramento, CA 95814 + VIII (360) 696-7536 +Regional Administrator +Federal Railroad Administration +500 Broadway, Suite 240 +Vancouver, WA 98660 +FRA HEADQUARTERS +Office of Safety Analysis (RRS-22) (202) 493-6287 +Federal Railroad Administration + U.S. Department of Transportation + West Building 3rd Floor, Room W33-437 + 1200 New Jersey Avenue, SE +Washington, DC 20590 +SAFETEAM@FRA.DOT.GOV +For updates to FRA Regional Offices, Contact Information, refer to: www.fra.dot.gov/us/content/3, and +click on "regional offices". +FRA Guide for Preparing Accident/Incident Reports +Appendix H - 1 Forms +APPENDIX H +Forms +Form FRA F 6180.54 Rail Equipment Accident/Incident Report + Form FRA F 6180.55 Railroad Injury and Illness Summary +Form FRA F 6180.55a Railroad Injury and Illness Summary +(Continuation Sheet) +Form FRA F 6180.56 Annual Railroad Report of Employee Hours and +Casualties, by State +Form FRA F 6180.57 Highway-Rail Grade Crossing Accident/Incident +Report +Form FRA F 6180.78 Notice to Railroad Employee Involved in Rail +Equipment Accident/Incident Attributed to Employee +Human Factor +Employee Statement Supplementing Railroad Accident +Report +Form FRA F 6180.81 Employee Human Factor Attachment +Form FRA F 6180.97 Initial Rail Equipment Accident/Incident Record + Form FRA F 6180.98 Railroad Employee Injury and/or Illness Record +Form FRA F 6180.107 Alternative Record for Illnesses Claimed to be +Work-Related +Form FRA F 6180.150 Highway User Injury Inquiry Form +1. Name of Reporting Railroad 1b. Railroad Accident/Incident No. + 3. Name of Railroad or Other Entity Responsible for Track Maintenance (single entry) + 7. Type of Accident/ + Incident (single + entry in code box) + 8. Cars Carrying + HAZMAT +14. Milepost (to +nearest tenth) + 9. HAZMAT Cars + Damaged/Derailed + Code + 17. Temperature (F) +(Specify if minus) +1a. Alphabetic Code +18. Visibility (single entry) + 2b. Railroad Accident/Incident No. 2. Name of Other Railroad or Other Entity with Consist Involved 2a. Alphabetic Code +3a. Alphabetic Code 3b. Railroad Accident/Incident No. +4. U.S. DOT Grade Crossing Identification Number 5. Date of Accident/Incident 6. Time of Accident/Incident +AM PM month day year +1. Derailment +2. Head on collision +3. Rear end collision +4. Side Collision +5. Raking collision +6. Broken train collision +7. Hwy-rail crossing +8. RR grade crossing +9. Obstruction +10. Explosion-detonation +11. Fire/violent rupture +12. Other impacts +13. Other +(describe in + narrative) + 10. Cars Releasing + HAZMAT + 11. People + Evacuated +12. Subdivision +13. Nearest City/Town 15. State + Abbr. +16. County +o + F 1. Dawn 3. Dusk +2. Day 4. Dark +Code 19. Weather (single entry) +1. Clear 3. Rain 5. Sleet +2. Cloudy 4. Fog 6. Snow +Code 20. Type of Track Code +1. Main 3. Siding +2. Yard 4. Industry +21. Track Name/ + Number +22. FRA Track + Class (1-9, X) +Code 23. Annual Track + Density (gross +tons in millions) +24. Time Table Direction +1. North 3. East +2. South 4. West +Code +Code + OMB No. 2130-0500 DEPARTMENT OF TRANSPORTATION RAIL EQUIPMENT ACCIDENT/INCIDENT REPORT +FEDERAL RAILROAD ADMINISTRATION (FRA) + 25. Type of Equipment + Consist + (single entry) +31. Principal Car/Unit +26. Was Equipment + Attended? + 28. Speed (recorded speed, if available) + 29. Trailing Tons (gross tonnage, + excluding power units) + 33. Was this consist transporting passengers? (y/n) +27. Train Number/Symbol + (1) First Involved + (derailed, struck, etc.) +Code +1. Freight Train +2. Passenger Train-Pulling +3. Commuter Train-Pulling +4. Work train +5. Single Car +6. Cut of cars +7. Yard/switching +8. Light loco(s) +9. Maint./inspect. Car +A. Spec. MoW Equip. +B. Passenger Train-Pushing +C. Commuter Train-Pushing +D. EMU +E. DMU Code +1. Yes 2. No +R - Recorded +E - Estimated MPH +Code +Code +30a. Remotely Controlled Locomotive? +0 = Not a remotely controlled operation +1 = Remote control portable transmitter +2 = Remote control tower operation +3 = Remore control portable transmitter - + more than one remote + control transmitter + a. Initial and Number b. Position in Train c. Loaded (yes/no) + (2) Causing (if mechanical, + cause reported) +32. If railroad employee(s) tested for drug/alcohol use, + enter the number that were positive in + the appropriate box. Alcohol Drugs +34. Locomotive Units + (1) Total in Train + (2) Total Derailed +a. Head + End +Mid Train +b. Manual c. Remote d. Manual e. Remote +Rear End 35. Cars + (1) Total in Equipment + Consist + (2) Total Derailed +Loaded +a. Freight b. Pass. c. Freight d. Pass. +Empty +e. Caboose +36. Equipment Damage + This Consist +37. Track, Signal, Way, + & Structure Damage +38. Primary Cause + Code +39. Contributing + Cause Code +Number of Crew Members Length of Time on Duty +40. Engineers/ + Operators +41. Firemen 42. Conductors 43. Brakemen 44. Engineer/Operator + Hrs: Mins: +45. Conductor + Hrs: Mins: +Casualties to: +Fatal +Nonfatal +46. Railroad Employees 47. Train Passengers 48. Others +51. Longitude +49a. Special Study Block A +50. Latitude +FORM FRA F 6180.54 (Rev. 08/10) +52. Narrative Description (Be specific, and continue on separate sheet if necessary) +53. Typed/Printed Name & + Title of Preparer +54. Signature 55. Date +NOTE: This report is part of the reporting railroad's accident report pursuant to the accident reports statute and, as such shall not “be admitted as evidence or used for any purpose in any suit + or action for damages growing out of any matter mentioned in said report...." 49 U.S.C. 20903. See 49 C.F.R. 225.7 (b). +OMB approval expires 02/28/2014 +This collection of information is mandatory under 49 CFR 225, and is used by FRA to monitor national rail safety. Public reporting burden is estimated to average 2 hours per +response, including the time for reviewing instructions, searching existing databases, gathering and maintaining the data needed, and completing and reviewing the collection +of information. The information collected is a matter of public record, and no confidentiality is promised to any respondent. Please note that an agency may not conduct or +sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid OMB control number. The OMB control number for this +collection is 2130-0500. +(Exclude EMU, DMU, and + Cab Car Locomotives.) +(Include EMU, DMU, and + Cab Car Locomotives.) +49b. Special Study Block B +30. Type of Territory (enter code(s) that apply) +Signalization (Mandatory) +1. Signaled 2. Not Signaled +Method of Operation/Authority for Movement (Mandatory) +1. Signal Indication 2. Direct Train Control 3. Yard/Restricted Limits + 4. Block Register Territory 5. Other Than Main Track +Supplemental/Adjunct Codes (Mandatory*) +* Mandatory to the extent that all applicable codes are entered + 18. REPORTED CASUALTIES 19. NUMBER OF FRA FORMS ATTACHED +DEPARTMENT OF TRANSPORTATION +FEDERAL RAILROAD ADMINISTRATION (FRA) +RAILROAD INJURY AND ILLNESS SUMMARY +2. Alphabetic Code 3. Report Month & Year 4. State Alphabetic Code 5. County +7. Official Title +1. Name of Reporting Railroad +8. Address 9. Telephone (Area Code) (Number) + 10. +11. Freight Train Miles +20. Remarks Section. Please describe operational, environmental, or other circumstances that account for unusual fluctuations in train miles operated, employee hours, or + passenger counts. +OPERATIONAL DATA & ACCIDENT/INCIDENT COUNTS FOR REPORT MONTH +OMB No. 2130-0500 + FORM FRA F 6180.55 (Rev. 08/10) +This collection of information is mandatory under 49 CFR 225, and is used by FRA to monitor national rail safety. Public reporting burden is estimated to average +10 minutes per response, including the time for reviewing instructions, searching existing databases, gathering and maintaining the data needed, and completing +and reviewing the collection of information. The information collected is a matter of public record, and no confidentiality is promised to any respondent. Please +note that an agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid OMB +control number. The OMB control number for this collection is 2130-0500. +6. Name of Reporting Officer +If executed without (i.e., outside of) the United States: +I declare (or certify, verify, or state) under penalty of perjury under the laws of the United States of America that the information on this form is true and +correct. +Executed on _____________________ (date). +____________________________________________ (Signature). +If executed within the United States, its territories, possessions, or commonwealths: +I declare (or certify, verify, or state) under penalty of perjury that the information on this form is true and correct. +Executed on _____________________ (date). +____________________________________________ (Signature). +12. Passenger Train Miles +15. Railroad Worker Hours 16. Passenger Miles Operated +13. Yard Switching Train Miles 14. Other Train Miles +17. Number of Passengers Transported +Type of Person Fatal Nonfatal FRA Form Number Number Attached +Worker on duty – railroad employee +Railroad employees not on duty +Passengers on trains +Nontrespassers/ on railroad property +Trespassers +Worker on duty - contractor +Contractor - other +Worker on duty - volunteer +Volunteer - other +Nontrespassers/ off railroad property +6180.54 +6180.55a +6180.56 +6180.57 +6180.81 +Grand total +NOTE: This report is part of the reporting railroad's accident report pursuant to the accident reports statute and, as such shall not "be admitted as evidence + or used for any purpose in any suit or action for damages growing out of any matter mentioned in said report. . . ." 49 U.S.C. 20903. + See 49 C.F.R. 225.7 (b). +This report is required by law (49 USC 20901). Failure to report can result in the imposition of civil penalties. +OMB approval expires 02/28/2014 +DEPARTMENT OF TRANSPORTATION +FEDERAL RAILROAD ADMINISTRATION (FRA) +RAILROAD INJURY AND ILLNESS SUMMARY +(Continuation Sheet) +1. Name of Reporting Railroad 2. Alphabetic Code 3. Report Month +OMB No. 2130-0500 + FORM FRA F 6180.55a (Rev. 08/10) +This collection of information is mandatory under 49 CFR 225, and is used by FRA to monitor national rail safety. Public reporting burden is estimated to average +20 minutes per response, including the time for reviewing instructions, searching existing databases, gathering and maintaining the data needed, and completing +and reviewing the collection of information. In trespasser cases and in cases of suicide/attempted suicides, the estimated average time to complete this form is 50 +minutes and 65 minutes, respectively. The information collected is a matter of public record, and no confidentiality is promised to any respondent. Please note +that an agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid OMB control +number. The OMB control number for this collection is 2130-0500. +NOTE: This report is part of the reporting railroad's accident report pursuant to the accident reports statute and, as such shall not "be admitted as evidence + or used for any purpose in any suit or action for damages growing out of any matter mentioned in said report. . . ." 49 U.S.C. 20903. + See 49 C.F.R. 225.7 (b). +OMB approval expires 02/28/2014 +SHEET ___ OF ___ +4. Report Year +5a. +Accident/Injury Number +5b. +Day +5c. +Time +of Day +5d. +County +5e. +State +5f. +Type +Person/ +Job Code +5g. +Age +5h. +Drug/ +Alcohol Test + A D +5i. +Injury +Illness +Code +5j. +Physical +Act +5k. +Location +5l. +Event +5m. +Tools +5n. +Cause +5o. +Number of +Days Away +From Work +5p. +Number of +Days +Restricted +5r. +Special Case +Codes +5q. +Exposure to +Hazmat +5s. Latitude +5u. Narrative (Up to 250 Characters) +5t. Longitude +5a. +Accident/Injury Number +5b. +Day +5c. +Time +of Day +5d. +County +5e. +State +5f. +Type +Person/ +Job Code +5g. +Age +5h. +Drug/ +Alcohol Test + A D +5i. +Injury +Illness +Code +5j. +Physical +Act +5k. +Location +5l. +Event +5m. +Tools +5n. +Cause +5o. +Number of +Days Away +From Work +5p. +Number of +Days +Restricted +5r. +Special Case +Codes +5q. +Exposure to +Hazmat +5s. Latitude +5u. Narrative (Up to 250 Characters) +5t. Longitude +5a. +Accident/Injury Number +5b. +Day +5c. +Time +of Day +5d. +County +5e. +State +5f. +Type +Person/ +Job Code +5g. +Age +5h. +Drug/ +Alcohol Test + A D +5i. +Injury +Illness +Code +5j. +Physical +Act +5k. +Location +5l. +Event +5m. +Tools +5n. +Cause +5o. +Number of +Days Away +From Work +5p. +Number of +Days +Restricted +5r. +Special Case +Codes +5q. +Exposure to +Hazmat +5s. Latitude +5u. Narrative (Up to 250 Characters) +5t. Longitude +DEPARTMENT OF TRANSPORTATION +FEDERAL RAILROAD ADMINISTRATION (FRA) +ANNUAL RAILROAD REPORT +OF +EMPLOYEE HOURS AND CASUALTIES, BY STATE +1. Reporting Railroad 2. Alphabetic Code +OMB No. 2130-0500 + FORM FRA F 6180.56 (Rev. 08/10) +This collection of information is mandatory under 49 CFR 225, and is used by FRA to monitor national rail safety. Public reporting burden is +estimated to average 15 minutes per response, including the time for reviewing instructions, searching existing databases, gathering and +maintaining the data needed, and completing and reviewing the collection of information. The information collected is a matter of public +record, and no confidentiality is promised to any respondent. Please note that an agency may not conduct or sponsor, and a person is not +required to respond to a collection of information unless it displays a currently valid OMB control number. The OMB control number for this +collection is 2130-0500. +NOTE: This report is part of the reporting railroad's accident report pursuant to the accident reports statute and, as such shall not "be admitted as evidence + or used for any purpose in any suit or action for damages growing out of any matter mentioned in said report. . . ." 49 U.S.C. 20903. + See 49 C.F.R. 225.7 (b). +OMB approval expires 02/28/2014 +3. Report Year +State Employee Hours Casualties State Employee Hours +4. Establishments Included in this Report 5. Average Employment in Report Year +6. +Casualties +Alabama +Alaska +Arizona +Arkansas +California +Colorado +Connecticut +Delaware +District of Columbia +Florida +Georgia +Hawaii +Idaho +Illinois +Indiana +Iowa +Kansas +Kentucky +Louisiana +Maine +Maryland +Massachusetts +Michigan +Minnesota +Mississippi +Montana +7. Total Employee Hours for the Year +9. Typed Name and Title +8. Total Casualties During the Year +10. Signature 11. Date +Nebraska +Nevada +New Hampshire +New Jersey +New Mexico +New York +North Carolina +North Dakota +Ohio +Oklahoma +Oregon +Pennsylvania +Rhode Island +South Carolina +South Dakota +Tennessee +Texas +Utah +Vermont +Virginia +Washington +West Virginia +Wisconsin +Wyoming +Missouri +1. Name of Reporting Railroad 1b. Railroad Accident/Incident No. + 7. Nearest Railroad Station + 11. City (if in a city) 12. Highway Name or Number + Code +1a. Alphabetic Code +2a. Alphabetic Code 2b. Railroad Accident/Incident No. +3a. Alphabetic Code 3b. Railroad Accident/Incident No. +4. U.S. DOT Grade Crossing Identification Number 5. Date of Accident/Incident 6. Time of Accident/Incident +AM PM +month day year +8. Subdivision 10. State + Abbr. +9. County + OMB No. 2130-0500 +HIGHWAY-RAIL GRADE CROSSING +ACCIDENT/INCIDENT REPORT DEPARTMENT OF TRANSPORTATION +FEDERAL RAILROAD ADMINISTRATION (FRA) +FORM FRA F 6180.57 (Rev. 08/10) +55. Typed Name & Title 56. Signature 57. Date +NOTE: This report is part of the reporting railroad's accident report pursuant to the accident reports statute and, as such shall not “be admitted as evidence or used for any purpose in any suit + or action for damages growing out of any matter mentioned in said report...." 49 U.S.C. 20903. See 49 C.F.R. 225.7 (b). +OMB approval expires 02/28/2014 +Public Private +13. Type +A. Auto +B. Truck +C. Truck-trailer +D. Pick-up truck +E. Van +F. Bus +G. School bus +H. Motorcycle +J. Other motor vehicle +K. Pedestrian +M. Other (specify) +Code +Highway User Involved Rail Equipment Involved +17. Equipment +1. Train (units pulling) Code +2. Train (units pushing) +3. Train (standing) +4. Car(s) (moving) +5. Car(s) (standing) +6. Light loco(s) (moving) +7. Light loco(s) (standing) +8. Other (specify) +A. Train pulling – RCL +B. Train pushing – RCL +C. Train standing – RCL +D. EMU Locomotive(s) +E. DMU Locomotive(s) +14. Vehicle Speed +(est. mph + at impact) +15. Direction (geographical) +1. North 2. South 3. East 4. West +Code 18. Position of Car Unit in Train +19. Circumstance +1. Rail equipment struck highway user 2. Rail equipment struck by highway user +16. Position Code + 2. Stopped on crossing +Code +20a. Was the highway user and/or rail equipment involved + in the impact transporting hazardous materials? Code +1. Highway user 2. Rail equipment 3. Both 4. Neither +20b. Was there a hazardous materials release by +1. Highway user 2. Rail equipment 3. Both 4. Neither +Code +20c. State here the name and quantity of the hazardous material released, if any. +32. Type of + Crossing + Warning +1. Gates +2. Cantilever FLS +3. Standard FLS +4. Wig wags +5. Hwy. traffic signals +6. Audible +7. Crossbucks +8. Stop signs +9. Watchman +10. Flagged by crew +11. Other (specify) +12. None +Code(s) +33. Signaled Crossing Warning + (See reverse side for + instructions and codes) +Code +Code +35. Location of Warning +1. Both sides +2. Side of vehicle approach +3. Opposite side of vehicle approach +Code +36. Crossing Warning Interconnected + with Highway Signals +1. Yes +2. No +3. Unknown +Code +37. Crossing Illuminated by Street + Lights or Special Lights +1. Yes +2. No +3. Unknown +Code +38. Highway + User's + Age +39. Highway User's Gender +1. Male +2. Female +Code +40. Highway User Went Behind or in Front of Train + and Struck or was Struck by Second Train +1. Yes 2. No 3. Unknown +Code +41. Highway User +1. Went around the gate +2. Stopped and then proceeded +3. Did not stop +4. Stopped on crossing +5. Other (specify) +6. Went around/thru + temporary barricade + (if yes, see instructions) +7. Went thru the gate +8. Suicide/Attempted suicide +42. Driver Passed Standing Code + Highway Vehicle +1. Yes 2. No 3. Unknown +Code 43. View of Track Obscured by (primary obstruction) +1. Permanent structure +2. Standing railroad equipment +3. Passing train +4. Topography +5. Vegetation +6. Highway vehicles +Code +7. Other (specify) +8. Not obstructed +Casualties to: +46. Highway-Rail Crossing Users +Killed Injured +44. Driver was +1. Killed 2. Injured 3. Uninjured +Code 45. Was Driver in the Vehicle? +Code +1. Yes 2. No +47. Highway Vehicle Property Damage +(est. dollar damage) +48. Total Number of Vehicle Occupants +(including driver) +54. Narrative Description (Be specific, and continue on separate sheet if necessary) +53b. Special Study Block +50. Total Number of People on Train + (include passengers and train crew) +51. Is a Rail Equipment Accident/ + Incident Report Being Filed? +49. Railroad Employees +52. Passengers on Train +Code +1. Yes 2. No + 21. Temperature (Specify if minus) 22. Visibility (single entry) +1. Dawn 2. Day 3. Dusk 4. Dark +Code 23. Weather (single entry) +1. Clear 2. Cloudy 3. Rain 4. Fog 5. Sleet 6. Snow +25. Track Type Used by Rail + Equipment Involved +1. Main 2. Yard 3. Siding 4. Industry +Code +Code +F + 24. Type of Equipment + Consist + (single entry) +1. Freight Train +2. Passenger Train-Pulling +3. Commuter Train-Pulling +4. Work train +5. Single Car +6. Cut of cars +7. Yard/switching +8. Light loco(s) +9. Maint./inspect. Car +A. Spec. MoW Equip. +B. Passenger Train-Pushing +C. Commuter Train-Pushing +D. EMU +E. DMU Code +26. Track Number or Name +27. FRA Track + Class (1-9, X) +31. Time Table Direction +1. North 3. East +2. South 4. West +28. Number of Code + Locomotive Units +29. Number + of Cars + 30. Consist Speed (Recorded speed, if available) R - Recorded +E - Estimated MPH +Code +* NOTE THAT ALL CASUALTIES MUST BE REPORTED ON FORM FRA F 6180.55A +2. Name of Other Railroad or Other Entity Filing for Equipment Involved in Train Accident/Incident + 3. Name of Railroad or Other Entity Responsible for Track Maintenance (single entry) +34. Roadway Conditions +A. Dry +B. Wet +C. Snow/slush +D. Ice +E. Sand, Mud, Dirt, Oil, Gravel +F. Water (Standing, Moving) +53a. Special Study Block +1. Stalled or stuck on crossing + 3. Moving over crossing +4. Trapped on crossing by traffic +5. Blocked on crossing by gates +Video Taken? Yes No +Video Used? Yes No +INSTRUCTIONS FOR COMPLETING BLOCK 33 +Only if Types 1 - 6, Item 32 are indicated, mark in Block 33 the status of the warning devices at the crossing at the time of the accident, +using the following codes: + 1. Provided minimum 20-second warning. + 2. Alleged warning time greater than 60 seconds. + 3. Alleged warning time less than 20 seconds. + 4. Alleged no warning. + 5. Confirmed warning time greater than 60 seconds. + 6. Confirmed warning time less than 20 seconds. + 7. Confirmed no warning. +If status code 5, 6, or 7 was entered, also enter a letter code explanation from the list below: + A. Insulated rail vehicle. + B. Storm/lightning damage. + C. Vandalism. + D. No power/batteries dead. + E. Devices down for repair. + F. Devices out of service. + G. Warning time greater than 60 seconds attributed to accident-involved train stopping short of the crossing, but within track + circuit limits, while warning devices remain continuously active with no other in-motion train present. + H. Warning time greater than 60 seconds attributed to track circuit failure (e.g., insulated rail joint or rail bonding failure, track + or ballast fouled, etc.). + J. Warning time greater than 60 seconds attributed to other train/equipment within track circuit limits. + K. Warning time less than 20 seconds attributed to signals timing out before train’s arrival at the crossing/island circuit. + L. Warning time less than 20 seconds attributed to train operating counter to track circuit design direction. + M. Warning time less than 20 seconds attributed to train speed in excess of track circuit’s design speed. + N. Warning time less than 20 seconds attributed to signal system’s failure to detect train approach. + P. Warning time less than 20 seconds attributed to violation of special train operating instructions. + R. No warning attributed to signal system’s failure to detect the train. + S. Other cause(s). Explain in Narrative Description. +This collection of information is mandatory under 49 CFR 225, and is used by FRA to monitor national rail safety. Public +reporting burden is estimated to average 2 hours per response, including the time for reviewing instructions, searching +existing databases, gathering and maintaining the data needed, and completing and reviewing the collection of information. +The information collected is a matter of public record, and no confidentiality is promised to any respondent. Please note that +an agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it +displays a currently valid OMB control number. The OMB control number for this collection is 2130-0500. +Your Telephone Number Your home or mailing address +Home: ( ) +Work: ( ) +NOTICE TO RAILROAD EMPLOYEE INVOLVED IN RAIL EQUIPMENT ACCIDENT/INCIDENT +ATTRIBUTED TO EMPLOYEE HUMAN FACTOR +DEPARTMENT OF TRANSPORTATION +FEDERAL RAILROAD ADMINISTRATION (FRA) OMB No. 2130-0500 +PART I - NOTICE TO RAILROAD EMPLOYEE (To be completed by reporting railroad) +Name of Reporting Railroad Date of Accident/Incident Accident/Incident No. Location of Accident/Incident +(State, nearest city/town) + _____/_____/_____ + mo day year +Causes reported on Form FRA F6180.54 +Code Description +Employee's Name (First, middle, last) Job Title Name of Employing Railroad +Employee's Home Address +PURPOSE OF THIS FORM A rail accident occurred that may have at least partly been caused by human error (human factor). The railroad +involved with this accident is sending you this form because it is required by federal law to send this form to any railroad employee it believes +may have at least been partly responsible for causing the accident/incident. +Since the railroad has named you as an employee who may have been involved in this accident, the railroad is required by federal law to complete +Part I of this form and give you an opportunity within 45 days from the date that the notice was mailed or hand delivered to you to give in Part II +of this form your version of events relating to this accident. If you would like to complete this form but are unable to do so within the time limit, +you must provide an explanation to FRA and the railroad for the need for more time. While the railroad is required by federal law to send this form +to you, you are not legally required to complete this form. If you decide to complete the form, the railroad may, upon reviewing your +supplement, decide to revise its accident report. +In Part II of this form, you may submit a supplemental statement to FRA on any aspect of the railroad's report. If you decide that you would like +to send the railroad and FRA a statement, please follow the INSTRUCTIONS. +Name of Railroad Representative Signature of Railroad Representative Date Signed Date Mailed/Hand Delivered +If the employee decides to return this form to the railroad, the form should be sent to: [name and address of railroad representative] +PART II - SUPPLEMENT - EMPLOYEE STATEMENT REGARDING RAILROAD ACCIDENT REPORT + I would like to supplement the railroad's accident report with the following statement: +I have carefully read this statement and confirm that it is true to the best of my knowledge and belief. +_____________________________________ ____________________ Date Mailed/Hand Delivered to FRA: ___________________ + Signature Date Signed +NOTE: This Notice and Employee Supplement under 49 C.F.R. 225.12 are part of the reporting railroad's accident report to FRA pursuant to the accident + reports statute and, as such, shall not “be admitted as evidence or used for any purpose in any suit or action for damages growing out of any + matter mentioned in said report...." 49 U.S.C. 20903. See 49 C.F.R. 225.7 (b). +FORM FRA F 6180.78 (Rev. 08/10) +(Continue statement on separate sheet, if required, and mail with statement) +EMPLOYEE STATEMENT SUPPLEMENTING RAILROAD ACCIDENT REPORT +Applicable to this person? +Yes +Yes +No +No +Date Mailed/Hand Delivered to Railroad: ________________ +OMB approval expires 02/28/2014 +INSTRUCTIONS TO RAILROAD EMPLOYEE REGARDING COMPLETION OF PART II OF FORM FRA F 6180.78 +FREQUENTLY ASKED QUESTIONS +If you decide to complete this form, please follow these instructions: +1. Complete only Part II of this form. +2. Print or type your statement. +3. You may attach any relevant supporting documents, diagrams, photographs, or other evidence. +4. Sign and date your statement. +5. Send your original statement to the Federal Railroad Administration (FRA) at the following address: + Operating Practices Division + Federal Railroad Administration + RRS-11, Mail Stop 25 + 1200 New Jersey Avenue, S.E. + Washington, D.C. 20590 +6. Send a copy of your statement to your railroad. +7. Keep a copy of your statement for your own records. +8. Additional information concerning completion of this form may be obtained at FRA’s website at www.FRA.DOT.GOV . +Q. Who is a railroad employee? +A. FRA defines an employee for purposes of filling out this form as a Worker on Duty-Railroad Employee; Employee, Railroad +Employee not on duty; Worker on Duty-Contractor; or Worker on Duty-Volunteer. If you fit into any of these categories, you are a +railroad employee for purposes of filling out this form. +Q. Do I have to fill out the form? +A. No. Neither the railroad nor FRA requires you to fill out this form. Employee statements on this form are voluntary and +optional, not mandatory, and deciding not to send this form to FRA and the railroad does not imply that the employee admits or +endorses the railroad’s conclusions as to the cause of the accident or any other allegations. See 49 C.F.R. 225.12(g). +Q. Will my statements remain confidential? +A. Information that the employee wishes to withhold from the railroad must not be included in this Supplement. If the employee +wishes to provide confidential information to FRA, the employee should not use the Supplement form (part II of Form FRA F +6180.78), but rather provide such confidential information by other means, such as a letter to the employee’s collective +bargaining representative, or to the Office of Safety Assurance and Compliance, Federal Railroad Administration, RRS-10, Mail +Stop 25, 1200 New Jersey Avenue, S.E., Washington, D.C. 20590. The letter should include the name of the railroad making the +allegations, the date and place of the accident, and the rail equipment accident/incident number. +Q. Is this form part of the railroad’s accident report to FRA, and as such, may it be used in private litigation? +A. No. This form under 49 C.F.R. 225.12 is part of the railroad’s accident report to FRA pursuant to the accident reports statute +and as such shall not “be admitted as evidence or used for any purpose in any suit or action for damages growing out of any matter +mentioned in said report…” 49 U.S.C. 20903. See 49 C.F.R. 225.7(b). +Willful false statements can result in imposition of civil penalties. +This collection of information is mandatory under 49 CFR 225, and is used by FRA to monitor national rail safety. Public +reporting burden is estimated to average 10 minutes (Part I) and 1.5 hour (Part II) per response, including the time for +reviewing instructions, searching existing databases, gathering and maintaining the data needed, and completing and +reviewing the collection of information. The information collected is a matter of public record, and no confidentiality is +promised to any respondent. Please note that an agency may not conduct or sponsor, and a person is not required to +respond to a collection of information unless it displays a currently valid OMB control number. The OMB control number for +this collection is 2130-0500. +DEPARTMENT OF TRANSPORTATION +FEDERAL RAILROAD ADMINISTRATION (FRA) +EMPLOYEE HUMAN FACTOR ATTACHMENT +OMB No. 2130-0500 + FORM FRA F 6180.81 (Rev. 08/10) +This collection of information is mandatory under 49 CFR 225, and is used by FRA to monitor national rail safety. Public reporting burden is estimated +to average 15 minutes per response, including the time for reviewing instructions, searching existing databases, gathering and maintaining the data +needed, and completing and reviewing the collection of information. The information collected is a matter of public record, and no confidentiality is +promised to any respondent. Please note that an agency may not conduct or sponsor, and a person is not required to respond to a collection of +information unless it displays a currently valid OMB control number. The OMB control number for this collection is 2130-0500. +Note: This form under 49 C.F.R. 225.12 is part of the railroad's accident report to FRA pursuant to the accident reports statute and as +such shall not "be admitted as evidence or used for any purpose in any suit or action for damages growing out of any matter mentioned in +said report. . . ." 49 U.S.C. 20903. See 49 C.F.R. 225.7 (b). +Note: Under 49 C.F.R. 225.29, any person who violates any requirement of 49 C.F.R. Part 225 or causes the violation of any such +requirement is subject to a civil penalty. Penalties may be assessed against individuals only for willful violations. A person may also be +subject to criminal penalties provided for in 49 U.S.C. 21311. +OMB approval expires 02/28/2014 +Name of Reporting Railroad Railroad Accident/Incident No. + (Block 1b, FRA F 6180.54) +Date of Accident/Incident (mo/day/year) +The railroad has determined that (check only one) +a. One or more railroad employees was the primary or a contributing cause of the accident. +b. One or more railroad employees was not the primary or a contributing cause of the accident. +c. It is uncertain whether one or more railroad employees was a primary or a contributing cause of the accident. +If item “b” or “c” was checked, go to the last line of the form. If item “a” was checked, complete the following: +The railroad has identified (check only one) +3. None of the railroad employees who were the primary cause or a contributing cause of the accident/incident. +1. All the railroad employees who were the primary cause or a contributing cause of the accident/incident. +2. Some, but not all of the railroad employees who were the primary cause or contributing cause of the accident/incident. +If item “3” above was checked, go to the last line of this form. +If item “1” or “2” was checked, complete the following for each employee identified as the primary cause or a contributing +cause of the accident/incident. Attach additional pages if needed. +Name of Railroad Employee +(last, first, middle) +Job Title Railroad Code of +Employing Railroad +Cause Code(s) Applicable +to this Employee +Describe why the employee was the primary cause or contributing cause of the accident/incident. +Did the employee die as a result of the accident/incident? Yes No +Typed Name and Title Signature Date +INSTRUCTIONS FOR COMPLETING FORM FRA F 6180.81 “EMPLOYEE HUMAN FACTOR ATTACHMENT” +FREQUENTLY ASKED QUESTIONS +Requirements +If, in reporting a rail equipment accident/incident on Form FRA F 6180.54, a railroad cites an employee human factor as the primary cause or a +contributing cause of the accident, the railroad that cited such employee human factor must complete Form FRA F 6180.81, entitled “Employee +Human Factor Attachment.” +The Form FRA F 6180.81 must be attached to its related Rail Equipment Accident/Incident report. +This Form is only used in connection with a reportable rail equipment accident/incident where Form FRA F 6180.54 submitted to FRA identifies +an employee human factor as either the primary cause or contributing cause of the accident. +General Instruction +Each employee identified on Form FRA F 6180.81 must be notified that he or she has been identified as a possible primary or a contributing +cause of an accident. That notification is to be given on Form FRA F 6180.78. Instructions for completing Form FRA F 6180.78 are noted +on the attachment to that form. You also may wish to refer to the FRA Guide for Preparing Accident/Incident Reports, or FRA’s website at +www.FRA.DOT.GOV for completion of that form. +Q. Under what circumstances must the reporting railroad complete a Form FRA F 6180.81? +A. This form should be completed only when a railroad, in reporting a rail equipment accident/incident to FRA assigns any of the cause codes listed +under “Train Operation”-Human Factors as listed in Appendix C to the FRA Guide for Preparing Accident/Incident Reports as the primary cause or a +contributing cause of the rail equipment accident/incident. +Q. What is the definition of a “railroad employee” for purposes of completing this form? +A. “Railroad Employee” means Worker on Duty-Railroad Employee (Class A), Railroad Employee not on Duty (Class B), Worker on DutyContractor (Class F), and Worker on Duty-Volunteer (Class H). See 49 C.F.R. 225.5, 225.12. +Q. What is the definition of “the primary cause or a contributing cause”? +A. The “primary cause or a contributing cause” is an act, omission, or physical condition such as alcohol intoxication, fatigue, or legal or illegal drug +use that was the main cause or a contributing cause of the accident/incident. If an employee was intoxicated or fatigued, but the accident would +have happened anyway and with the same degree of severity, then the intoxication, fatigue is not the primary or a contributing cause. If the +employee’s act, omission, or physical condition only remotely contributed to the accident/incident, this is still a contributing cause of the accident. +Q. Should I send a Form FRA F 6180.78 to an employee’s home if the employee died as a result of the accident? +A. No. A Notice for an employee must not be sent if that employee has died as a result of that accident. A Notice is not required and is not +recommended for an employee who has died due to any cause by the time that Notice is ready to be sent. +Q. What should I do if the railroad alleges an employee from another railroad is the primary cause or a contributing cause of the accident? +A. You should notify the employee’s railroad that the reporting railroad alleges that the primary or a contributing cause of the accident was that +employee. The employee’s railroad should then promptly provide to the reporting railroad the name, title, address, and medical status of that +employee. +Q. What if the reporting railroad cannot initially identify an employee as the primary cause or a contributing cause of an accident but +subsequently does identify such employee? +A. The reporting railroad should prepare a revised form FRA F 6180.81 and forward it to FRA. In addition, the reporting railroad, will have 15 days +from the date of the revised form to send an FRA F 6180.78 to that employee. +Q. May a reporting railroad ever defer notice to an employee? +A. Yes. Particularly if the employee was seriously injured, a railroad may defer notice to the employee. +Q. Must the reporting railroad attach a Form FRA F 6180.81 to the Form FRA F 6180.54 if the reporting railroad has scheduled or is conducting a +formal investigation of the accident to determine if it was caused by human factor, but the investigation is not concluded before the filing of the +regular monthly report? +A. Yes. The reporting railroad must nevertheless attach the FRA F 6180.81 to the Form FRA F 6180.54. Moreover, when completing the 6180.81 +in this situation, the reporting railroad should in the “Brief Description” block, explain that the employees have not been named because the railroad +is still conducting a formal investigation. Indicate whether the formal investigation is currently in progress or the date that it is scheduled to begin. +Once the investigation is completed, the reporting railroad must file a “corrected copy” of the Form FRA F 6180.81 for each implicated employee. +Q. When must the reporting railroad notify the implicated employee? +A. A Notice for an employee must be sent within 45 days from the end of the month in which the accident occurred, unless the employee has died, +or in the reporting railroad’s discretion, the reporting railroad should defer notice. +DEPARTMENT OF TRANSPORTATION +FEDERAL RAILROAD ADMINISTRATION (FRA) +INITIAL RAIL EQUIPMENT ACCIDENT/INCIDENT RECORD +3. Name of Railroad +31. Narrative Description (Be specific, and continue on separate sheet if necessary) +OMB No. 2130-0500 + FORM FRA F 6180.97 (Rev. 08/10) +This collection of information is mandatory under 49 CFR 225, and is used by FRA to monitor national rail safety. Public reporting burden is estimated +to average 30 minutes per response, including the time for reviewing instructions, searching existing databases, gathering and maintaining the data +needed, and completing and reviewing the collection of information. The information collected is a matter of public record, and no confidentiality is +promised to any respondent. Please note that an agency may not conduct or sponsor, and a person is not required to respond to a collection of +information unless it displays a currently valid OMB control number. The OMB control number for this collection is 2130-0500. +30. Casualties Nonfatal Fatal +Worker on duty – railroad employee +Railroad employees not on duty +Passengers on trains +Nontrespassers/on railroad property +Trespassers +Worker on duty - contractor +Contractor - other +Worker on duty - volunteer +Volunteer - other +Nontrespassers/off railroad property +NOTE: This report is part of the reporting railroad's accident report pursuant to the accident reports statute and, as such shall not "be admitted as evidence + or used for any purpose in any suit or action for damages growing out of any matter mentioned in said report. . . ." 49 U.S.C. 20903. + See 49 C.F.R. 225.7 (b). +OMB approval expires 02/28/2014 +33. Name of Railroad Official 34. Signature 35. Telephone Number 36. Date initially +signed/completed +32. Was this accident/incident reported to the FRA? Yes No +Nonfatal Fatal +5. Other Railroad or Entity +1. Date of Accident/Incident (YY/MM/DD) 2. Time of Accident/Incident AM +PM +4. Incident Number +6. Incident Number +7. Railroad or Other Entity Responsible for Track Maintenance 8. Incident Number +9. Type of Accident/Incident (Derailment, Collision, Obstruction, Other) + 10. Number of Hazmat Cars Damaged or Derailed 11. Number of Hazmat Cars Releasing Product +12. Subdivision 13. Nearest City/Town 14. County 15. State +16. Milepost (to nearest tenth) 17. Specific Site + 18. Speed Actual +Estimated +19. Train/Job Number +20. Type of Equipment (Freight, Passenger, Yard/Switching, etc.) 21. Type of Track (Main, Yard, Siding, Industry) +22. Total Locomotive Units in Train +26. Equipment Damage (in dollars) +28. Primary Cause +23. Total Locomotives Derailed +29. Contributing Cause +27. Track, Signal, Way & Structure Damage (in dollars) +24. Total of Cars in Equipment Consist 25. Total Cars Derailed +EMPLOYEE INFORMATION +RAILROAD EMPLOYEE INJURY AND/OR ILLNESS RECORD +DEPARTMENT OF TRANSPORTATION +FEDERAL RAILROAD ADMINISTRATION (FRA) OMB No. 2130-0500 +FORM FRA F 6180.98 (Rev. 08/10) OMB approval expires 02/28/2014 +ACTIVITY/INCIDENT/EXPOSURE DESCRIPTION +1. Railroad 2. Case/Incident Number +3. Last Name, First Name, Middle Initial 4. Date of Birth 5. Sex (M/F) 6. Employee ID Number 7. Date Hired +HOME +ADDRESS: +ESTABLISHMENT/ +FACILITY WHERE +EMPLOYEE +NORMALLY REPORTS: +18. Job Title +8. Street Address (include Apt. No.) +13. Name of Facility +14. Street Address +9. City 10. State 11. ZIP 12. Home Telephone No. + (include area code) +15. City 16. State 17. ZIP +19. Department Assigned To +NOTE: This report is part of the reporting railroad's accident report pursuant to the accident reports statute and, as such shall not "be admitted as evidence + or used for any purpose in any suit or action for damages growing out of any matter mentioned in said report. . . ." 49 U.S.C. 20903. + See 49 C.F.R. 225.7 (b). +LOCATION WHERE +ACCIDENT/ +INCIDENT/ +EXPOSURE +OCCURRED: +COMPANY +NOTIFICATION: +20. Specific Site +21. City 22. County 23. State 24. ZIP +25. Is this on your premises? +Yes No +26. Date of Occurrence 27. Time Shift Began AM +PM +28. Time of Occurrence AM 29. Was person on duty? +PM +AM +PM +31. Time that Employee Notified + Company Personnel of Condition +30. Date that Employee Notified + Company Personnel of Condition +32. Person Notified +Yes No +33. Describe the general activity this person was engaged in prior to injury/illness. +34. Describe all factors associated with this case that are pertinent to an understanding of how it occurred. Include a discussion of the sequence of +events leading up to it, and the tools, machinery, processes, material, environmental conditions, etc., involved. +This collection of information is mandatory under 49 CFR 225, and is used by FRA to monitor national rail safety. Public reporting burden is +estimated to average 1 hour per response, including the time for reviewing instructions, searching existing databases, gathering and +maintaining the data needed, and completing and reviewing the collection of information. The information collected is a matter of public +record, and no confidentiality is promised to any respondent. Please note that an agency may not conduct or sponsor, and a person is not +required to respond to a collection of information unless it displays a currently valid OMB control number. The OMB control number for this +collection is 2130-0500. +INJURY/CONDITION INFORMATION +35. Describe in detail the injury/condition that this person sustained. Include a discussion of the body parts affected. If this is a recurrence, list date +of last occurrence. +36. Identify all persons and organizations used to evaluate and/or treat condition. (Include facility, provider, and address) +37. Describe all procedures, medications, therapy, etc., used/recommended for the treatment of condition: +40. Has this employee been provided an opportunity to review his or her file? +41. Preparer’s Name 42. Preparer’s Title 43. Telephone Number 44. Date initially +signed/completed +Yes No +39. If any of the above consequences occurred, the injury/condition is almost always reportable to FRA on Form FRA F 6180.55a. If you believe this case +does not meet the reporting criteria, you must give a brief explanation below of the basis for this decision. Was the case reported? Yes No +38. Check any of the following consequences resulting from this injury/condition: +Death. Date of: _______________ +Restriction of work. Reportable days of restricted activity: ____________ as of: ____________ +Occupational illness. Date of initial diagnosis: +Instructions to obtain prescription medication, or receipt of prescription medication. +Missed a day of work or next shift. Reportable days absent from work: ____________ as of: ____________ +Significant injury/illness, one meeting specific case criteria, or a covered data case. +Medical treatment. This includes any medical care or treatment beyond “first aid” that is given, or should have been given, regardless of +who provided the treatment. “First Aid” treatment is limited to very simple procedures, e.g., application of a bandaid on minor scratches, +cuts, abrasions, etc. +Transfer to another job or termination of employment. +Hospitalization for treatment as an +inpatient. +Multiple treatments or therapy sessions. +Loss of consciousness. +DEPARTMENT OF TRANSPORTATION +FEDERAL RAILROAD ADMINISTRATION (FRA) +ALTERNATIVE RECORD FOR ILLNESSES CLAIMED TO BE WORK-RELATED +1. Name of Reporting Railroad +19. Narrative +OMB No. 2130-0500 + FORM FRA F 6180.107 (Rev. 08/10) +This collection of information is mandatory under 49 CFR 225, and is used by FRA to monitor national rail safety. Public reporting burden is estimated to average +75 minutes per response, including the time for reviewing instructions, searching existing databases, gathering and maintaining the data needed, and completing +and reviewing the collection of information. The information collected is a matter of public record, and no confidentiality is promised to any respondent. Please +note that an agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid OMB +control number. The OMB control number for this collection is 2130-0500. +NOTE: This report is part of the reporting railroad's accident report pursuant to the accident reports statute and, as such shall not "be admitted as evidence + or used for any purpose in any suit or action for damages growing out of any matter mentioned in said report. . . ." 49 U.S.C. 20903. + See 49 C.F.R. 225.7 (b). +OMB approval expires 02/28/2014 +Q1. The only information provided to the railroad was the employee’s name and Employee ID Number. Further attempts to +complete the other data elements were rejected by the employee and/or his or her attorney. Does this meet FRA requirements? +A1. Yes. The railroad should continue to complete all the data elements when the information becomes available and should make +a good faith effort to obtain the information. However, the railroad is not expected to continue this effort past December 1 of the +year that follows the date on which the railroad first received a claim of the illness. +2. Case/Incident Number +3. Employee’s Name (First, middle, last) +4. Employee’s Date of Birth +(mm/dd/yy) +5. Employee’s Gender +9. Employee’s Home Telephone +Number (with area code) +10. Name of Facility Where Railroad Employee Normally Reports to Work +8. Employee’s Home Address (include street address, city, State and ZIP code) +13. Department to Which Employee is Assigned +14. Date on Which Employee or Representative +Notified Company Personnel of Condition (mm/dd/yy) +17. Nature of Claimed Illness +18.a. Custodian of Documents (Name, Title, and Address) +15. Name of Railroad Official Notified 16. Title of Railroad Official Notified +QUESTIONS AND ANSWERS +20. Preparer’s Name 21. Preparer’s Title 22. Preparer’s Telephone +Number (with area code) 23. Date initially signed/completed +18.b. Location of Supporting Documentation +12. Job Title of Railroad Employee +11. Location, or Last Known Facility, Where Employee Reports to Work +Male Female +6. Employee ID Number 7. Date Employee was Hired +(mm/dd/yy) +18. Supporting Documentation + HIGHWAY USER INJURY INQUIRY FORM +DEPARTMENT OF TRANSPORTATION +Federal Railroad Administration (FRA) OMB No. 2130-0500 +PART I – Highway Rail-Grade Crossing Accident/Incident (To be completed by reporting railroad) +1a. Date of Accident/Incident (mm/dd/yyyy) 1b. Time of Accident/Incident AM PM +2a. Name of Railroad + + +2b. Alphabetic Code 3. Railroad Accident/Incident Number +4. U.S. DOT Grade Crossing Identification Number +5. Highway Name or Number 6. City (if in a city) 7. County 8. State Abbr. +PART II - Highway User Statement (To be completed by highway user or highway user's representative) +9a. Highway User’s Last Name + +9b. First Name 9c. Middle Initial 10. Highway User 's Age +11. Highway User's Telephone (Primary) 12. Highway User's Telephone (Secondary) 13. Highway User's E-mail Address +14. Highway User's Mailing Address +15a. Did you suffer an injury, or injuries, as a result of the highway-rail grade accident/incident described above? Yes No +15b. Narrative Description: If you answered "Yes" to 15a., please describe the nature and severity of your injury, or injuries, the event(s) that caused the injury, or + injuries, and any other relevant information. You may continue the Narrative Description on back of form. + + +16a. As a result of your injury, or injuries, caused by the highway rail-grade crossing accident/incident, did you (please check all that apply and complete the Narrative + Description in 16b.): + (i) Receive medical treatment beyond first aid (i.e. prescription medication or stitches) + (ii) Lose consciousness + (iii) Suffer a fractured or cracked bone, or a punctured eardrum diagnosed by a physician or other licensed health care provider + (iv) Receive transportation from the highway rail-grade crossing accident/incident to a medical facility via emergency medical transportation (EMT) (i.e. ambulance) +16b. Narrative Description: (1) Describe any medical treatment received as a result of the accident; (2) Provide additional information about the boxes checked in + 16a. above; and (3) Provide other related information. You may continue the Narrative Description on back of form. +17a. Name of Person Completing Part II + + Check Appropriate Box: + Highway User + Highway User's Representative +17b. Highway User’s Representative’s + Name (if applicable): + Telephone Number: + Relationship: +18. Signature 19. Date +Note: Railroads are required to send this form under 49 CFR 225. +FORM FRA F 6180.150 (Rev. 08/10) NOTE THAT RAILROAD MUST REPORT ALL REPORTABLE CASUALTIES ON FORM FRA F 6180.55a + + OMB approval expires 02/28/2014 +HIGHWAY USER INJURY INQUIRY FORM +(Continued) +Identifying Information (from first page) : + Date of Accident/Incident (mm/dd/yyyy) Railroad Accident/Incident Number + Highway User’s Last Name + +First Name Middle Initial +Narrative Description - Continued (If additional space was needed in the Narrative Description boxes (15b. and 16b.), from the other side of this form, please + continue the narrative in this box.) +Public reporting burden is estimated to average 50 minutes per response for railroads for their part of this form and 45 +minutes for highway users or their representatives for their part of this form. This includes the time for reviewing instructions, +searching existing databases, gathering and maintaining the data needed, and completing and reviewing the collection of +information. Responses by the railroad are mandatory and responses by highway users or their representatives to this +collection of information are voluntary. The information collected is a matter of public record, and no confidentiality is +promised to any respondent. Please note that an agency may not conduct or sponsor, and a person is not required to +respond to a collection of information unless it displays a currently valid OMB control number. The OMB control number for +this collection is 2130-0500. +FRA Guide for Preparing Accident/Incident Reports +Appendix I - 1 Model Internal Control Plans +APPENDIX I +Model Internal Control Plans, Including Model Statement of Policy +Against Harassment and Intimidation and Model Complaint Procedures +Explanatory Note +The Federal Railroad Administration’s (FRA) safety regulations require railroads to adopt and +comply with a written Internal Control Plan (ICP) on accident/incident reporting. (See Chapter 1 +of Guide.) The intent of the ICP requirement is to ensure that the railroad’s Reporting Officer +has the required information to prepare accurate accident/incident reports to FRA and that +employees are not afraid to provide relevant information. +Section 225.33(a) of Title 49 of the Code of Federal Regulations (49 CFR § 225.33(a)) specifies +the components to be included in an ICP. All railroads subject to 49 CFR Part 225 must have +an ICP with either: +two components (corresponding to § 225.33(a)(1)-(2); or +11 components (corresponding to § 225.33(a)(1)-(11). +Certain small railroads need have only a two-component ICP. In particular, 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 statute (Title 49 U.S. Code, Chapter 211) and noninsular tourist and historic railroads that operate or own track exclusively off the general system +must have a two-component ICP. (See § 225.3(b), 61 Fed. Reg. 67490 (Dec. 23, 1996).) The +first component involves adopting, disseminating, and complying with a policy statement against +harassment and intimidation, including a statement of the disciplinary action to be imposed for +violation of this policy. The second component entails (i) having both a procedure for +processing complaints of violations and a policy not to retaliate against complainants and (ii) +disclosing such procedure and policy. +Other railroads subject to Part 225 must have a full-scale ICP that includes all 11 +components specified in § 225.33(a)(1)-(11). +Primarily to assist small railroads in developing their ICPs, FRA is presenting in this appendix +two model ICPs that can be used. Each contains blanks to be completed by the railroad. +For railroads required to have only a two-component ICP, Model 1 is a suggested twocomponent ICP. +For railroads required to have an 11-component ICP, Model 2 is a suggested ICP for such +railroads with fewer than 200 employees. +FRA Guide for Preparing Accident/Incident Reports +APPENDIX I – Continued +Appendix I - 2 Model Internal Control Plans +These models are only suggestions. A railroad’s trade organization may have its own model +ICP. There is no definitive ICP. Large railroads, because of their complexity, may prefer to +develop an ICP quite different from Model 2, and yet still be consistent with the regulation. +Smaller railroads may also decide to depart from the suggested models. Details, such as the +structure, forms, lines of communication, and instructions, are left to the railroad’s discretion to +design and implement. FRA recommends that railroads structure their ICPs in the same manner +that the CFR shows the components, e.g., 49 CFR 225.33(a)(1), then 225.33(a)(2), then +225.33(a)(3), etc. +A railroad may develop some synthesis between plans and develop its own plan so long as it is +consistent with the regulation. Railroads may follow any applicable model ICP provided in the +Guide and are also encouraged to tailor their ICP based upon their particular operation, structure, +or situation. After the ICP is put in place, if any significant changes to the railroad’s internal +reporting procedures occur, the ICP must be amended. +FRA Guide for Preparing Accident/Incident Reports +APPENDIX I – Continued +Appendix I - 3 Model Internal Control Plans +Model 1: +Model Statement of Policy against Harassment and Intimidation; +Model Complaint Procedures +Policy Statement of [Name of Railroad Company] +Concerning Complete and Accurate Reporting +of Accidents, Incidents, Injuries, and Occupational Illnesses +without Harassment or Intimidation +This railroad is committed to complete and accurate reporting of all accidents, incidents, injuries, +and occupational illnesses arising from the operation of the railroad, to full compliance with the +letter and spirit of the Federal Railroad Administration’s accident reporting regulations, and to +the principle, in absolute terms, that harassment or intimidation of any person that is calculated +to discourage or prevent such person from receiving proper medical treatment or from reporting +such accident, incident, injury, or illness will not be permitted or tolerated and will result in +disciplinary action in the form of ______________ against any employee, supervisor, manager, +or officer of this railroad committing such harassment or intimidation. +This policy statement is required by Federal regulation, 49 CFR § 225.33(a)(1)-(2), and all +employees, supervisory personnel, and management have been provided a copy of this Policy +Statement [when starting employment and/or by its remaining posted in a conspicuous location +where they can reasonably be expected to see it]. +[NOTE: 49 CFR § 225.33(a)(2) requires disclosure to all railroad employees, supervisors, +and management of the railroad’s procedures for dealing with complaints of violations of +the preceding policy, and the railroad’s guarantee of “whistleblower” protection to any +person subject to the policy. Disclosure may be accomplished by combining the following +paragraph with the preceding policy statement and disseminating the combination. +Alternatively, the following information may be disclosed separately, by other means.] +[Complaint Procedures] +This railroad will investigate/implement the following procedure to process all complaints from +any person about the policy stated above being violated: ________________________________ +___________________________. This railroad will implement the following procedure in order +to impose the appropriate prescribed disciplinary actions on any employee, supervisor, manager, +or officer of the railroad found to have violated the policy: ______________________________ +______________________. This railroad shall provide “whistleblower” protection to any +person subject to this policy. Any act of intimidation should be reported to our railroad +president/operating officer/[ title ] ,_____________________. +FRA Guide for Preparing Accident/Incident Reports +APPENDIX I – Continued +Appendix I - 4 Model Internal Control Plans +Model 2: +Model Internal Control Plan for Smaller Railroads +(suggested size: fewer than 200 employees) +RAILROAD +NAME: ________________________________________________________________ +ADDRESS: _________________________TELEPHONE: _____________________ + __________________________FAX: ___________________ +OTHER +ADDRESS, +(if any): __________________________TELEPHONE: __________________ + + __________________________FAX: ___________________ + +FEDERAL RAILROAD ADMINISTRATION (FRA) ACCESS + TO INTERNAL CONTROL PLAN +The Internal Control Plan shall be maintained at the office where the railroad’s accident/incident +Reporting Officer conducts his or her official business. The Plan shall be available for +examination and copying by Federal Railroad Administration representatives (including +participating State personnel) during normal business hours. +Policy Statement of [Name of Railroad Company] +Concerning Complete and Accurate Reporting +of Accidents, Incidents, Injuries, and Occupational Illnesses +without Harassment or Intimidation +This railroad is committed to complete and accurate reporting of all accidents, incidents, injuries, +and occupational illnesses arising from the operation of the railroad, to full compliance with the +letter and spirit of FRA’s accident reporting regulations, and to the principle, in absolute terms, +that harassment or intimidation of any person that is calculated to discourage or prevent such +person from receiving proper medical treatment or from reporting such accident, incident, injury, +or illness will not be permitted or tolerated and will result in the following disciplinary action +FRA Guide for Preparing Accident/Incident Reports +APPENDIX I – Continued +Appendix I - 5 Model Internal Control Plans +against any employee, supervisor, manager, or officer of the railroad committing such +harassment or intimidation. +Disciplinary Action: _______________________________________________________ +________________________________________________________________________ +________________________________________________________________________ +________________________________________________________________________ +The preceding Policy Statement has been disseminated to all employees, supervisory personnel, +and management. +[NOTE: 49 CFR § 225.33(a)(2) requires disclosure to all railroad employees, supervisors, +and management of the railroad’s procedures for dealing with complaints of violations of +the preceding policy and the railroad’s guarantee of “whistleblower” protection to any +person subject to the policy. Disclosure may be accomplished by combining the following +paragraph with the preceding policy statement and disseminating the combination. +Alternatively, the following information may be disclosed separately, by other means.] +COMPLAINT PROCEDURES +Railroad procedures to process a complaint of violation of the Policy: +________________________________________________________________________ +________________________________________________________________________ +Railroad procedures to impose the appropriate prescribed disciplinary actions on each employee, +supervisor, manager, or officer of the railroad found to have violated the Policy: +________________________________________________________________________ +________________________________________________________________________ + These procedures have been disclosed to railroad employees, supervisors, managers, and +officers, including the stipulation that “whistleblower” protection is provided to any +person subject to the Policy. +FRA Guide for Preparing Accident/Incident Reports +APPENDIX I – Continued +Appendix I - 6 Model Internal Control Plans +INTERNAL REPORTING FORMS AND PROCEDURES +The following internal forms or computer reporting system, or both, are used for the collection +and internal recording of accident/incident information: + Forms (attached) +1. _____________________ 3. _____________________ +2. _____________________ 4. _____________________ +Description of the internal procedures used by the railroad for the processing of forms or +computerized data, or both, regarding accident/incident information: +______________________________________________________________________ +______________________________________________________________________ +______________________________________________________________________ +______________________________________________________________________ +______________________________________________________________________ +______________________________________________________________________ +INTERNAL REVIEW PROCEDURES +Description of the internal review procedures for accident/incident information collected and +reports prepared by the railroad’s safety, claims, medical, and other departments engaged in +collecting and reporting accident/incident information: +________________________________________________________________________ +________________________________________________________________________ +________________________________________________________________________ +________________________________________________________________________ +Description of internal procedures for collecting cost data and compiling costs with respect to +accident/incident information: +_________________________________________________________________________ +_________________________________________________________________________ +_________________________________________________________________________ +_________________________________________________________________________ +FRA Guide for Preparing Accident/Incident Reports +APPENDIX I – Continued +Appendix I - 7 Model Internal Control Plans +Description of internal procedures for ensuring adequate communication between the railroad +department responsible for reporting accidents/incidents to FRA and any other railroad +department responsible for collecting, receiving, processing, and reporting information on +accidents/incidents: +__________________________________________________________________________ +__________________________________________________________________________ +___________________________________________________________________________ +___________________________________________________________________________ +Procedures for updating accident/incident information prior to reporting to FRA: +________________________________________________________________________ +________________________________________________________________________ +________________________________________________________________________ +After reporting to FRA, amendments to accident/incident reports are made as specified in the +“FRA Guide for Preparing Accident/Incident Reports.” +ATTACHMENTS: Policy Statement + Complaint Procedures + Internal Reporting Forms +RAILROAD AUDITS +The railroad officer responsible for auditing the performance of the reporting function is: +________________________________ _________________________________ + (Name) (Title) +A railroad audit will be conducted at least once each calendar year. For purposes of inspection +and copying by the FRA, the most recent railroad audit report may be found at: +_____________________________________. + (Location) +FRA Guide for Preparing Accident/Incident Reports +APPENDIX I – Continued +Appendix I - 8 Model Internal Control Plans +RAILROAD ORGANIZATION +A. The specific departments within a railroad whose personnel regularly come into possession +of information pertinent to the preparation of accident/incident reports to FRA are, for example, +the medical, claims, legal, operating, mechanical, track, payroll, accounting, and personnel +departments. In this railroad, the specific departments whose personnel regularly come into +possession of information pertinent to the preparation of accident/incident reports to FRA are: + + . +B. The following persons are all of the managers and officers of the specific departments within +the railroad whose departments regularly come into possession of information pertinent to the +preparation of reports under Part 225. +Name (optional) Title Department Reports to + 1._____________________________________________________________ + 2._____________________________________________________________ + 3._____________________________________________________________ + 4._____________________________________________________________ + 5._____________________________________________________________ + 6._____________________________________________________________ + 7._____________________________________________________________ +NOTE: A current organization chart satisfies the requirement for identification of titles and +chain of command under heading B. +ACCIDENT/INCIDENT REPORTING OFFICER +NAME: _____________________________ TITLE: ___________________ +ADDRESS: ______________________________ TELEPHONE: _____________ +(If different than above) + ______________________________ FAX: ___________________ +FRA Guide for Preparing Accident/Incident Reports +APPENDIX I – Continued +Appendix I - 9 Model Internal Control Plans +CUSTODIAN(S) OF RECORDS +When using Form FRA F6180.107 or the alternate railroad-designed form, the following must be +provided: +Name(s) of Custodian(s) of Records: +Title(s) of Custodian(s) of Records: +Address(es) of Custodian(s) of Records: +Where the Documents are Located: +FRA Guide for Preparing Accident/Incident Reports +Appendix J - 1 Instructions for Type of Territory +Block 30 on Form FRA F 6180.54 +APPENDIX J +Instructions for Completing “Type of Territory” (Block 30) +on the Rail Equipment Accident/Incident Report (Form FRA F 6180.54) +The host railroad (railroad responsible for track maintenance) will determine/provide the “Type +of Territory” in effect at the time of the accident. Other railroads involved should consult with +the host railroad when completing this block. +The codes used to complete the Type of Territory block are dependent on the Type of Track +(block 20) on the Rail Equipment Accident/Incident Report, Form FRA F 6180.54. The railroad +completing the report must first determine the type of track. Once the type of track is determined, +then the Type of Territory codes can be completed. Each spreadsheet is labeled by the Type of +Track and has its own allowable uses. +Block 30 “Type of Territory” of the Rail Equipment Accident/Incident Report, Form FRA +F 6180.54, has five positions for five codes. Only use the Type of Territory that was in effect at +the time of the accident. +• The first position—required—will indicate the type of territory (signaled or +nonsignaled). +• The second position—required—will indicate the authority for movement. +• The third, fourth, and fifth positions—optional—are supplemental/adjunct codes. +(They are mandatory to the extent that all applicable codes are entered). When +used, they must be entered in hierarchical sequence, i.e., by order of precedence. +For ease of reading, the supplemental/adjunct methods are listed in alphabetical +order, followed by the code. +Other—Narrative Required. This should be used when the situation cannot be adequately +described with the existing codes. +The railroad responsible for track maintenance will determine/provide the Type of Track and +Type of Territory that were in effect at the time of the accident. +Direct Train Control. This is an FRA umbrella term and refers to modern-day derivatives of +traditional timetable/train order methodology. These methods of control have greatly modernized +and simplified train operations by eliminating timetable schedules, train registers, superiority, and +the attendant array of complicated operating rules. These systems are predicated on the train +dispatcher having direct and continuous radio contact with all trains; hence the informal name +"radio train dispatching." In place of the train order, there is a written document known variously +as a track warrant, DTC clearance, OCS clearance, track permit, Form D, etc. There are two basic +direct train control systems presently in use on today's railroads: one that uses fixed blocks (i.e., +the limits are constant and are identified both in the timetable and by wayside signs); and one that +uses variable blocks (i.e., the limits are not constant and are created by the train dispatcher for +each train). +FRA Guide for Preparing Accident/Incident Reports +Appendix J - 2 Instructions for Type of Territory +Block 30 on Form FRA F 6180.54 +These systems are variously identified in the industry as: + + 1. Track Warrant Control (TWC) + 2. Direct Traffic Control (DTC) + 3. Form D Control System (DCS) + 4. Occupancy Control System (OCS) + 5. Manual Block System (MBS) + _______________ +(Note: these could all be considered stand-alone methods of operation and may be shown as +such.) +FRA Guide for Preparing Accident/Incident Reports +Instructions for Type of Territory Appendix J - 3 Block 30 on Form FRA F 6180.54 +Type of Territory for Main Track +Position 1 Position 2 Position 3 Position 4 Position 5 + +Method of Operation/ +Signalization Authority for Movement Supplemental Codes Supplemental Codes Supplemental Codes + +1 - Signaled 1 - Signal Indication A - Auto Cab Signals A - Auto Cab Signals A - Auto Cab Signals +B - Auto Train Control B - Auto Train Control B - Auto Train Control +C - Auto Train Stop C - Auto Train Stop C - Auto Train Stop +D - Automatic Block Signals System D - Automatic Block Signals System D - Automatic Block Signals System +G - Interlocking G - Interlocking G - Interlocking +J - Positive Train Control J - Positive Train Control J - Positive Train Control +L - Special Instructions L - Special Instructions L - Special Instructions +Q - Traffic Control System/CTC Q - Traffic Control System/CTC Q - Traffic Control System/CTC +R - Yard/Restricted Limits R - Yard/Restricted Limits R - Yard/Restricted Limits + Z - Other – Narrative Required Z - Other – Narrative Required Z - Other – Narrative Required + +1 - Signaled 2 - Direct Train Control A - Auto Cab Signals A - Auto Cab Signals A - Auto Cab Signals +B - Auto Train Control B - Auto Train Control B - Auto Train Control +C - Auto Train Stop C - Auto Train Stop C - Auto Train Stop +D - Automatic Block Signals System D - Automatic Block Signals System D - Automatic Block Signals System +F - Direct Traffic Control F - Direct Traffic Control F - Direct Traffic Control +G - Interlocking G - Interlocking G - Interlocking +J - Positive Train Control J - Positive Train Control J - Positive Train Control +L - Special Instructions L - Special Instructions L - Special Instructions +N - Time Table/Train Orders N - Time Table/Train Orders N - Time Table/Train Orders +P - Track Warrant Control P - Track Warrant Control P - Track Warrant Control +R - Yard/Restricted Limits R - Yard/Restricted Limits R - Yard/Restricted Limits +Z - Other – Narrative Required Z - Other – Narrative Required Z - Other – Narrative Required +FRA Guide for Preparing Accident/Incident Reports +Instructions for Type of Territory Appendix J - 4 Block 30 on Form FRA F 6180.54 +Type of Territory for Main Track - Continued +Position 1 Position 2 Position 3 Position 4 Position 5 + +Method of Operation/ +Signalization Authority for Movement Supplemental Codes Supplemental Codes Supplemental Codes + +2 - Non Signaled 2 - Direct Train Control F - Direct Traffic Control E - Broken Rail Monitoring E - Broken Rail Monitoring + H - Manual Block System F - Direct Traffic Control F - Direct Traffic Control +J - Positive Train Control H - Manual Block System H - Manual Block System +L - Special Instructions J - Positive Train Control J - Positive Train Control +N - Time Table/Train Orders L - Special Instructions L - Special Instructions +P - Track Warrant Control M - Switch Point Monitoring M - Switch Point Monitoring +Z - Other – Narrative Required N -Time Table/Train Orders N - Time Table/Train Orders +P -Track Warrant Control P -Track Warrant Control +Z - Other – Narrative Required Z - Other – Narrative Required + +2 - Non Signaled 3 - Yard/Restricted J - Positive Train Control E - Broken Rail Monitoring E - Broken Rail Monitoring + Limits L - Special Instructions J - Positive Train Control J - Positive Train Control +Z - Other – Narrative Required L - Special Instructions L - Special Instructions +M - Switch Point Monitoring M - Switch Point Monitoring +Z - Other – Narrative Required Z - Other – Narrative Required + +2 - Non Signaled 4 - Block Register J - Positive Train Control E - Broken Rail Monitoring E - Broken Rail Monitoring + Territory Z - Other – Narrative Required M - Switch Point Monitoring M - Switch Point Monitoring +Z - Other – Narrative Required Z - Other – Narrative Required +FRA Guide for Preparing Accident/Incident Reports +Instructions for Type of Territory Appendix J - 5 Block 30 on Form FRA F 6180.54 +Type of Territory for Other than Main Track or Siding Track to Include Yard Track and +Industry Track +Position 1 Position 2 Position 3 Position 4 Position 5 + +Method of Operation/ +Signalization Authority for Movement Supplemental Codes Supplemental Codes Supplemental Codes + +1 - Signaled 5 - Other Than Main Track G - Interlocking G - Interlocking G - Interlocking +(Standard Rule 105 L- Special Instructions L - Special Instructions L - Special Instructions +or Equivalent) Z - Other – Narrative Required Z - Other – Narrative Required Z - Other – Narrative Required + +2 - Not Signaled 5 - Other Than Main Track K - Restricted Speed or Equivalent L - Special Instructions L- Special Instructions +(Standard Rule 105 L - Special Instructions Z - Other – Narrative Required Z - Other – Narrative Required +or Equivalent) Z - Other – Narrative Required + + +FRA Guide for Preparing Accident/Incident Reports +Instructions for Type of Territory Appendix J - 6 Block 30 on Form FRA F 6180.54 +Type of Territory for Siding Track +Position 1 Position 2 Position 3 Position 4 Position 5 + +Method of Operation/ +Signalization Authority for Movement Supplemental Codes Supplemental Codes Supplemental Codes + +1 - Signaled 1 - Signal Indication A - Auto Cab Signals A - Auto Cab Signals A - Auto Cab Signals +B - Auto Train Control B - Auto Train Control B - Auto Train Control +C - Auto Train Stop C - Auto Train Stop C - Auto Train Stop +G - Interlocking G - Interlocking G - Interlocking +J - Positive Train Control J - Positive Train Control J - Positive Train Control +L - Special Instructions L - Special Instructions L - Special Instructions +Q - Traffic Control System/CTC Q - Traffic Control System/CTC Q - Traffic Control System/CTC +T- Other Than Main Track T - Other Than Main Track T - Other Than Main Track +Z - Other - Narrative Required Z - Other - Narrative Required Z - Other - Narrative Required + + + +2 - Non Signaled 5 - Other Than Main Track E - Broken Rail Monitoring E - Broken Rail Monitoring E - Broken Rail Monitoring +J - Positive Train Control J - Positive Train Control J - Positive Train Control +L - Special Instructions L - Special Instructions L - Special Instructions +M - Switch Point Monitoring M - Switch Point Monitoring M - Switch Point Monitoring +Z - Other - Narrative Required Z - Other - Narrative Required Z - Other - Narrative Required + +No other codes allowed +FRA Guide for Preparing Accident/Incident Reports + Appendix K - 1 Electronic Submission of Reports +APPENDIX K +Electronic Submission of Reports to FRA +The instructions in this Guide are limited to issues associated with recordkeeping and reporting. +Railroads may transmit their monthly reports to FRA by alternative means, as an electronic file +on optical media or submitted over the Internet. The technical information needed for doing this +is not described in this Guide, since it is not necessary for reporting decisions. A separate +manual is available, upon request, that contains the specifications for doing this, and is titled +“Companion Guide: Guidelines for Submitting Accident/Incident Reports by Alternative +Methods.” +To assist railroads in maintaining and submitting records and reports required by this rule, FRA +developed the software package Accident/Incident Report Generator (AIRG) for personal +computers that have Windows-based operating systems. FRA will provide you with a copy of +this software free of charge, upon request by the reporting officer. You can find an AIRG +Accident Incident Report Generator Request Form at: + http://safetydata.fra.dot.gov/OfficeofSafety/publicsite/Forms.aspx +Railroads submitting electronically can either submit a printed copy of the signed Form FRA F +6180.55, or alternatively send in a scanned copy of the signed form in .pdf or .jpg format. The +railroad must maintain the original completed FRA Form F 6180.55 and the electronic +notification of receipt of the form, per 49 CFR 225.27. +FRA Guide for Preparing Accident/Incident Reports +Appendix L - 1 49 CFR 225 +APPENDIX L +49 CFR 225 +1 +PART 225-RAILROAD ACCIDENTS/INCIDENTS: REPORTS CLASSIFICATION, AND INVESTIGATIONS + Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-02, 21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 +CFR 1.49. + Source: 39 FR 43224, Dec. 11, 1974, unless otherwise noted. + Effective Date: July 1, 2011. + Published: May 23, 2011. +§ 225.1 Purpose. +The purpose of this part is to provide the Federal Railroad Administration with accurate information concerning the +hazards and risks that exist on the Nation's railroads. FRA needs this information to effectively carry out its +regulatory responsibilities under 49 U.S.C. chapters 201-213. 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. Any State may require railroads to submit to it copies of +accident/incident and injury/illness reports filed with FRA under this part, for accidents/incidents and +injuries/illnesses which occur in that State. +§ 225.3 Applicability. +(a) Except as provided in paragraphs (b), (c), and (d), this part applies to all railroads except-- +(1) A railroad that operates freight trains only on track inside an installation which is not part of the general +railroad system of transportation or that owns no track except for track that is inside an installation that is +not part of the general railroad system of transportation and used for freight operations. +(2) Rail mass transit operations in an urban area that are not connected with the general railroad system of +transportation. +(3) A railroad that exclusively hauls passengers inside an installation that is insular or that owns no track +except for track used exclusively for the hauling of passengers inside an installation that is insular. An +operation is not considered insular if one or more of the following exists on its line: + (i) A public highway-rail grade crossing that is in use; + (ii) An at-grade rail crossing that is in use; + (iii) A bridge over a public road or waters used for commercial navigation; or +(iv) A common corridor with a railroad, i.e., its operations are within 30 feet of those of any +railroad. +(b) The Internal Control Plan requirements in § 225.33(a)(3) through (a)(11) do not apply to-- +(1) 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 (49 U.S.C. 21101-21107) and + (2) Railroads that operate or own track exclusively off the general system. +(c) The recordkeeping requirements regarding accountable injuries and illnesses and accountable rail equipment +accidents/incidents found in § 225.25(a) through (g) do not apply to-- +(1) 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 (49 U.S.C. 21101-21107) and + (2) Railroads that operate or own track exclusively off the general system. + (d) All requirements in this part to record or report an injury or illness incurred by any classification of person that +results from a non-train incident do not apply to railroads that operate or own track exclusively off the general +railroad system of transportation, unless the non-train incident involves in- service on-track equipment. +§ 225.5 Definitions. + As used in this part— +2 + Accident/incident means: + (1) Any impact between railroad on-track equipment and a highway user at a highway-rail grade crossing. The +term “highway user” includes automobiles, buses, trucks, motorcycles, bicycles, farm vehicles, pedestrians, and all +other modes of surface transportation motorized and un-motorized; + (2) Any collision, derailment, fire, explosion, act of God, or other event involving operation of railroad on-track +equipment (standing or moving) that results in reportable damages greater than the current reporting threshold to +railroad on-track equipment, signals, track, track structures, and roadbed; + (3) Each death, injury, or occupational illness that is a new case and meets the general reporting criteria listed in +§ 225.19(d)(1) through (d)(6) if an event or exposure arising from the operation of a railroad is a discernable cause +of the resulting condition or a discernable cause of a significant aggravation to a pre-existing injury or illness. The +event or exposure arising from the operation of a railroad need only be one of the discernable causes; it need not be +the sole or predominant cause. + Accountable injury or illness means any abnormal condition or disorder of a railroad employee that causes or +requires the railroad employee to be examined or treated by a qualified health care professional, regardless of +whether or not it meets the general reporting criteria listed in § 225.19(d)(1) through (d)(6), and the railroad +employee claims that, or the railroad otherwise has knowledge that, an event or exposure arising from the operation +of the railroad is a discernable cause of the abnormal condition or disorder. + Accountable rail equipment accident/incident means + (1) Any derailment regardless of whether or not 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 ontrack 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. + Covered data means information that must be reported to FRA under this part concerning a railroad employee +injury or illness case that is reportable exclusively because a physician or other licensed health care professional-- + (1) Recommended in writing that-- +(i) The employee take one or more days away from work when the employee instead reports to work (or +would have reported had he or she been scheduled) and takes no days away from work in connection with +the injury or illness, +(ii) The employee work restricted duty for one or more days when the employee instead works unrestricted +(or would have worked unrestricted had he or she been scheduled) and takes no days of restricted work +activity in connection with the injury or illness, or +(iii) The employee take over-the-counter medication at a dosage equal to or greater than the minimum +prescription strength, whether or not the employee actually takes the medication; or +(2) Made a one-time topical application of a prescription-strength medication to the employee's injury. + Day away from work means a day away from work as described in paragraph (1) of this definition or, if +paragraph (1) does not apply, a day away from work solely for reporting purposes as described in paragraph (2) of +this definition. For purposes of this definition, the count of days includes all calendar days, regardless of whether +the employee would normally be scheduled to work on those days (e.g., weekend days, holidays, rest days, and +vacation days), and begins on the first calendar day after the railroad employee has been examined by a physician +or other licensed health care professional (PLHCP) and diagnosed with a work-related injury or illness. In +particular, the term means-- +(1) Each calendar day that the employee, for reasons associated with his or her condition, does not report to work +(or would have been unable to report had he or she been scheduled) if not reporting results from: + (i) A PLHCP's written recommendation not to work, or + (ii) A railroad's instructions not to work, if the injury or illness is otherwise reportable; or +(2) A minimum of one calendar day if a PLHCP, for reasons associated with the employee's condition, +recommends in writing that the employee take one or more days away from work, but the employee instead +reports to work (or would have reported had he or she been scheduled). This paragraph is intended to take into +3 +account ``covered data'' cases and also those non-covered data cases that are independently reportable for some +other reason (e.g., ``medical treatment'' or ``day of restricted work activity''). The requirement to report ``a +minimum of one calendar day'' is intended to give a railroad the discretion to report up to the total number of +days recommended by the PLHCP. + Day of restricted work activity means a day of restricted work activity as described in paragraph (1) of this +definition or, if paragraph (1) does not apply, a day of restricted work activity solely for reporting purposes as +described in paragraph (2) of this definition; in both cases, the work restriction must affect one or more of the +employee's routine job functions (i.e., those work activities regularly performed at least once per week) or prevent +the employee from working the full workday that he or she would otherwise have worked. For purposes of this +definition, the count of days includes all calendar days, regardless of whether the employee would normally be +scheduled to work on those days (e.g., weekend days, holidays, rest days, and vacation days), and begins on the +first calendar day after the railroad employee has been examined by a physician or other licensed health care +professional (PLHCP) and diagnosed with a work-related injury or illness. In particular, the term means-- + (1) Each calendar day that the employee, for reasons associated with his or her condition, works restricted duty +(or would have worked restricted duty had he or she been scheduled) if the restriction results from: + (i) A PLHCP's written recommendation to work restricted duty, or +(ii) A railroad's instructions to work restricted duty, if the injury or illness is otherwise reportable; or + (2) A minimum of one calendar day if a PLHCP, for reasons associated with the employee's condition, +recommends in writing that the employee work restricted duty for one or more days, but the employee instead +works unrestricted (or would have worked unrestricted had he or she been scheduled). This paragraph is intended to +take into account ``covered data'' cases and also those non-covered data cases that are independently reportable for +some other reason (e.g., “medical treatment” or “day of restricted work activity”). The requirement to report “a +minimum of one calendar day'' is intended to give a railroad the discretion to report up to the total number of days +recommended by the PLHCP. + Discernable cause means a causal factor capable of being recognized by the senses or the understanding. An +event or exposure arising from the operation of a railroad is a discernable cause of (i.e., discernably caused) an +injury or illness if, considering the circumstances, it is more likely than not that the event or exposure is a cause of +the injury or illness. The event or exposure arising from the operation of a railroad need not be a sole, predominant +or significant cause of the injury or illness, so long as it is a cause (i.e., a contributing factor). + Employee human factor includes any of the accident causes signified by the train accident cause codes listed +under ``Train Operation--Human Factors'' in the current ``FRA Guide for Preparing Accidents/Incidents Reports,'' +except for those train accident cause codes pertaining to non-railroad workers. For purposes of this definition +``employee'' includes the classifications of Worker on Duty--Employee, Employee not on Duty, Worker on Duty-- +Contractor, and Worker on Duty--Volunteer. + Establishment means a single physical location where workers report to work, where railroad business is +conducted, or where services or operations are performed. Examples are: a division office, general office, repair or +maintenance facility, major switching yard or terminal. For employees who are engaged in dispersed operations, +such as signal or track maintenance workers, an ``establishment'' is typically a location where work assignments are +initially made and oversight responsibility exists, e.g., the establishment where the signal supervisor or roadmaster +is located. + Event or exposure includes an incident, activity, or occurrence. + Event or exposure arising from the operation of a railroad means— +(1) With respect to a person who is not an employee of the railroad: +(i) A person who is on property owned, leased, maintained or operated by the railroad, an event or exposure +that is related to the performance of the railroad’s rail transportation business; or +(ii) A person who is not on property owned, leased, maintained or operated over by the railroad, an event or +exposure directly resulting from one or more of the following railroad operations: +(A) A train accident or a train incident involving the railroad; or +4 +(B) A release of a hazardous material from a railcar in the possession of the railroad or of another +dangerous commodity that is related to the performance of the railroad’s rail transportation +business. +(2) With respect to a person who is an employee of the railroad, an event or exposure that is work-related. + FRA representative means the Associate Administrator for Safety, FRA; the Associate Administrator's delegate +(including a qualified State inspector acting under part 212 of this chapter); the Chief Counsel, FRA; or the Chief +Counsel's delegate. + General reporting criteria means the criteria listed in § 225.19(d)(1) through (6). + Highway-rail grade crossing means: + (1) A location where a public highway, road, or street, or a private roadway, including associated sidewalks, +crosses one or more railroad tracks at grade; or + (2) A location where a pathway explicitly authorized by a public authority or a railroad carrier that is dedicated +for the use of non-vehicular traffic, including pedestrians, bicyclists, and others, that is not associated with a public +highway, road, or street, or a private roadway, crosses one or more railroad tracks at grade. The term “sidewalk” +means that portion of a street between the curb line, or the lateral line of a roadway, and the adjacent property line +or, on easements of private property, that portion of a street that is paved or improved and intended for use by +pedestrians. + Injury or illness means an abnormal condition or disorder. Injuries include cases such as, but not limited to, a +cut, fracture, sprain, or amputation. Illnesses include both acute and chronic illnesses, such as but not limited to, a +skin disease, respiratory disorder, or poisoning. A musculoskeletal disorder is also an injury or illness. Pain is an +injury or illness when it is sufficiently severe to meet the general reporting criteria listed in § 225.19(d)(1) through +(6). + Joint operations means rail operations conducted on a track used jointly or in common by two or more railroads +subject to this part or operation of a train, locomotive, car, or other on-track equipment by one railroad over the +track of another railroad. + Medical removal means medical removal under the medical surveillance requirements of the Occupational Safety +and Health Administration standard in 29 CFR part 1910 in effect during calendar year 2002, even if the case does +not meet one of the general reporting criteria. + Medical treatment means any medical care or treatment beyond “first aid” regardless of who provides such +treatment. Medical treatment does not include diagnostic procedures, such as X-rays and drawing blood samples. +Medical treatment also does not include counseling. + Musculoskeletal disorder (MSD) means a disorder of the muscles, nerves, tendons, ligaments, joints, cartilage, +and spinal discs. The term does not include disorders caused by slips, trips, falls, motor vehicle accidents, or other +similar accidents. Examples of MSDs include: Carpal tunnel syndrome, Rotator cuff syndrome, De Quervain's +disease, Trigger finger, Tarsal tunnel syndrome, Sciatica, Epicondylitis, Tendinitis, Raynaud's phenomenon, Carpet +layers knee, Herniated spinal disc, and Low back pain. + Needlestick or sharps injury means a cut, laceration, puncture, or scratch from a needle or other sharp object that +involves contamination with another person's blood or other potentially infectious material, even if the case does +not meet one of the general reporting criteria. + New case means a case in which either the injured or ill person has not previously experienced a reported injury +or illness of the same type that affects the same part of the body, or the injured or ill person previously experienced +a reported injury or illness of the same type that affected the same part of the body but had recovered completely +(all signs and/or symptoms disappeared) from the previous injury or illness, and an event or exposure arising from +the operation of a railroad discernably caused the signs and/or symptoms to reappear. +5 + Non-train incident means an event that results in a reportable casualty, but does not involve the movement of ontrack equipment nor cause reportable damage above the threshold established for train accidents. + Occupational hearing loss means a diagnosis of occupational hearing loss by a physician or other licensed health +care professional, where the employee's audiogram reveals a work-related Standard Threshold Shift (STS) (i.e., at +least a 10-decibel change in hearing threshold, relative to the baseline audiogram for that employee) in hearing in +one or both ears, and the employee's total hearing level is 25 decibels or more above audiometric zero (averaged at +2000, 3000, and 4000 Hz) in the same ear(s) as the STS. + Occupational illness means any abnormal condition or disorder, as diagnosed by a physician or other licensed +health care professional, of any person who falls under the definition for the classification of Worker on Duty-- +Employee, other than one resulting from injury, discernably caused by an environmental factor associated with the +person's railroad employment, including, but not limited to, acute or chronic illnesses or diseases that may be +caused by inhalation, absorption, ingestion, or direct contact. + Occupational tuberculosis means the occupational exposure of an employee to anyone with a known case of +active tuberculosis if the employee subsequently develops a tuberculosis infection, as evidenced by a positive skin +test or diagnosis by a physician or other licensed health care professional, even if the case does not meet one of the +general reporting criteria. + Privacy concern case is 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. + Person includes all categories of entities covered under 1 U.S.C. 1, including, but not limited to, a railroad; any +manager, supervisor, official, or other employee or agent of a railroad; any owner, manufacturer, lessor, or lessee of +railroad equipment, track, or facilities; any passenger; any trespasser or nontrespasser; any independent contractor +providing goods or services to a railroad; any volunteer providing goods or services to a railroad; and any employee +of such owner, manufacturer, lessor, lessee, or independent contractor. + Qualified health care professional is a health care professional operating within the scope of his or her license, +registration, or certification. In addition to licensed physicians, the term includes members of other occupations +associated with patient care and treatment such as chiropractors, podiatrists, physicians assistants, psychologists, +and dentists. + Railroad means a railroad carrier. + Railroad carrier means a person providing railroad transportation. + Railroad transportation means any form of non-highway ground transportation that run on rails or electromagnetic guideways, including commuter or other short-haul railroad passenger service in a metropolitan or +suburban area, as well as any commuter railroad service that was operated by the Consolidated Rail Corporation as +of January 1, 1979, and high speed ground transportation systems that connect metropolitan areas, without regard to +whether they use new technologies not associated with traditional railroads. Such term does not include rapid transit +operations within an urban area that are not connected to the general railroad system of transportation. + Significant aggravation of a pre-existing injury or illness means aggravation of a pre-existing injury or illness +that is discernably caused by an event or exposure arising from the operation of a railroad that results in: +6 + (1) With respect to any person: +(i) Death, provided that the pre-existing injury or illness would likely not have resulted in death but +for the event or exposure; +(ii) Loss of consciousness, provided that the pre-existing injury or illness would likely not have +resulted in loss of consciousness but for the event or exposure; or +(iii) Medical treatment in a case where no medical treatment was needed for the injury or illness +before the event or exposure, or a change in the course of medical treatment that was being +provided before the event or exposure. +(2) With respect to a railroad employee, one or more days away from work, or days of restricted work, or +days of job transfer that otherwise would not have occurred but for the event or exposure. + Significant change in the damage costs for reportable rail equipment accidents/incidents means at least a tenpercent variance between the damage amount reported to FRA and current cost figures. + Significant change in the number of reportable days away from work or days restricted means at least a tenpercent variance in the number of actual reportable days away from work or days restricted compared to the +number of days already reported. + 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. + 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. + Suicide data means data regarding the death of an individual due to the individual’s commission of suicide as +determined by a coroner, public police officer or other public authority or injury to an individual due to that +individual’s attempted commission of suicide as determined by a public police office or other public authority. +Only the death of, or injury to, the individual who committed the suicidal act is suicide data. Therefore, casualties +to a person caused by the suicidal act of another person are not considered suicide data. + Train accident means any collision, derailment, fire, explosion, act of God, or other event involving operation of +railroad on-track equipment (standing or moving) that results in damages greater than the current reporting +threshold to railroad on-track equipment, signals, track, track structures, and roadbed. + Train incident means any event involving the movement of on-track equipment that results in a reportable +casualty but does not cause reportable damage above the current threshold established for train accidents. + Work environment means the establishment and other locations where one or more railroad employees are +working or present as a condition of their employment. The work environment includes not only physical +locations, but also the equipment or materials processed or used by an employee during the course of his or her +work, and activities of a railroad employee associated with his or her work, whether on or off the railroad’s +property. + + Work related means related to an event or exposure occurring within the work environment. An injury or illness +is presumed work-related if an event or exposure occurring in the work environment is a discernable cause of the +resulting condition or a discernable cause of a significant aggravation to a pre-existing injury or illness. The causal +event or exposure need not be peculiarly occupational so long as it occurs at work. For example, a causal event or +exposure may be outside the employer’s control, such as a lightning strike; involve activities that occur at work but +are not directly productive, such as horseplay; or involve activities that are not peculiar to work, such as walking on +a level floor, bending down, climbing stairs or sneezing. Such activities, along with other normal body movements, +are considered events. So long as the event or exposure occurred at work and is a discernable cause of the injury or +illness, the injury or illness is work-related. It does not matter whether there are other or bigger causes as well, or +7 +that the activity at work is no different from actions performed outside work. If an injury is within the presumption +of work-relatedness, the employer can rebut work-relatedness only by showing that the case falls within an +exception listed in § 225.15. In cases where it is not obvious whether a precipitating event or exposure occurred at +work or outside work, the employer must evaluate the employee’s work duties and environment and decide whether +it is more likely than not that an event or exposure at work was at least one of the causes of the injury of the injury +or illness. +§ 225.6 Consolidated reporting. +A parent corporation may request in writing that FRA treat its commonly controlled railroad carriers, which operate +as a single, seamless, integrated United States rail system, as a single railroad carrier for purposes of this part. +(a) The written request must include the following: +(1) A list of the subsidiary railroads controlled by the parent corporation; and +(2) An explanation as to how the subsidiary railroads operate as a single, seamless, integrated United States +railroad system. +(b) The request must be sent to the FRA Docket Clerk, Federal Railroad Administration, U.S. Department of +Transportation, RCC-10, Mail Stop 10, West Building 3rd Floor, Room W31-109, 1200 New Jersey Avenue, SE., +Washington, DC 20590. Each request received shall be acknowledged in writing. The acknowledgment shall +contain the docket number assigned to the request and state the date the request was received. +(c) FRA will notify the applicant parent corporation of the agency’s decision within 90 days of receipt of the +application. +(d) If FRA approves the request, the parent corporation must enter into a written agreement with FRA specifying +which subsidiaries are included in its railroad system, agreeing to assume responsibility for compliance with this +part for all named subsidiaries making up the system, and consenting to guarantee any monetary penalty +assessments or other liabilities owed to the United States government that are incurred by the named subsidiaries +for violating Federal accident/incident reporting requirements. Any change in the subsidiaries making up the +railroad system requires immediate notification to FRA and execution of an amended agreement. Executed +agreements will be published in the docket. + +§ 225.7 Public examination and use of reports. +(a) Accident/Incident reports made by railroads in compliance with these rules shall be available to the public in the +manner prescribed by part 7 of this title. Accident/Incident reports may be inspected at the U.S. Department of +Transportation, Federal Railroad Administration, Office of Safety, West Building 3rd Floor, 1200 New Jersey +Avenue, SE., Washington, DC 20590. Written requests for a copy of a report should be addressed to the Freedom +of Information Act Coordinator, Office of Chief Counsel, Federal Railroad Administration, U.S. Department of +Transportation, RCC-10, Mail Stop 10, West Building 3rd Floor, Room W33-437, 1200 New Jersey Avenue, SE., +Washington, DC 20590, and be accompanied by the appropriate fee prescribed in part 7 of this title. To facilitate +expedited handling, each request should be clearly marked "FOIA Request for Accident/Incident Report." For +additional information on submitting a FOIA request to FRA see FRA’s website at http://www.fra.dot.gov/us/foia. + (b) 49 U.S.C. 20903 provides that monthly reports filed by railroads under § 225.11 may not be admitted as +evidence or used for any purpose in any action for damages growing out of any matters mentioned in these monthly +reports. The Employee Human Factor Attachment, Notice, and Employee Supplement under § 225.12 are part of +the reporting railroad's accident report to FRA pursuant to the 49 U.S.C. 20901 and, as such, shall not ``be admitted +as evidence or used for any purpose in any suit or action for damages growing out of any matter mentioned in said +report * * *.'' 49 U.S.C. 20903. +8 +§ 225.9 Telephonic reports of certain accidents/incidents and other events. +(a) Types of accidents/incidents and other events to be reported-- +(1) Certain deaths or injuries. Each railroad must report immediately, as prescribed in paragraphs (b) +through (d) of this section, whenever it learns of the occurrence of an accident/incident arising from the +operation of the railroad, or an event or exposure that may have arisen from the operation of the railroad, +that results in the-- + (i) Death of a rail passenger or a railroad employee; +(ii) Death of an employee of a contractor to a railroad performing work for the railroad on property +owned, leased, or maintained by the contracting railroad; or + (iii) Death or injury of five or more persons. +(2) Certain train accidents or train incidents. Each railroad must report immediately, as prescribed in +paragraphs (b) through (d) of this section, whenever it learns of the occurrence of any of the following +events that arose from the operation of the railroad: +(i) A train accident that results in serious injury to two or more train crewmembers or passengers +requiring their admission to a hospital; + (ii) A train accident resulting in evacuation of a passenger train; +(iii) A fatality resulting from a train accident or train incident at a highway-rail grade crossing +when death occurs within 24 hours of the accident/incident; +(iv) A train accident resulting in damage (based on a preliminary gross estimate) of $150,000 or +more to railroad and nonrailroad property; or +(v) A train accident resulting in damage of $25,000 or more to a passenger train, including railroad +and nonrailroad property. +(3) Train accidents on or fouling passenger service main lines. The dispatching railroad must report +immediately, as prescribed in paragraphs (b) through (d) of this section, whenever it learns of the +occurrence of any train accident reportable as a rail equipment accident/incident under § § 225.11 and +225.19(c)— +(i) That involves a collision or derailment on a main line that is used for scheduled passenger +service; or + (ii) That fouls a main line used for scheduled passenger service. +(b) Method of reporting. +(1) Telephonic reports required by this section shall be made by toll-free telephone to the National +Response Center, Area Code 800-424-8802 or 800-424-0201. +(2) Through one of the same telephone numbers (800-424-0201), the National Response Center (NRC) also +receives notifications of rail accidents for the National Transportation Safety Board (49 CFR part 840) and +the Research and Special Programs Administration of the U.S. Department of Transportation (Hazardous +Materials Regulations, 49 CFR 171.15). FRA Locomotive Safety Standards require certain locomotive +accidents to be reported by telephone to the NRC at the same toll-free number (800-424-0201). 49 CFR +229.17. +(c) Contents of report. Each report must state the: +(1) Name of the railroad; + (2) Name, title, and telephone number of the individual making the report; + (3) Time, date, and location of the accident/incident; + (4) Circumstances of the accident/incident; + (5) Number of persons killed or injured; and + (6) Available estimates of railroad and non-railroad property damage. +(d) Timing of report. +(1) To the extent that the necessity to report an accident/incident depends upon a determination of fact or an +estimate of property damage, a report will be considered immediate if made as soon as possible following +the time that the determination or estimate is made, or could reasonably have been made, whichever comes +9 +first, taking into consideration the health and safety of those affected by the accident/incident, including +actions to protect the environment. +(2) NTSB has other specific requirements regarding the timeliness of reporting. See 49 CFR part 840. +§ 225.11 Reporting of accidents/incidents. +(a) Each railroad subject to this part shall submit to FRA a monthly report of all railroad accidents/incidents +described below: +(1) Highway-rail grade crossing accidents/incidents described in § 225.19; +(2) Rail equipment accidents/incidents described in § 225.19; and +(3) Death, injury and occupational illness accidents/incidents described in § 225.19. +(b) The report shall be made on the forms prescribed in § 225.21 in hard copy or, alternatively, by means of optical +media or electronic submission via the Internet, as prescribed in § 225.37, and shall be submitted within 30 days +after expiration of the month during which the accidents/incidents occurred. Reports shall be completed as required +by the current FRA Guide. A copy of the FRA Guide may be obtained from the U.S. Department of +Transportation, Federal Railroad Administration, Office of Safety Analysis, RRS-22, Mail Stop 25 West Building +3rd Floor, Room W33-107, 1200 New Jersey Avenue, SE., Washington, DC 20590 or downloaded from FRA’s +Office of Safety Analysis website at http://safetydata.fra.dot.gov/officeofsafety/, and click on “Click Here for +Changes in Railroad Accident/Incident Recordkeeping and Reporting.” +§ 225.12 Rail Equipment Accident/Incident Reports alleging employee human factor as cause; Employee +Human Factor Attachment; notice to employee; employee supplement. +(a) Rail Equipment Accident/Incident Report alleging employee human factor as cause; completion of Employee +Human Factor Attachment. If, in reporting a rail equipment accident/incident to FRA, a railroad cites an employee +human factor as the primary cause or a contributing cause of the accident; then the railroad that cited such +employee human factor must complete, in accordance with instructions on the form and in the current ``FRA Guide +for Preparing Accident/Incident Reports,'' an Employee Human Factor Attachment form on the accident. For +purposes of this section, ``employee'' is defined as a Worker on Duty--Employee, Employee not on Duty, Worker +on Duty--Contractor, or Worker on Duty--Volunteer. +(b) Notice to identified implicated employees. Except as provided in paragraphs (e) and (f) of this section, for each +employee whose act, omission, or physical condition was alleged by the railroad as the employee human factor that +was the primary cause or a contributing cause of a rail equipment accident/incident and whose name was listed in +the Employee Human Factor Attachment for the accident and for each such railroad employee of whose identity the +railroad has actual knowledge, the alleging railroad shall-- +(1) Complete part I, ``Notice to Railroad Employee Involved in Rail Equipment Accident/Incident +Attributed to Employee Human Factor,'' of Form FRA F 6180.78 with information regarding the accident, +in accordance with instructions on the form and in the current ``FRA Guide for Preparing Accident/Incident +Reports''; and +(2) Hand deliver or send by first class mail (postage prepaid) to that employee, within 45 days after the end +of the month in which the rail equipment accident/incident occurred-- +(i) A copy of Form FRA F 6180.78, ``Notice to Railroad Employee Involved in Rail Equipment +Accident/Incident Attributed to Employee Human Factor; Employee Statement Supplementing +Railroad Accident Report,'' with part I completed as to the applicable employee and accident; +(ii) A copy of the railroad's Rail Equipment Accident/Incident Report and Employee Human +Factor Attachment on the rail equipment accident/incident involved; and +(iii) If the accident was also reportable as a highway-rail grade crossing accident/incident, a copy +of the railroad's Highway-Rail Grade Crossing Accident/Incident Report on that accident. +(c) Joint operations. If a reporting railroad makes allegations under paragraph (a) of this section concerning the +employee of another railroad, the employing railroad must promptly provide the name, job title, address, and +medical status of any employee reasonably identified by the alleging railroad, if requested by the alleging railroad. +10 +(d) Late identification. Except as provided in paragraphs (e) and (f) of this section, if a railroad is initially unable to +identify a particular railroad employee whose act, omission, or physical condition was cited by the railroad as a +primary or contributing cause of the accident, but subsequently makes such identification, the railroad shall submit +a revised Employee Human Factor Attachment to FRA immediately, and shall submit the Notice described in +paragraph (b) of this section to that employee within 15 days of when the revised report is to be submitted. + (e) Deferred notification on medical grounds. The reporting railroad has reasonable discretion to defer notification +of implicated employees on medical grounds. +(f) Implicated employees who have died by the time that the Notice is ready to be sent. +(1) If an implicated employee has died as a result of the accident, a Notice under paragraph (b) addressed to +that employee must not be sent to any person. +(2) If an implicated employee has died of whatever causes by the time that the Notice is ready to be sent, no +Notice addressed to that employee is required. +(g) Employee Statement Supplementing Railroad Accident Report (Supplements or Employee Supplements). +(1) Employee Statements Supplementing Railroad Accident Reports are voluntary, not mandatory; +nonsubmission of a Supplement does not imply that the employee admits or endorses the railroad's +conclusions as to cause or any other allegations. +(2) Although a Supplement is completely optional and not required, if an employee wishes to submit a +Supplement and assure that, after receipt, it will be properly placed by FRA in a file with the railroad's Rail +Equipment Accident/Incident Report and that it will be required to be reviewed by the railroad that issued +the Notice, the Supplement must be made on part II of Form FRA F 6180.78 (entitled ``Notice to Railroad +Employee Involved in Rail Equipment Accident/Incident Attributed to Employee Human Factor; Employee +Statement Supplementing Railroad Accident Report''), following the instructions printed on the form. These +instructions require that, within 35 days of the date that the Notice was hand delivered or sent by first class +mail (postage prepaid) to the employee (except for good cause shown), the original of the Supplement be +filed with FRA and a copy be hand delivered or sent by first class mail (postage prepaid) to the railroad that +issued the Notice so that the railroad will have an opportunity to reassess its reports to FRA concerning the +accident. +(3) Information that the employee wishes to withhold from the railroad must not be included in this +Supplement. If an employee wishes to provide confidential information to FRA, the employee should not +use the Supplement form (part II of Form FRA F 6180.78, “Notice to Railroad Employee Involved in Rail +Equipment Accident/Incident Attributed to Employee Human Factor; Employee Statement Supplementing +Railroad Accident Report”), but rather provide such confidential information by other means, such as a +letter to the employee's collective bargaining representative, or to the U.S. Department of Transportation, +Federal Railroad Administration, Office of Safety Analysis, RRS-22, Mail Stop 25 West Building 3rd +Floor, Room W 33-306, 1200 New Jersey Avenue, SE., Washington, DC 20590. The letter should include +the name of the railroad making the allegations, the date and place of the accident, and the rail equipment +accident/incident number. +(h) Willful false statements; penalties. If an employee chooses to submit a Supplement to FRA, all of the +employee's assertions in the Supplement must be true and correct to the best of the employee's knowledge and +belief. +(1) Under 49 U.S.C. 21301, 21302, and 21304, any person who willfully files a false Supplement with FRA +is subject to a civil penalty. See appendix A to this part. +(2) Any person who knowingly and willfully files a false Supplement is subject to a $5,000 fine, or up to +two years'' imprisonment, or both, under 49 U.S.C. 21311. +§ 225.13 Late reports. + Whenever a railroad discovers that a report of an accident/incident, through mistake or otherwise, has been +improperly omitted from or improperly reported on its regular monthly accident/incident report, a report covering +11 +this accident/incident together with a letter of explanation must be submitted immediately. Whenever a railroad +receives a partially or fully completed Employee Statement Supplementing Railroad Accident Report (part II of +Form FRA F 6180.78), in response to a Notice to Railroad Employee (part I of Form FRA F 6180.78) issued by the +railroad and mailed or hand delivered to the employee, the railroad must promptly review that Supplement; based +on that review, reassess the accuracy and validity of the railroad's Rail Equipment Accident/Incident Report and of +any other reports and records required by this part concerning the same accident, including the Employee Human +Factor Attachment; make all justified revisions to each of those reports and records; submit any amended reports to +FRA; and submit a copy of any amended Rail Equipment Accident/Incident Report, Employee Human Factor +Attachment, and Highway-Rail Grade Crossing Accident/Incident Report on the accident to the employee. A +second notice under § 225.12 is not required for the employee. If an employee who was never sent a notice under § +225.12 for that accident is implicated in the revised Employee Human Factor Attachment, the railroad must follow +the procedures of § 225.12(d). +§ 225.15 Accidents/incidents not to be reported. +The following accidents/incidents are not reportable: +(a) With respect to persons other than railroad employees. A railroad need not report injuries that occur at +highway-rail grade crossings that do not involve the presence or operation of on-track equipment, or the presence of +railroad employees then engaged in the operation of a railroad; +(b) With respect to railroad employees on duty. A railroad is not to report the following injuries to or illnesses of a +railroad employee as Worker on Duty – Employee (Class A), if any of the conditions in this paragraph (b) are met. +(These exceptions apply only to Worker on Duty – Employee (Class A) and do not affect a railroad’s obligation to +report these injuries and illnesses as other types of persons (Employee Not On duty (Class B); Passenger on Trains +(Class C); Nontrespassers-On Railroad Property (Class D); Trespassers (Class E)), or a railroad’s obligation to +maintain a “Railroad Employee Injury/Illness Record” (Form FRA F 6180.98 or alternative railroad-designed +form)). +(1) The injury or illness occurred in or about living quarters and an event or exposure not arising from the +operation of a railroad was the cause; +(2) At the time of the injury or illness, the employee was present in the work environment as a member of +the general public rather than as an employee; or +(3) The injury or illness is caused by a motor vehicle accident and occurs on a company parking lot or +company access road while the employee is commuting to or from work. +(c) With respect to railroad employees on or off duty. A railroad is not to report the following injuries to or illnesses +of a railroad employee, Worker on Duty – Employee (Class A) or Employee Not On duty (Class B), if any of the +following conditions in this paragraph (c) are met: +(1) The injury or illness involves signs or symptoms that surface at work but result solely from a non-workrelated event or exposure that occurs outside the work environment; +(2) The injury or illness results solely from voluntary participation in a wellness program or in a medical, +fitness, or recreational activity such as blood donation, physical examination, flu shot, exercise class, +racquetball, or baseball; +(3) The injury or illness is solely the result of an employee eating, drinking, or preparing food or drink for +personal consumption. However, if the employee is made ill by ingesting food contaminated by workplace +contaminants (such as lead), or gets food poisoning from food supplied by the employer, the case would be +considered work-related and reported as either a Worker on Duty – Employee (Class A) or Employee Not +On duty (Class B) depending on the employees duty status; +(4) The injury or illness is solely the result of an employee doing personal tasks (unrelated to their +employment) at the establishment outside of the employee's assigned working hours; +12 +(5) The injury or illness is solely the result of personal grooming, self medication for a non-work-related +condition, or is intentionally self-inflicted (except that for FRA reporting purposes a railroad shall not +exclude an accountable or reportable injury or illness that is the result of a suicide or attempted suicide); +(6) The illness is the common cold or flu (Note: contagious diseases such as tuberculosis, brucellosis, +hepatitis A, or plague are considered work-related if the employee is infected at work); or +(7) The illness is a mental illness. Mental illness will not be considered work-related unless the employee +voluntarily provides the employer with an opinion from a physician or other licensed health care +professional with appropriate training and experience (psychiatrist, psychologist, psychiatric nurse +practitioner, etc.) stating that the employee has a mental illness that is work-related. +(d) With respect to contractors and volunteers. A railroad is not to report injuries to contractors and volunteers that +are listed in paragraphs (b) and (c) of this section. For purposes of this paragraph only, an exception listed in +paragraphs (b) and (c) referencing “work environment” is construed to mean for contractors and volunteers only, on +property owned, leased, operated over or maintained by the railroad. +(e) With respect to rail equipment accident/incidents. A railroad is not to report rail equipment accidents/incidents if +the conditions in this paragraph are met. (This exception does not affect a railroad’s obligation to maintain records +of accidents/incidents as required by § 225.25 (Form FRA F 6180.97, “Initial Rail Equipment Accident/Incident +Record”)). +(1) Cars derailed on industry tracks by non-railroad employees or non-railroad employee vandalism, +providing there is no involvement of railroad employees; and +(2) Damage to out of service cars resulting from high water or flooding (e.g., empties placed on a storage or +repair track). This exception does not apply if such cars are placed into a moving consist and as a result of +this damage a reportable rail equipment accident results. +§ 225.17 Doubtful cases. +(a) The reporting officer of a railroad will ordinarily determine the reportability or nonreportability of an +accident/incident after examining all evidence available. The FRA, however, cannot delegate authority to decide +matters of judgment when facts are in dispute. In all such cases the decision shall be that of the FRA. + (b) Even though there may be no witness to an accident/incident, if there is evidence indicating that a reportable +accident/incident may have occurred, a report of that accident/incident must be made. + (c) All accidents/incidents reported as “claimed but not admitted by the railroad” are given special examination by +the FRA, and further inquiry may be ordered. Accidents/incidents accepted as reportable are tabulated and included +in the various statistical statements issued by the FRA. The denial of any knowledge or refusal to admit +responsibility by the railroad does not exclude those accidents/incidents from monthly and annual figures. Facts +stated by a railroad that tend to refute the claim of an injured person are given consideration, and when the facts +seem sufficient to support the railroad's position, the case is not allocated to the reporting railroad. + (d)[Redesignate as § 225.18(a)] +§ 225.18 Alcohol or drug involvement. + (a) In preparing a Rail Equipment Accident/Incident Report under this part, the railroad shall make such specific +inquiry as may be reasonable under the circumstances into the possible involvement of alcohol or drug use or +impairment in such accident or incident. If the railroad comes into possession of any information whatsoever, +whether or not confirmed, concerning alleged alcohol or drug use or impairment by an employee who was involved +in, or arguably could be said to have been involved in, the accident/incident, the railroad shall report such alleged +use or impairment as provided in the current FRA Guide. If the railroad is in possession of such information but +does not believe that alcohol or drug impairment was the primary or contributing cause of the accident/incident, +13 +then the railroad shall include in the narrative statement of such report a brief explanation of the basis of such +determination. +(b) For any train accident within the requirement for post-accident testing under § 219.201 of this chapter, the +railroad shall append to the Rail Equipment Accident/Incident Report any report required by 49 CFR § 219.209(b) +(pertaining to failure to obtain samples for post-accident toxicological testing). + (c) For any train or non-train incident, the railroad shall provide any available information concerning the possible +involvement of alcohol or drug use or impairment in such accident or incident. +(d) In providing information required by this paragraph, a railroad shall not disclose any information concerning +use of controlled substances determined by the railroad's Medical Review Officer to have been consistent with 49 +CFR 219.103. +§ 225.19 Primary groups of accidents/incidents. +(a) For reporting purposes reportable railroad accidents/incidents are divided into three groups: +Group I--Highway-Rail Grade Crossing; +Group II--Rail Equipment; +Group III--Death, Injury and Occupational Illness. +(b) Group I--Highway-rail grade crossing. Each highway-rail grade crossing accident/incident must be reported to +the FRA on Form FRA F 6180.57, regardless of the extent of damages or whether a casualty occurred. In addition, +whenever a highway-rail grade crossing accident/incident results in damages greater than the current reporting +threshold to railroad on-track equipment, signals, track, track structures, or roadbed, that accident/incident shall be +reported to the FRA on Form FRA F 6180.54. For reporting purposes, damages include labor costs and all other +costs to repair or replace in kind damaged on-track equipment, signals, track, track structures, or roadbed, but do +not include the cost of clearing a wreck. +(c) Group II--Rail equipment. Rail equipment accidents/incidents are collisions, derailments, fires, explosions, acts +of God, and other events involving the operation of on-track equipment (standing or moving) that result in damages +higher than the current reporting threshold (i.e., $6,700 for calendar years 2002 through 2005, $7,700 for calendar +year 2006, $8,200 for calendar year 2007, $8,500 for calendar year 2008, $8,900 for calendar year 2009, $9,200 for +calendar year 2010 and $9,400 for calendar year 2011) to railroad on-track equipment, signals, tracks, track +structures, or roadbed, including labor costs and the costs for acquiring new equipment and material. Each rail +equipment accident/incident must be reported to the FRA on Form FRA F 6180.54. If the property of more than one +railroad is involved in an accident/incident, the reporting threshold is calculated by including the damages suffered +by all of the railroads involved. See § 225.23, Joint Operations. The reporting threshold will be reviewed +periodically, and, if necessary, will be adjusted every year. +(d) Group III--Death, injury, or occupational illness. Each death, injury, or occupational illness that is a new case +and meets the general reporting criteria listed in paragraphs (d)(1) through (6) of this section shall be reported to +FRA on Form FRA F 6180.55a, “Railroad Injury and Illness Summary (Continuation Sheet)” if an event or +exposure arising from the operation of a railroad is a discernable cause of the resulting condition or a discernable +cause of a significant aggravation to a pre-existing injury or illness. The event or exposure arising from the +operation of a railroad need only be one of the discernable causes; it need not be the sole or predominant cause. +The general injury/illness reporting criteria are as follows: + (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 +14 + (iii) Loss of consciousness; +(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; +(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; + (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. + (e) The reporting threshold is $6,700 for calendar years 2002 through 2005, $7,700 for calendar year 2006, $8,200 +for calendar year 2007, $8,500 for calendar year 2008, $8,900 for calendar year 2009, $9,200 for calendar year +2010 and $9,400 for calendar year 2011. The procedure for determining the reporting threshold for calendar years +2006 and beyond appears as paragraphs 1-8 of appendix B to part 225. +§ 225.21 Forms. +The following forms and copies of the FRA Guide for Preparing Accident/Incident Reports may be obtained from +the U.S. Department of Transportation, Federal Railroad Administration, Office of Safety Analysis, RRS-22, Mail +Stop 25, West Building 3rd Floor, Room W33-107 1200 New Jersey Avenue, SE., Washington, DC 20590 or +downloaded from FRA’s Office of Safety Analysis website at http://safetydata.fra.dot.gov/officeofsafety/, and click +on “Click here for Changes in Railroad Accident/Incident Recordkeeping and Reporting.” + (a) Form FRA F 6180.54--Rail Equipment Accident/Incident Report. Form FRA F 6180.54 shall be used to report +each reportable rail equipment accident/incident which occurred during the preceding month. + (b) Form FRA F 6180.55--Railroad Injury and Illness Summary. Form FRA F 6180.55 must be filed each month, +even though no reportable accident/incident occurred during the month covered. Each report must include an oath +or verification, made by the proper officer of the reporting railroad, as provided for attestation on the form. If no +reportable accident/incident occurred during the month, that fact must be stated on this form. All railroads subject +15 +to this part, shall show on this form the total number of freight train miles, passenger train miles, yard switching +train miles, and other train miles run during the month. + (c) Form FRA 6180.55a--Railroad Injury and Illness (Continuation Sheet). Form FRA 6180.55a shall be used to +report all reportable fatalities, injuries and occupational illnesses that occurred during the preceding month. +(d) Form FRA 6180.56--Annual Railroad Report of Employee Hours and Casualties, by State. Form FRA 6180.56 +shall be submitted as part of the monthly Railroad Injury and Illness Summary (Form FRA F 6180.55) for the +month of December of each year. +(e) Form FRA F 6180.57--Highway-Rail Grade Crossing Accident/Incident Report. Form FRA F 6180.57 shall be +used to report each highway-rail grade crossing accident/incident which occurred during the preceding month. +(f) Form FRA F 6180.81--Employee Human Factor Attachment. Form FRA F 6180.81 shall be used by railroads, as +a supplement to the Rail Equipment Accident/Incident Report (Form FRA F 6180.54), in reporting rail equipment +accidents/incidents that they attribute to an employee human factor. This form shall be completed in accordance +with instructions printed on the form and in the current ``FRA Guide for Preparing Accident/Incident Reports.'' The +form shall be attached to the Rail Equipment Accident/Incident Report and shall be submitted within 30 days after +expiration of the month in which the accident/incident occurred. +(g) Form FRA F 6180.78--Notice to Railroad Employee Involved in Rail Equipment Accident/Incident Attributed +to Employee Human Factor; Employee Statement Supplementing Railroad Accident Report. When a railroad +alleges, in the Employee Human Factor Attachment to a Rail Equipment Accident/Incident Report, that the act, +omission, or physical condition of a specific employee was a primary or contributing cause of the rail equipment +accident/incident, the railroad shall complete part I of Form FRA F 6180.78 to notify each such employee identified +that the railroad has made such allegation and that the employee has the right to submit a statement to FRA. The +railroad shall then submit the entire form, parts I and II, to the employee. The Employee Statement Supplementing +Railroad Accident Report (Employee Supplement) is completely at the option of the employee; however, if the +employee desires to make a statement about the accident that will become part of the railroad's Rail Equipment +Accident/Incident Report, the employee shall complete the Employee Supplement form (part II of Form FRA F +6180.78) and shall then submit the original of the entire form, parts I and II, and any attachments, to FRA and +submit a copy of the same to the railroad that issued the Notice in part I. +(h) Form FRA F 6180.98--Railroad Employee Injury and/or Illness Record. Form FRA F 6180.98 or an alternative +railroad-designed record shall be used by the railroads to record all reportable and accountable injuries and illnesses +to railroad employees for each establishment. This record shall be completed and maintained in accordance with the +requirements set forth in § 225.25. +(i) Form FRA F 6180.97--Initial Rail Equipment Accident/Incident Record. Form FRA F 6180.97 or an alternative +railroad-designed record shall be used by the railroads to record all reportable and accountable rail equipment +accidents/incidents for each establishment. This record shall be completed and maintained in accordance with the +requirements set forth in § 225.25. +(j) Form FRA 6180.107--Alternative Record for Illnesses Claimed To Be Work-Related. Form FRA F 6180.107 or +an alternative railroad-designed record may be used by a railroad in lieu of Form FRA F 6180.98, “Railroad +Employee Injury and/or Illness Record” (described in paragraph (h) of this section), to record each illness claimed +by an employee to be work-related that is reported to the railroad for which there is insufficient information for the +railroad to determine whether the illness is work-related. This record shall be completed and retained in accordance +with the requirements set forth in § 225.25 and § 225.27. +(k) Form FRA F 6180.150 – Highway User Injury Inquiry Form – Form FRA F 6180.150 shall be sent to every +potentially injured highway user, or their representative, involved in a highway-rail grade crossing +accident/incident. If a highway user died as a result of the highway-rail grade crossing accident/incident, a railroad +must not send this form to any person. The railroad shall hand deliver or send by first class mail the letter within a +16 +reasonable time period following the date of the highway-rail grade crossing accident/incident. The form shall be +sent along with a cover letter and a prepaid preaddressed return envelope. The form and cover letter shall be +completed in accordance with instructions contained in the current “FRA Guide for Preparing Accident/Incident +Reports.” Any response from a highway user is voluntary and not mandatory. A railroad shall use any response +from a highway user to comply with part 225’s accident/incident reporting and recording requirements. +§ 225.23 Joint operations. +(a) Any reportable death, injury, or illness of an employee arising from an accident/incident involving joint +operations must be reported on Form FRA F 6180.55a by the employing railroad. +(b) In all cases involving joint operations, each railroad must report on Form FRA F 6180.55a the casualties to all +persons on its train or other on-track equipment. Casualties to railroad employees must be reported by the +employing railroad regardless of whether the employees were on or off duty. Casualties to all other persons not on +trains or on-track equipment must be reported on Form FRA F 6180.55a by the railroad whose train or equipment is +involved. Any person found unconscious or dead, if such condition arose from the operation of a railroad, on or +adjacent to the premises or right-of-way of the railroad having track maintenance responsibility must be reported by +that railroad on Form FRA F 6180.55a. +(c) In rail equipment accident/incident cases involving joint operations, the railroad responsible for carrying out +repairs to, and maintenance of, the track on which the accident/incident occurred, and any other railroad directly +involved in the accident/incident, each must report the accident/incident on Form FRA F 6180.54. +§ 225.25 Recordkeeping. + (a) Each railroad shall maintain either the Railroad Employee Injury and/or Illness Record (Form FRA F 6180.98) +or an alternative railroad-designed record as described in paragraph (b) of this section of all reportable and +accountable injuries and illnesses of its employees for each railroad establishment where such employees report to +work, including, but not limited to, an operating division, general office, and major installation such as a +locomotive or car repair or construction facility. + (b) The alternative railroad-designed record may be used in lieu of the Railroad Employee Injury and/or Illness +Record (Form FRA F 6180.98) described in paragraph (a) of this section. Any such alternative record shall contain +all of the information required on the Railroad Employee Injury and/or Illness Record. Although this information +may be displayed in a different order from that on the Railroad Employee Injury and/or Illness Record, the order of +the information shall be consistent from one such record to another such record. The order chosen by the railroad +shall be consistent for each of the railroad's reporting establishments. Railroads may list additional information on +the alternative record beyond the information required on the Railroad Employee Injury and/or Illness Record. The +alternative record shall contain, at a minimum, the following information: + (1) Name of railroad; + (2) Case/incident number; + (3) Full name of railroad employee; + (4) Date of birth of railroad employee; + (5) Gender of railroad employee; + (6) Employee identification number; + (7) Date the railroad employee was hired; +(8) Home address of railroad employee; include the street address, city, State, ZIP code, and home +telephone number with area code; + (9) Name of facility where railroad employee normally reports to work; +(10) Address of facility where railroad employee normally reports to work; include the street address, city, +State, and ZIP code; + (11) Job title of railroad employee; + (12) Department assigned; +17 +(13) Specific site where accident/incident/exposure occurred; include the city, county, State, and ZIP code; + (14) Date and time of occurrence; military time or AM/PM; + (15) Time employee's shift began; military time or AM/PM; + (16) Whether employee was on premises when injury, illness, or condition occurred; + (17) Whether employee was on or off duty; +(18) Date and time when employee notified company personnel of condition; military time or AM/PM; + (19) Name and title of railroad official notified; +(20) Description of the general activity this employee was engaged in prior to the injury/illness/condition; +(21) Description of all factors associated with the case that are pertinent to an understanding of how it +occurred. Include a discussion of the sequence of events leading up to it; and the tools, machinery, +processes, material, environmental conditions, etc., involved; +(22) Description, in detail, of the injury/illness/condition that the employee sustained, including the body +parts affected. If a recurrence, list the date of the last occurrence; +(23) Identification of all persons and organizations used to evaluate or treat the condition, or both. Include +the facility, provider and complete address; +(24) Description of all procedures, medications, therapy, etc., used or recommended for the treatment of the +condition. + (25) Extent and outcome of injury or illness to show the following as applicable: + (i) Fatality--enter date of death; + (ii) Restricted work; number of days; beginning date; + (iii) Occupational illness; date of initial diagnosis; +(iv) Instructions to obtain prescription medication, or receipt of prescription medication; +(v) If one or more days away from work, provide the number of days away and the beginning date; + (vi) Medical treatment beyond ``first aid''; + (vii) Hospitalization for treatment as an inpatient; + (viii) Multiple treatments or therapy sessions; + (ix) Loss of consciousness; + (x) Transfer to another job or termination of employment; + (xi) Significant injury or illness of a railroad employee; +(xii) Needlestick or sharps injury to a railroad employee, medical removal of a railroad employee, +occupational hearing loss of a railroad employee, occupational tuberculosis of a railroad employee, +or musculoskeletal disorder of a railroad employee which musculoskeletal disorder is reportable +under one or more of the general reporting criteria. +(26) Each railroad shall indicate if the Railroad Injury and Illness Summary (Continuation Sheet) (FRA +Form F 6180.55a) has been filed with FRA for the injury or illness. If FRA Form F 6180.55a was not filed +with FRA, then the railroad shall provide an explanation of the basis for its decision. +(27) The reporting railroad shall indicate if the injured or ill railroad employee was provided an opportunity +to review his or her file; and +(28) The railroad shall identify the preparer's name; title; telephone number with area code; and the date the +record was initially signed/completed. +(c) Each railroad shall provide the employee, upon request, a copy of either the completed Railroad Employee +Injury and/or Illness Record (Form FRA F 6180.98) or the alternative railroad-designed record as described in +paragraphs (a) and (b) of this section as well as a copy of forms or reports required to be maintained or filed under +this part pertaining to that employee's own work-related injury or illness. +(d) Each railroad shall maintain the Initial Rail Equipment Accident/Incident Record (Form FRA F 6180.97) or an +alternative railroad-designed record as described in paragraph (e) of this section of reportable and accountable +collisions, derailments, fires, explosions, acts of God, or other events involving the operation of railroad on-track +equipment, signals, track, or track equipment (standing or moving) that result in damages to railroad on-track +equipment, signals, tracks, track structures, or roadbed, including labor costs and all other costs for repairs or +replacement in kind for each railroad establishment where workers report to work, including, but not limited to, an +operating division, general office, and major installation such as a locomotive or car repair or construction facility. +18 +(e) The alternative railroad-designed record may be used in lieu of the Initial Rail Equipment Accident/Incident +Record (Form FRA F 6180.97). Any such alternative record shall contain all of the information required on the +Initial Rail Equipment Accident/Incident Record. Although this information may be displayed in a different order +from that on the Initial Rail Equipment Accident/Incident Record, the order of the information shall be consistent +from one such record to another such record. The order chosen by the railroad shall be consistent for each of the +railroad's reporting establishments. Railroads may list additional information in the alternative record beyond the +information required on the Initial Rail Equipment Accident/Incident Record. The alternative record shall contain, +at a minimum, the following information: + (1) Date and time of accident; + (2) Reporting railroad, and accident/incident number; + (3) Other railroad, if applicable, and other railroad's accident/incident number; + (4) Railroad responsible for track maintenance, and that railroad's incident number; + (5) Type of accident/incident (derailment, collision, etc.); +(6) Number of cars carrying hazardous materials that derailed or were damaged; and number of cars +carrying hazardous materials that released product; + (7) Division; + (8) County and nearest city or town; + (9) State; + (10) Milepost (to the nearest tenth); + (11) Specific site; + (12) Speed (indicate if actual or estimate); + (13) Train number or job number; + (14) Type of equipment (freight, passenger, yard switching, etc.); + (15) Type of track (main, yard, siding, industry); + (16) Total number of locomotives in train; + (17) Total number of locomotives that derailed; + (18) Total number of cars in train; + (19) Total number of cars that derailed; + (20) Total amount of damage in dollars to equipment based on computations as described in the ``FRA +Guide for Preparing Accidents/Incidents Reports''; +(21) Total amount of damage in dollars to track, signal, way and structures based on computations as +described in the ``FRA Guide for Preparing Accidents/Incidents Reports''; + (22) Primary cause; + (23) Contributing cause; + (24) Persons injured, persons killed, and employees with an occupational illness, broken down into the +following classifications: worker on duty--employee; employee not on duty; passenger on train; +nontrespasser--on railroad property; trespasser; worker on duty--contractor; contractor--other; worker on +duty--volunteer; volunteer--other; and nontrespasser-off railroad property; + (25) Narrative description of the accident; + (26) Whether the accident/incident was reported to FRA; + (27) Preparer's name, title, telephone number with area code, and signature; and + (28) Date the record was initially signed/completed. +(f) Each railroad shall enter each reportable and accountable injury and illness and each reportable and accountable +rail equipment accident/incident on the appropriate record, as required by paragraphs (a) through (e) of this section, +as early as practicable but no later than seven working days after receiving information or acquiring knowledge that +an injury or illness or rail equipment accident/incident has occurred. +(g) The records required under paragraphs (a) through (e) of this section may be maintained at the local +establishment or, alternatively, at a centralized location. If the records are maintained at a centralized location, but +not through electronic means, then a paper copy of the records that is current within 35 days of the month to which +it applies shall be available for that establishment. If the records are maintained at a centralized location through +electronic means, then the records for that establishment shall be available for review in a hard copy format within +four business hours of FRA's request. FRA recognizes that circumstances outside the railroad's control may +19 +preclude it from fulfilling the four-business-hour time limit. In these circumstances, FRA will not assess a monetary +penalty against the railroad for its failure to provide the requested documentation provided the railroad made a +reasonable effort to correct the problem. +(h) Except as provided in paragraph (h)(15) of this section, 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, if +the establishment has been in continual operation for a minimum of 90 calendar days. If the establishment has not +been in continual operation for a minimum of 90 calendar days, the listing of all injuries and occupational illnesses +reported to FRA as having occurred at the establishment shall be posted, within 30 days after the expiration of the +month during which the injuries and illnesses occurred, in a conspicuous location at the next higher organizational +level establishment, such as one of the following: an operating division headquarters; a major classification yard or +terminal headquarters; a major equipment maintenance or repair installation, e.g., a locomotive or rail car repair or +construction facility; a railroad signal and maintenance-of-way division headquarters; or a central location where +track or signal maintenance employees are assigned as a headquarters or receive work assignments. These +examples include facilities that are generally major facilities of a permanent nature where the railroad generally +posts or disseminates company informational notices and policies, e.g., the policy statement in the internal control +plan required by § 225.33 concerning harassment and intimidation. At a minimum, ``establishment'' posting is +required and shall include locations where a railroad reasonably expects its employees to report during a 12-month +period and to have the opportunity to observe the posted list containing any reportable injuries or illnesses they +have suffered during the applicable period. This listing shall be posted and shall remain continuously displayed for +the next twelve consecutive months. Incidents reported for employees at that establishment shall be displayed in +date sequence. The listing shall contain, at a minimum, the information specified in paragraphs (h)(1) through (14) +of this section. + (1) Name and address of the establishment; + (2) Calendar year of the cases being displayed; + (3) Incident number used to report case; + (4) Date of the injury or illness; + (5) Location of incident; + (6) Regular job title of employee injured or ill; + (7) Description of the injury or condition; + (8) Number of days employee absent from work at time of posting; + (9) Number of days of work restriction for employee at time of posting; + (10) If fatality--enter date of death; + (11) Annual average number of railroad employees reporting to this establishment; + (12) Preparer's name, title, telephone number with area code, and signature (or, in lieu of signing each +establishment's list of reportable injuries and illnesses, the railroad's preparer of this monthly list may sign a +cover sheet or memorandum which contains a list of each railroad establishment for which a monthly list of +reportable injuries and illnesses has been prepared. This cover memorandum shall be signed by the preparer +and shall have attached to it a duplicate copy of each establishment's list of monthly reportable injuries and +illnesses. The preparer of the monthly lists of reportable injuries and illnesses shall mail or send by +facsimile each establishment’s list to the establishment in the time frame prescribed in paragraph (h) of this +section.); and + (13) Date the record was completed. +(14) When there are no reportable injuries or occupational illnesses associated with an establishment for +that month, the listing shall make reference to this fact. +(15) The railroad is permitted not to post information on an occupational injury or illness that is a privacy +concern case. +(i) Claimed Occupational Illnesses. +(1) Each railroad may maintain a Form FRA F 6180.107, “Alternative Records for Illnesses Claimed to be +Work-Related,” or an alternate railroad-designed record as described in paragraph (j) of this section, in +place of Form FRA F 6180.98, “Railroad Employee Injury and/or Illness Record,” only for those claimed +20 +occupational illnesses for which the railroad has not received information sufficient to determine whether +the occupational illness is work-related. +(2) Each railroad shall enter each illness claimed to be work-related on the appropriate record, as required +by paragraph (i)(1) of this section, as early as practicable, but no later than seven working days after +receiving information or acquiring knowledge that an employee is claiming they have incurred an +occupational illness. +(3) When a railroad does not receive information sufficient to determine whether a claimed occupational +illness case is accountable or reportable, the railroad shall make a good faith effort to obtain the necessary +information by December 1 of the next calendar year. +(4) Within 15 calendar days of receiving additional information regarding a claimed occupational illness +case, each railroad shall document receipt of the information, including date received and type of +document/information received, in narrative block 19 of Form FRA F 6180.107, “Alternative Record for +Illnesses Claimed to be Work-Related.” +(5) Within 45 calendar days of receiving additional information regarding a claimed occupational illness, +each railroad shall re-evaluate the claimed occupational illness to determine work-relatedness, taking into +account the new information, and document any findings resulting from the re-evaluation in narrative block +19 of Form FRA F 6180.107, “Alternative Record for Illnesses Claimed to be Work-Related.” +(6) For any claimed occupational illness case determined to be accountable or reportable, each railroad +shall: +(i) Complete a Form FRA F 6180.98, “Railroad Employee Injury and/or Illness Record” or +alternative railroad-designed form within seven days of making such determination; +(ii) Retain the Form FRA F 6180.98, “Railroad Employee Injury and/or Illness Record,” in +accordance with § 225.27; and + (iii) Report the occupational illness, as applicable, in accordance with § 225.11. +(7) For any claimed occupational illness case determined not to be accountable or reportable, each railroad +shall include the following information in narrative block 19 of Form FRA F 6180.107, “Alternative +Record for Illnesses Claimed to be Work-Related” or alternative railroad-designed form: + (i) Why the case does not meet reporting criteria; + (ii) The basis upon which the railroad made this determination; and +(iii) The most authoritative information the railroad relied upon to make the determination. +(8) Although Form FRA 6180.107, “Alternative Record for Illnesses Claimed to be Work-Related” (or the +alternate railroad-designed form), may not include all supporting documentation, such as medical records, +the alternative record shall note the custodian of those documents and where the supporting documents are +located so that they are readily accessible to FRA upon request. +(j) An alternative railroad-designed record may be used in lieu of the Alternative Record for Illnesses Claimed to be +Work-Related (Form FRA F 6180.107). Any such alternative record shall contain all of the information required +on the Alternative Record for Illnesses Claimed to be Work-Related. Although this information may be displayed +in a different order from that on the Alternative Record for Illnesses to be Work-Related, the order of the +information shall be consistent from one such record to another such record. The order chosen by the railroad shall +be consistent for all of the railroad 's reporting establishments. Railroads may list additional information in the +alternative record beyond the information required on the Alternative Record for Illnesses Claimed to be WorkRelated. The alternative record shall contain, at a minimum, the following information: + (1) Name of Reporting Railroad; + (2) Case/Incident Number; + (3) Employee’s Name (first, middle, last); + (4) Employee’s Date of Birth (mm/dd/yy); + (5) Employee’s Gender; +21 + (6) Employee Identification Number; + (7) Date Employee was Hired (mm/dd/yy); + (8) Employee’s Home Address (include street address, city, State and Zip code); + (9) Employee’s Home Telephone Number (with area code); + (10) Name of Facility Where Railroad Employee Normally Reports to Work; + (11) Location, or Last Know Facility, Where Employee Reports to Work; + (12) Job Title of Railroad Employee; + (13) Department to Which Employee is Assigned; + (14) Date on Which Employee or Representative Notified Company Personnel of Condition (mm/dd/yy); + (15) Name of Railroad Official Notified; + (16) Title of Railroad Official Notified; + (17) Nature of Claimed Illness; + (18) Supporting Documentation; + (19) Custodian of Documents (Name, Title, and Address); + (20) Location of Supporting Documentation; + (21) Narrative; + (22) Preparer’s Name; + (23) Preparer’s Title; + (24) Preparer’s Telephone Number (with area code); and + (25) Date the record was initially signed/completed (mm/dd/yy). +§ 225.27 Retention of records. +(a) +(1) Five-year retention period. Each railroad shall retain the following forms for at least five years after the +end of the calendar year to which they relate: + (i) Form FRA F 6180.98, “Railroad Employee Injury and/or Illness Record;” +(ii) Form FRA F 6180.107, “Alternative Record for Illnesses Claimed to be Work-Related;” +(iii) Monthly List of Injuries and Illnesses required by § 225.25; and +(iv) Form FRA F 6180.150, “Highway User Injury Inquiry Form.” +(2) Two-year retention period. Each railroad shall retain the following forms for at least two years after the +end of the calendar year to which they relate: +(i) Form FRA F 6180.97, “Initial Rail Equipment Accident/Incident Record,” required by § 225.25; +(ii) The Employee Human Factor Attachments (Form FRA F 6180.81, “Employee Human Factor +Attachment”) required by § 225.12, that have been received by the railroad; +(iii) The written notices to employees required by § 225.12 (Part I of Form FRA F 6180.78, +“Notice to Railroad Employee Involved in Rail Equipment Accident/Incident Attributed to +Employee Human Factor; Employee Statement Supplementing Railroad Accident Report”), that +have been received by the railroad; and +(iv) The Employee Statements Supplementing Railroad Accident Reports described in § 225.12(g) +(Part II of Form FRA F 6180.78, “Notice to Railroad Employee Involved in Rail Equipment +Accident/Incident Attributed to Employee Human Factor; Employee Statement Supplementing +Railroad Accident Report”), that have been received by the railroad. +(b) Each railroad must retain a duplicate of each form it submits to FRA under § 225.21, for at least 2 years after +the calendar year to which it relates. +(c) Each railroad must retain the original hard copy of each completed and signed Form FRA F 6180.55 that the +railroad submits to FRA on optical media (CD-ROM) or electronically via the Internet to aireports@frasafety.net +for at least five years after the calendar year to which it relates. If the railroad opts to submit the report to FRA +electronically via the Internet, the railroad must also retain a hard copy print out of FRA’s electronic notice +22 +acknowledging receipt of the railroad’s submission for a period of at least five years after the calendar year to +which the report acknowledged relates. + +(d) Railroads may retain accident/incident records as required by paragraphs (a) and (b) of this section in hard copy +format or in electronic format. After October 31, 2011, accident/incident records, retained by railroads as required +by paragraphs (a) and (b) of this section, in hard copy format or electronic format are subject to the following +system requirements: +(1) Design Requirements. Any electronic record keeping system used to retain a record required to be +retained by this part shall meet the following design parameters: +(i) The electronic record system shall be designed such that the integrity of each record is retained +through appropriate levels of security such as recognition of an electronic signature, or other +means, which uniquely identify the initiating person as the author of that record. No two persons +shall have the same electronic identity; +(ii) The electronic system shall ensure that each record cannot be modified, or replaced, once the +record is submitted to FRA; +(iii) Any amendment to a record shall be electronically stored apart from the record which it +amends. Each amendment to a record shall uniquely identify the person making the amendment +and the date the amendment was made; +(iv) The electronic system shall provide for the maintenance of reports as originally submitted to +FRA without corruption or loss of data; and +(v) Policies and procedures must be in place to prevent persons from altering electronic records, or +otherwise interfering with the electronic system. +(2) Accessibility and availability. Any electronic record system used to create, maintain, or transfer a +record required to be maintained by this part shall meet the following access and availability parameters: +(i) Paper copies of electronic records and amendments to those records that may be necessary to +document compliance with this part shall be provided to any representative of the FRA or of a State +agency participating in investigative and/or surveillance activities under part 212 of this chapter or +any other authorized representative for inspection and photocopying upon request in accordance +with § 225.35; and +(ii) Paper copies provided to FRA or of a State agency participating in investigative and/or +surveillance activities under part 212 of this chapter or any other authorized representative shall be +produced in a readable text format and all data shall be identified by narrative descriptions (e.g., +“accident/incident number,” “number of days away from work,” “date of occurrence,” etc.). +§ 225.29 Penalties. +Any person (an entity of any type covered under 1 U.S.C. 1, including but not limited to the following: a railroad; a +manager, supervisor, official, or other employee or agent of a railroad; any owner, manufacturer, lessor, or lessee of +railroad equipment, track, or facilities; any independent contractor providing goods or services to a railroad; and +any employee of such owner, manufacturer, lessor, lessee, or independent contractor) who violates any requirement +of this part or causes the violation of any such requirement is subject to a civil penalty of at least $650 and not more +than $25,000 per violation, except that: Penalties may be assessed against individuals only for willful violations, +and where a grossly negligent violation or a pattern of repeated violations has created an imminent hazard of death +or injury to persons, or has caused death or injury, a penalty not to exceed $27,000 per violation may be assessed. +Each day a violation continues shall constitute a separate offense. See appendix A to this part for a statement of +agency civil penalty policy. A person may also be subject to the criminal penalties provided for in 49 U.S.C. 21311. +§ 225.31 Investigations. +(a) It is the policy of the FRA to investigate rail transportation accidents/incidents which result in the death of a +railroad employee or the injury of five or more persons. Other accidents/incidents are investigated when it appears +that an investigation would substantially serve to promote railroad safety. +23 + (b) FRA representatives are authorized to investigate accidents/incidents and have been issued credentials +authorizing them to inspect railroad records and properties. They are authorized to obtain all relevant information +concerning accidents/incidents under investigation, to make inquiries of persons having knowledge of the facts, +conduct interviews and inquiries, and attend as an observer, hearings conducted by railroads. When necessary to +carry out an investigation, the FRA may authorize the issuance of subpoenas to require the production of records +and the giving of testimony. + (c) Whenever necessary, the FRA will schedule a public hearing before an authorized hearing officer, in which +event testimony will be taken under oath, a record made, and opportunity provided to question witnesses. +(d) When necessary in the conduct of an investigation, the Federal Railroad Administrator may require autopsies +and other tests of the remains of railroad employees who die as a result of an accident/incident. +(e) Information obtained through FRA accident investigations may be published in public reports or used for other +purposes FRA deems to be appropriate. + (f) Section 20903 of title 49 of the United States Code provides that no part of a report of an accident investigation +under section 20902 of title 49 of the United States Code may be admitted as evidence or used for any purpose in +any suit or action for damages growing out of any matter mentioned in the accident investigation report. +§ 225.33 Internal Control Plans. + (a) Each railroad shall adopt and comply with a written Internal Control Plan that shall be maintained at the office +where the railroad's reporting officer conducts his or her official business. Each railroad shall amend its Internal +Control Plan, as necessary, to reflect any significant changes to the railroad's internal reporting procedures. The +Internal Control Plan shall be designed to maintain absolute accuracy and shall include, at a minimum, each of the +following components: +(1) A policy statement declaring the railroad's commitment to complete and accurate reporting of all +accidents, incidents, injuries, and occupational illnesses arising from the operation of the railroad, to full +compliance with the letter and spirit of FRA's accident reporting regulations, and to the principle, in +absolute terms, that harassment or intimidation of any person that is calculated to discourage or prevent +such person from receiving proper medical treatment or from reporting such accident, incident, injury or +illness will not be permitted or tolerated and will result in some stated disciplinary action against any +employee, supervisor, manager, or officer of the railroad committing such harassment or intimidation. +(2) The dissemination of the policy statement; complaint procedures. Each railroad shall provide to all +employees, supervisory personnel, and management the policy statement described in paragraph (a)(1). +Each railroad shall have procedures to process complaints from any person about the policy stated in +paragraph (a)(1) being violated, and to impose the appropriate prescribed disciplinary actions on each +employee, supervisor, manager, or officer of the railroad found to have violated the policy. These +procedures shall be disclosed to railroad employees, supervisors, managers, and officers. The railroad shall +provide ``whistle blower'' protection to any person subject to this policy, and such policy shall be disclosed +to all railroad employees, supervisors and management. +(3) Copies of internal forms and/or a description of the internal computer reporting system used for the +collection and internal recording of accident and incident information. +(4) A description of the internal procedures used by the railroad for the processing of forms and/or +computerized data regarding accident and incident information. +(5) A description of the internal review procedures applicable to accident and incident information +collected, and reports prepared by, the railroad's safety, claims, medical and/or other departments engaged +in collecting and reporting accident and incident information. +(6) A description of the internal procedures used for collecting cost data and compiling costs with respect to +accident and incident information. +(7) A description of applicable internal procedures for ensuring adequate communication between the +railroad department responsible for submitting accident and incident reports to FRA and any other +department within the railroad responsible for collecting, receiving, processing and reporting accidents and +incidents. +24 +(8) A statement of applicable procedures providing for the updating of accident and incident information +prior to reporting to FRA and a statement of applicable procedures providing for the amendment of +accident and incident information as specified in the “FRA Guide for Preparing Accidents/Incidents +Reports.” +(9) A statement that specifies the name and title of the railroad officer responsible for auditing the +performance of the reporting function; a statement of the frequency (not less than once per calendar year) +with which audits are conducted; and identification of the site where the most recent audit report may be +found for inspection and photocopying. + (10)(i) A brief description of the railroad organization, including identification of: +(A) All components that regularly come into possession of information pertinent to the preparation +of reports under this part (e.g., medical, claims, and legal departments; operating, mechanical, and +track and structures departments; payroll, accounting, and personnel departments); + (B) The title of each railroad reporting officer; + (C) The title of each manager of such components, by component; and + (D) All officers to whom managers of such components are responsible, by component. +(ii) A current organization chart satisfies paragraphs (a)(10)(i) (B), (C), and (D) of this section. +(11) In the case of the Form FRA F 6180.107 or the alternate railroad-designed form, a statement that +specifies the name(s), title(s), and address(es) of the custodian(s) of these records, all supporting +documentation, such as medical records, and where the documents are located. +(b) [Reserved] +§ 225.35 Access to records and reports. +(a) Each railroad subject to this part shall have at least one location, and shall identify each location, where any +representative of the Federal Railroad Administration or of a State agency participating in investigative and +surveillance activities under part 212 of this chapter or any other authorized representative, has centralized access to +a copy of any record and report required under this part, for examination and photocopying in a reasonable manner +during normal business hours. + (b) Each railroad subject to this part shall also provide to any representative of the Federal Railroad Administration +or of a State agency participating in investigative or and surveillance activities under part 212 of this chapter or any +other authorized representative access to relevant medical and claims records for examination and photocopying in +a reasonable manner during normal business hours. Such representatives shall display proper credentials when +requested. Each railroad shall identify the locations where a copy of any record and report required under this part +is accessible for inspection and photocopying by maintaining a list of such establishment locations at the office +where the railroad's reporting officer conducts his or her official business. A copy of any record and report required +under this part shall be accessible within four business hours after the request. The Form FRA F 6180.107 or the +alternate railroad-designed form need not be provided at any railroad establishment within 4 hours of a request. +Rather, the Form FRA F 6180.107 or the alternate railroad-designed form must be provided upon request, within +five business days, and may be kept at a central location, in either paper or electronic format. FRA will not assess a +monetary penalty against the railroad for its failure to provide the requested documentation when circumstances +outside the railroad's control preclude it from fulfilling the four-business-hour time limit and the railroad has made +a reasonable effort to correct the problem. Should a railroad assert a legal privilege with respect to certain claims +and medical records, failure to provide FRA access to such records would not constitute a violation of this section. +FRA retains the right to issue a subpoena to obtain such records under 49 U.S.C. § § 20107 and 20902 and § § +209.7(a) and 225.31(b) of this title, and the railroad may contest that subpoena. +§ 225.37 Optical media transfer and electronic submission. +(a) A railroad has the option of submitting the following reports, updates, and amendments by way of optical media +(CD-ROM), or by means of electronic submission via the Internet: + (1) The Rail Equipment Accident/Incident Report (Form FRA F 6180.54); + (2) The Railroad Injury and Illness Summary (Form FRA F 6180.55); +25 + (3) The Railroad Injury and Illness Summary (Continuation Sheet) (Form FRA F 6180.55a); + (4) The Highway-Rail Grade Crossing Accident/Incident Report (Form FRA F 6180.57); and +(5) The Employee Human Factor Attachment (Form FRA F 6180.81) (the Employee Human Factor +Attachment must be in .pdf or .jpg format only). + (b) Each railroad utilizing the optical media option shall submit to FRA a computer CD-ROM containing the +following: +(1) An electronic image of the completed and signed hard copy of the Railroad Injury and Illness Summary +(Form FRA F 6180.55) in .pdf or .jpg format only; and + (2) The completed accident/incident report submissions. +(c) +(1) Each railroad utilizing the electronic submission via the Internet option shall submit to FRA at +aireports@frasafety.net: +(i) An electronic image of the completed and signed hard copy of the Railroad Injury and Illness +Summary (Form FRA F 6180.55) in .pdf or .jpg format only; and + (ii) The completed accident/incident report submissions. +(2) FRA will provide to the railroad an electronic notice acknowledging receipt of submissions filed +electronically via the Internet. +(d) Each railroad employing either the optical media or electronic submission via the Internet option, shall submit +its monthly reporting data for the reports identified in paragraph (a) of this section in a year-to-date file format as +described in the FRA Guide. +(e) A railroad choosing to use optical media or electronic submission via the internet must use one of the approved +formats specified in the Companion Guide. FRA will reject submissions that do not adhere to the required formats, +which may result in the issuance of one or more civil penalty assessments against a railroad for failing to provide +timely submissions of required reports as required by § 225.11. +§ 225.39 FRA policy on covered data. + FRA will not include covered data (as defined in § 225.5) in its periodic summaries of data on the number of +occupational injuries and illnesses. +§ 225.41 Suicide Data. + FRA does not include suicide data (as defined in § 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 website for individual reports or downloads. +Suicide data will be available to the public in aggregate format on FRA’s website and via requests under the +Freedom of Information Act. + +26 +APPENDIX A TO PART 225—SCHEDULE OF CIVIL PENALTIES 1 +Section2 Violation Willful +Violation +225.6: Failure to comply with consolidated reporting requirements.. +225.9: + (1) Failure to report …………………...................................... + (2) Failure to immediately report…………………………….. + (3) Failure to accurately report………………………………. + $ 2,500 + + + 2,500 + 1,000 + 1,000 + $ 5,000 + + + 5,000 + 2,000 + 2,000 +225.11: + (1) Failure to report accident/incident………………………... + (a) Highway-rail grade crossing………………………… + (b) Rail Equipment……………………………………… + (c) Death, Injury, or occupational illness……………….. + (2) Report is incomplete……………………………….…….. + + 2,500 + + + 1,000 + + + 5,000 + 2,000 +225.12: Failure to file Railroad Employee Human Factor form…… 2,500 5,000 +(a) Failure to file Railroad Employee Human Factor +Attachment correctly: +(1) Employee identified…………………………… +(2) No employee identified……………………….. + 2,500 + 1,000 + 5,000 + 2,000 + (b) + (1) Failure to notify employee properly…………....... + (2) Notification of employee not involved in accident. + 2,500 + 2,500 + 5,000 + 5,000 +(c) Failure of employing railroad to provide requested +information properly…………………………………… 1,000 2,000 + + (d) +(1) Failure to revise report ..………………………… +(2) Failure to notify after late identification………… + 2,500 + 2,500 + 5,000 + 5,000 + +27 +Section2 Violation Willful +Violation +(f) Submission of notice if employee dies as result of the +reported accident……………………………………………. + 2,500 5,000 +(g) Willfully false accident statement by employee………. 5,000 +225.13 +(1) Failure to Late reports………………………………….. +(2) Failure to Review Employee Statement………………… +(3) Failure to Amend Report………………………………. + + 2,500 + 2,500 + 1,000 + + 5,000 + 5,000 + 2,000 +225.18 Alcohol or drug involvement ………………………….. 2,500 5,000 +225.23 Joint operations (1) (1) +225.25: + (1) Recordkeeping …………………………………. + (2) Failure to post list………………………………………. + (3) Posting Prohibited Information………………………… + (4) Missing fields…………………………………………… + + 2,500 + 1,000 + 1,000 + 1,000 + + 5,000 + 2,000 + 2,000 + 2,000 +225.27: +(1) Failure to retain records………………………………. +(2) Failure to retain electronic receipt……………………… +(3) Failure to comply with electronic recordkeeping +requirements…………………………………………… +(4) Failure to provide access to records…………………… + + 1,000 + 1,000 + + 1,000 + 1,000 + + 2,000 + 2,000 + 2,000 + 2,000 +225.33: +(1) Failure to adopt Internal Control Plan or more than two +missing/outdated/incorrect components….....……........ +(2) Internal Control Plan with less than three +missing/outdated/incorrect components….…………….. +(3) Failure to comply with Internal Control Plan ….……… +(4) Failure to comply with the intimidation/harassment +policy in Internal Control Plan………………………… +(5) Failure to comply with requirements associated with +Form FRA F 6180.150…………………………………. + 2,500 + + + 1,000 + 2,500 + 2,500 + + 2,500 + + 5,000 + + 2,000 + 5,000 + + 5,000 + + 5,000 + +28 +Section2 Violation Willful +Violation +225.35 Access to records and reports …………………………….. 2,500 5,000 + 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 $100,000 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. +FRA Guide for Preparing Accident/Incident Reports +Appendix M - 1 Telephonic Notification Chart +APPENDIX M +Telephonic Notification Chart +Is Telephone Notification Required? +Was there a train accident1? +Two or more crew or +passengers requiring hospital +admission? +Telephonic +notification +required. +Yes Yes +No +No +Telephonic +notification +required. +Was there a death involved? +Was the fatality to +Railroad Employee2,Contractor2 +on Railroad Property, Passenger3, or +Highway User or any person due to a +collision4 as a result of a highway-rail +crossing accident/incident3? +Yes Yes +No +No +No telephonic +notification +required. +A Page 1 of 3 +The flowchart below had been designed to allow railroad officials a quick reference for +determining if telephonic reporting is required after a train accident, train incident, non +train incident or other event. It does not replace the actual rule text. Users of the flow +chart are encouraged to review the rule text in Appendix L, § 225.9 Telephonic reports of +certain accidents/incidents and other events. +Death or injury +of five or more persons as a +result of an accident/incident or +event/exposure arising from the +operation of the railroad? +No +Telephonic +notification +required. +Yes +Is Telephone Notification Required? +Telephonic +notification +required. +Damage of $150,000 or more +(including non railroad +property)? +Yes +No +No +(Continued from Previous Page) +Damage of $25,000 or more +(including non railroad +property)? +Telephonic +notification +required. +No telephonic +notification +required. +Yes +No +No +A +A +Page 2 of 3 +Passenger train (with +passengers on board)? +Was there an evacuation +of the train? +Telephonic +notification +required. +Yes Yes +No +Is Telephone Notification Required? +Fouls a main line used for +scheduled passenger service? +Telephonic +notification +required by +freight railroad. +No telephonic +notification +required. +(Continued from Previous Page) +Yes +No +Was the accident +a collision or derailment? +Scheduled passenger service +on track affected? +Telephonic +notification +required by +freight railroad. +No telephonic +notification +required. +No +1 Using the FRA Criteria for determination of an accident. +2 Even due to natural causes not related to rail operations, later the railroad may deem the fatality is not reportable to the FRA. +3 See FRA Definition. +4 A railroad is only required to report those fatalities occurring within 24 hours of the highway-rail grade crossing accident/incident. +Yes Yes +No +No +A +Page 3 of 3 +FRA Guide for Preparing Accident/Incident Reports +Sample Letter to Accompany Appendix N - 1 Highway User Injury Inquiry Form +APPENDIX N +Sample Cover Letter to Accompany Highway User Injury Inquiry Form +(Form FRA F 6180.150) + [Railroad Name] + [Railroad Address] +[Date] +[Highway User Name] +[Highway User Address] +Dear [Highway User], +[Railroad’s Name] records show that you may have been involved in the highway-rail grade +crossing accident/incident described in Part I of the attached form (Form FRA F 6180.150, +“Highway User Injury Inquiry Form”). (The term “highway-rail grade crossing” includes a +pathway crossing explicitly authorized by a public authority or a railroad carrier that is dedicated +for the use of non-vehicular traffic, not associated with a public highway, road, or street, or a +private roadway, that cross one or more railroad tracks at grade.) +[Railroad’s Name] is required by the Federal Railroad Administration (“FRA”) to send a +Highway User Injury Inquiry Form to every person potentially injured in a highway-rail grade +crossing accident/incident. However, you are not required to complete the Highway User Injury +Inquiry Form (your response is completely voluntary and not required by law). Your response +will be retained by [Railroad’s Name] as part of its accident/incident records pursuant to 49 +C.F.R. § 225.27. +As background, railroads are required by Federal law to provide the FRA with information about +certain accidents and incidents occurring as a result of railroad operations. Information collected +from Highway User Injury Inquiry Forms will enable railroads to provide FRA with more +accurate information about such accidents/incidents. FRA uses this information to understand +and eliminate railroad safety hazards. You may learn more about FRA’s reporting regulations +by visiting www.fra.dot.gov. +If you decide to complete the Highway User Injury Inquiry Form, please review and complete +Part II of Highway User Injury Inquiry Form. [Railroad’s Name] has completed Part I; however, +if you have any corrections, please mark them directly on the Highway User Injury Inquiry +Form. When completing the narrative sections in 15(b) and 16(b) of the Highway User Injury +FRA Guide for Preparing Accident/Incident Reports +Sample Letter to Accompany Appendix N - 2 Highway User Injury Inquiry Form +Inquiry Form, please describe the events that gave rise to your injury or injuries, discuss the +medical treatment, if any, you received as a result of your injury or injuries, and provide any +additional information about the box or boxes you checked in 16(a). For example, please +describe your location and activities at the time of the accident/incident, the type of injury or +injuries that you sustained and the medical care that you received following the +accident/incident. Once you have completed Part II, please sign and date the Highway User +Injury Inquiry Form, and return it to [Railroad’s Name] in the enclosed prepaid and preaddressed +return envelope. +If you have any questions, please contact me, [Railroad’s Name]’s Reporting Officer. I may be +reached at (___) ___-____. +Thank you, +[Reporting Officer’s Name] + + + + + + +FEDERAL RAILROAD ADMINISTRATION +GUIDE FOR PREPARING +U.S. DOT CROSSING INVENTORY FORMS + + + + + +U.S. Department of Transportation Federal Railroad Administration +Office of Railroad Safety + + + +July 2016 + + + + + + + + +DOT/FRA/RRS-23 +Initial Publication: January 6, 2015 +Second Revision: July 19, 2016 + + + + + +Revision Index + +• Insertion of OMB-approved Inventory Form (Appendix A, U.S. DOT Crossing Inventory Form) - Insertion date: March 5, 2015. +• Updated e-mail address for the submission of scanned Inventory Forms. (Appendix E, Question 10) - Revision date: March 5, 2015. +• Updated e-mail address for Inventory Number requests. (Appendix A, U.S. DOT Crossing Inventory Form) – Insertion date: July 19, 2016. +• Updated e-mail address for Inventory Number requests. (Appendix E, Question 4) – Revision date: July 19, 2016. + + + + + + +   + +Table of Contents + +I. INTRODUCTION ..............................................................................................................1 +II. INSTRUCTIONS FOR COMPLETING THE U.S. DOT CROSSING INVENTORY +FORM .................................................................................................................................3 +1. Header Information ........................................................................................................3 +2. Part I – Location and Classification Information ...........................................................8 +3. Part II – Railroad Information ......................................................................................23 +4. Part III – Highway or Pathway Traffic Control Device Information ...........................28 +5. Part IV – Physical Characteristics ................................................................................40 +6. Part V – Public Highway Information .........................................................................46 +APPENDIX A – U.S. DOT Crossing Inventory Form ...................................................... A-1 +APPENDIX B – Responsibility Table for Periodic Updates to the Crossing Inventory ....B-1 +APPENDIX C – Reporting Crossings That Have Multiple Operating Railroads ..............C-1 +APPENDIX D – Definitions .............................................................................................. D-1 +APPENDIX E – Frequently Asked Questions (FAQs) ...................................................... E-1 +APPENDIX F – High-Speed Rail ID Corridor Designations and Codes ........................... F-1 + + +I. INTRODUCTION + +This Guide for Preparing U.S. DOT Crossing Inventory Forms (Guide) is intended to provide guidance to operating railroads and States on completing the U.S. DOT Crossing Inventory Form (Inventory Form) for highway-rail and pathway crossings. + +The type of crossing will dictate which parts of the Inventory Form must be completed by operating railroads for the initial reporting of new and previously unreported highwayrail and pathway crossings. The Inventory Form will be considered “completed” if the following parts are completed: + +• Public Highway-Rail Grade Crossing: Complete entire Inventory Form (with the exception of I.20 and III.2.K.); + +• Private Highway-Rail Grade Crossing: Complete Header, plus Parts I, II, and III.2.K. of the Inventory Form and the Submission Information section; + +• Public Pathway Grade Crossing: Complete Header, plus Parts I and II of the Inventory Form (with the exception of I.20) and the Submission Information +section; + +• Private Pathway Grade Crossing: Complete Header, plus Parts I, II, and III.2.K. +of the Inventory Form and Submission Information section; + +• Pedestrian Station Grade Crossing (pedestrian station.): Complete Header, plus Parts I and II of the Inventory Form (with the exception of I.20) and Submission Information section; + +• Grade-separated Crossing (highway-rail, pathway, and pedestrian station): Complete Header, plus Part I of the Inventory Form (with the exception of I.20) and the Submission Information section. + +Please refer to the Crossing Inventory Responsibility Table in Appendix B for detailed instructions regarding which data fields must be verified or updated at least every 3 years by the primary operating railroad, as part of the periodic updating process. + +When there has been a change in crossing characteristics (such as a change in the crossing surface or a change in the crossing warning devices) at a public highway-rail grade crossing, as required by Title 49 Code of Federal Regulations (CFR) Section 234.411(c), complete all of the data fields in the Header of the Inventory Form, check the “Change in Data” box in “Reason for Update” field and update all data fields in Parts II and III on the Inventory Form. If a hardcopy Inventory Form update will be submitted to the Crossing Inventory, complete the Submission Information section of the Inventory Form as well. + +Hardcopy Submission + +Please see FRA’s Web site for the correct mailing address for hardcopy U.S. DOT Crossing Inventory (Crossing Inventory) Submissions. + +Electronic Submission + +Completed Inventory Forms may also be submitted electronically to the +Crossing Inventory. Detailed instructions for the electronic submission of Inventory Forms can be found in the Electronic Submission Instructions, which is a separate document. + +Updates to this Guide + +Please refer to FRA’s Web site for updates to this Guide. + +   + +II. INSTRUCTIONS FOR COMPLETING THE U.S. DOT CROSSING INVENTORY FORM + +1. Header Information + +All Header data must be entered by the reporting agency + + +Figure 2-1: U.S. DOT-FRA Crossing Inventory Form Heading +Instructions + +A brief set of instructions is provided at the top of the form. + +A. Revision Date: + +Figure 2-2: U.S. DOT-FRA Crossing Inventory Form Heading, Item A + +Enter the date that the revision is being submitted in MM/DD/YYYY format. Example: July 23, 2010, would be entered as 07/23/2010. + +For hardcopy Inventory Form submissions, the revision date should be the certified mailing date. + +B. Reporting Agency: + +Figure 2-3: U.S. DOT-FRA Crossing Inventory Form Heading, Item B + +Enter a check in the appropriate box to indicate the type of agency that is submitting the update or the establishment of a new crossing. + +The “Transit” box should be checked by urban rapid transit operators who submit crossing data to the Crossing Inventory, including: + +• Urban rapid transit operators who operate through highway-rail grade crossings and pathway grade crossings located on the same track used by railroads that are part of the general railroad system of transportation. + +• Urban rapid transit operators who operate through highway-rail grade crossings and pathway grade crossings that are located within a shared corridor or right-ofway, and shared crossing warning devices, with railroads that are part of the general railroad system of transportation. + +• Urban rapid transit operators who do not have one of the above-listed connections to the general railroad system of transportation, yet operate through highway-rail crossings and pathway crossings. (Urban rapid transit operators in this last category are encouraged, but not required, to submit crossing data to the Crossing Inventory.) + +The “Other” box should be checked by public authorities who submit crossing data to the Crossing Inventory for quiet zone-related purposes. The “Other” box should not be checked by delegated users or third-party entities who are submitting crossing data on behalf of a railroad or State user. Delegated users are instructed to check the box that applies to the entity on whose behalf the crossing data is being submitted. + +Public authorities who submit crossing data to the Crossing Inventory have been instructed to use hardcopy Inventory Forms for this purpose. Therefore, crossing data submitted electronically will not be accepted by the Grade Crossing Inventory System (GCIS) if the “Other” box has been checked. + +C. Reason for Update: + +Figure 2-4: U.S. DOT-FRA Crossing Inventory Form Heading, Item C + +Check only one box to indicate the primary reason for the change. + +The nine checkbox selections account for the various reasons for submitting an update. These include the following: + +• Change in Data – Submission of crossing data associated with an actual change in crossing characteristics that is not reflected by any of the other box selections below. + +This includes cases where crossing type is changed from “Private” to “Public” for a highway-rail grade crossing; the entire Inventory Form (or its electronic equivalent) must be completed. Please reference Part I, Box 17. + +• New Crossing – An open crossing that is not currently in the Crossing Inventory. This could be either a new crossing or one that was previously unreported. + +• Closed – A location where a previous crossing no longer exists because either the railroad tracks have been physically removed, or each pathway or roadway approach to the crossing has been physically removed, leaving behind no intersection of railroad tracks with either a pathway or roadway. A gradeseparated highway-rail or pathway crossing that has been physically removed is also considered a closed crossing. + +• No Train Traffic – A crossing through which trains no longer operate. + +Note: The primary operating railroad is responsible for updating the Crossing Inventory to reflect that a highway-rail grade crossing or pathway grade crossing is no longer subject to train traffic. This update should be made as soon as possible, but must be made no later than the next required periodic update. When the Crossing Inventory is updated to reflect a change to No Train Traffic status, Parts II.1 and II.3 must be changed to reflect all zeros and the Part II.2 must reflect the current year the update is made. + +• Re-Open – A closed crossing or crossing that was not previously subject to train traffic which has been placed into active service. + + Note: The primary operating railroad is responsible for updating the Crossing Inventory to reflect that a highway-rail grade crossing or pathway grade crossing has been placed into active service. This update should be made as soon as possible, but must be made no later than the next required periodic update. + +• Date Change Only – An update to indicate that crossing data has not changed since the last update to the Crossing Inventory. If this box is checked, the GCIS will not allow changes to be made to any other data fields in the Crossing Inventory prior to submission. + +• Change in Primary Operating RR – A change in primary operating railroad. + +• Admin. Correction – A correction to data that is currently contained in the Crossing Inventory. This box should be checked for corrections of data previously submitted in error. (This box should not be checked to report a previously unreported crossing.) + +• Quiet Zone Update – Any change to the quiet zone status for that crossing. Note: This box is reserved for FRA use only. + +Depending on the reporting agency, only certain values apply. New Crossing, No +Traffic, Re-Open, and Change in Primary Operating RR are limited to railroads. Closed, Change in Data, Date Change Only, and Admin. Correction may apply to all reporting entities. As noted above, Quiet Zone Update will only apply to FRA use (Part I, Box 25). + +D. DOT Crossing Inventory Number + +Figure 2-5: U.S. DOT-FRA Crossing Inventory Form Heading, Item D + +Enter a valid Inventory Number (6-digits followed by an alpha character). Please refer to Appendix A for an explanation about how to obtain Inventory Numbers for new and previously unreported crossings. + +For new or previously unreported crossings, the assignment of an Inventory Number occurs when the number is placed on a completed Inventory Form by the responsible railroad and the completed Inventory Form is submitted for inclusion in the U.S. DOT National Highway-Rail Crossing Inventory. More than one crossing number may be assigned to multiple pathway crossings within a station or yard facility. + +Note: Once assigned, the Inventory Number stays with that location forever. If the crossing is eventually closed, the Inventory Number and data at the time of closure remains in the file. If the crossing is reopened at the same location, the same Inventory Number must be used again. + +Inventory Number Assignment: Only one Inventory Number may be assigned to a crossing even if the individual tracks belong to more than one Railroad Company or track owner. + +Crossing on Multi-lane Roads: A crossing on a multi-lane roadway shall be reported as a single crossing and there shall only be one Inventory Number assigned even if a railroad track moves diagonally across a highway-highway intersection. + +Crossings on Private Company or Railroad Property: Where there is more than one crossing in a railroad yard or an area belonging to a private company, a port, or a dock, one Inventory Number may be assigned to include all crossings within the private property limits. In addition, one Inventory Number may be used for multiple pathway crossings contained within a railway station. When one Inventory Number has been assigned to multiple crossings, the primary operating railroad may determine the best method for selecting latitude and longitude coordinates for the purpose of submitting data to the Crossing Inventory. However, when more than one railroad owns track that leads into a private company, port, or dock area, each railroad will be considered to be a primary operating railroad and must assign its own Inventory Number to the crossing(s) within the private company. + +If the railroad would like to extract one or more crossings that have been grouped together under the same Inventory Number, the railroad may request a new Inventory Number for each extracted crossing. However, the original Inventory Number must continue to be assigned to at least one of the crossings that were previously grouped together. In order to maintain a link between the new Inventory Number and the original Inventory Number, the primary operating railroad must also include a note in the “Narrative (Railroad Use)” data field in Part I of the Inventory Form that references the original Inventory Number for each crossing that has been assigned a new Inventory Number. + +Diagonal Crossing through a Highway-Highway Intersection: When the railroad tracks run diagonally through a highway-highway intersection, thus bisecting the two roadways, only one Crossing Inventory Number is to be assigned and the names of both roadways are to be identified in the Street/Road Name data field. + +Highway Bridge Grade-Separated Crossings: When roadways have highway bridge structures that are grade-separated crossings (usually two separate bridges each used for highway traffic in opposite directions), assign one number to each structure if the bridge structures are separated by 100 feet or more. If the bridge structures are less than 100 feet apart, one or two numbers may be assigned in accordance with State policy. Assign only one Crossing Inventory Number for bridge structures that are connected or considered to be one structure for both directions of highway traffic. + +Conversion of an At-Grade Crossing to a Grade-Separated Crossing: When an atgrade crossing is replaced with a grade separation, the at-grade crossing shall be closed and a new crossing inventory number assigned to the grade separation. In the Narrative, it is advisable to indicate something like “replaces at-grade crossing with DOT Number ######X.” + + +2. Part I – Location and Classification Information + + +Figure 2-6: U.S. DOT-FRA Crossing Inventory Form Part I, Location and Classification Information + +1. Primary Operating Railroad + +Figure 2-7: U.S. DOT-FRA Crossing Inventory Form Part I, Item 1 + +Enter the valid, railroad code (up to four letters) for the “Primary Operating Railroad” company. + + +The primary operating railroad may or may not own and maintain the roadbed, tracks, and signal system controlling the crossing. If the primary operating railroad company is not the owner of the track, enter the owner's name in Item 16, “Crossing Owner.” + +However, an operating railroad that contracts out its train operations, such as some commuter railroads, should identify itself as the primary operating railroad, if the operating railroad qualifies for primary operating railroad status. The contract railroad operator should not be identified as the primary operating railroad. + +Entities who are not subject to the reporting and updating requirements contained in Title 49 Code of Federal Regulations (CFR) Part 234, Subpart F, such as plant railroads and urban rapid transit operators who do not operate through highway-rail or pathway crossings located on track shared with general system railroads or crossings located within a common right-of-way or corridor with a general system railroad, are invited to submit crossing data to the Crossing Inventory on a voluntary basis. For this limited purpose, any railroad-related entity that submits crossing data to the Crossing Inventory should identify itself as the primary operating railroad when submitting crossing data to the Crossing Inventory. + +Where multiple railroads or urban rapid transit operators operate trains on separate tracks through the same crossing, each railroad or urban rapid transit operator must submit crossing data to the Crossing Inventory (see Part I, Item 7 below), and each must place its name in the field titled “Primary Operating Railroad” (this links each railroad to the data it has submitted). + +Note: FRA assigns valid railroad codes. If the valid railroad or company code is not known, the initiator should contact FRA to obtain the correct code, or to have a new code assigned for a new railroad or company. In the latter case, the complete railroad company name, address, telephone number, and a contact person are required. To contact FRA about railroad or company codes, send an email to: +FRARailCodes@dot.gov. + +2. State + +Figure 2-8: U.S. DOT-FRA Crossing Inventory Form Part I, Item 2 + +Enter the two-character U.S. Postal Service (USPS) abbreviation for the State where the crossing is located. + +If the crossing is on a State boundary so that parts of the crossing lie in two or more States, the agreement must be made between the two States as to which will claim the crossing for inventory record purposes and that State’s abbreviation must be shown. When a crossing is located on a State line, it is suggested that the crossing be inventoried by, and shown as in, the State that is geographically south or east of the crossing. FRA suggests that when a crossing lies on the border of a State that this be noted in the appropriate comment boxes at the end of Part I, giving the name of the other entity. + +3. County + +Figure 2-9: U.S. DOT-FRA Crossing Inventory Form Part I, Item 3 + +Enter the name of the county (or parish) where the crossing is located. The county must be in the State identified in Part I, Item 2. + +If the crossing is on a county line so that parts of the crossing lie in two or more counties, a decision must be made to place it in only one county. When a crossing is located on a county line, it is suggested that the crossing be shown as in the county that is geographically south or east of the crossing. FRA suggests that when a crossing lies on the border of a county that this be noted in the appropriate comment boxes at the end of Part I, giving the name of the other entity. + +4. City/Municipality + +Figure 2-10: U.S. DOT-FRA Crossing Inventory Form Part I, Item 4 + +Enter a check to indicate if the crossing is located “In” or “Near” the specified “City/Municipality.” + +If the crossing is not within the boundaries of a city, town, or village, enter a check in the box for “Near.” If “Near” is checked, enter the name of the city or municipality along the rail line that is closest to the crossing. The city must be in the State identified in Item 2, but it does not have to be in the county identified in Item 3, “County.” + +If the crossing is located within the boundaries of a city, town, or village, enter a check in the box for “In” and enter the name of the city, town, or village in which the crossing is located. The city must be in the county identified in Part I, Item 3. + +If parts of the crossing lie in two or more cities, towns, or villages, identify only one city or municipality. FRA suggests that when a crossing lies on the border of two or more cities, towns, or villages that this be noted in the appropriate comment boxes at the end of Part I, giving the name of the other cities or municipalities. + +5. Street/Road Name & Block Number + +Figure 2-11: U.S. DOT-FRA Crossing Inventory Form Part I, Item 5 + +Enter the street or road name. Street name aliases should not be used. + +The block number field is optional. In order to complete this field, enter the block number (up to 6 characters) of the street or road where the crossing is located in the right side of the box. For example, if the closest building has an address of “4285,” then the block number is “4200.” + +For new crossings and future updates, enter the full street name without abbreviations (e.g., N. Canal St. should be North Canal Street, 4th Oak Ave should be Fourth Oak Avenue). + +If the roadway is private and it has a name, enter the name of the road or the owner's name. Otherwise, if such information is unknown, enter “private“. + +When the railroad tracks run diagonally through a highway-highway intersection, thus bisecting the two roadways, only one Inventory Number is to be assigned and the names of both roadways are to be identified in the Street/Road Name data field. Therefore, when entering both roadways in this block, separate with “ / ,” for example “Elm Street/Main Avenue.” + +6. Highway Type and Number + +Figure 2-12: U.S. DOT-FRA Crossing Inventory Form Part I, Item 6 + +Enter the type and number of highway or roadway designated by the State, such as +Interstate (I), U.S. numbered routes (US), State roadways (SR, ST or SH), county roads (C) or (CR), local city streets (L or LS), local roads (LR), toll roads (TL), State loop/spur (SL), farm to market (FM) etc., and the number, e.g., I-95, US-1, SR-234, C-2096, etc. The number of the highway should be posted on the highway and found on State or county maps. If there is more than one number, enter the most important route, or all the numbers separated by a comma. + +7. Do Other Railroads Operate a Separate Track at Crossing? + +Figure 2-13: U.S. DOT-FRA Crossing Inventory Form Part I, Item 7 + +Enter a check in the appropriate box to indicate if another operating railroad operates over a separate track at the crossing. If “Yes,” enter the FRA railroad code for all operating railroads that operate over a separate track within the same pair of warning devices at the crossing. A total of four railroad codes may be entered with up to four characters each in this field. + +IMPORTANT– If the “Yes” box is checked and one or more FRA railroad codes have been entered, each individual operating railroad identified must provide the following data to the Crossing Inventory: header information; Part I, Box 1, Boxes 9–12, Box 22; and Part II, Boxes 1–3; and the submission information. The name of the operating railroad submitting the data should be listed in Part I, Box 1, whether or not the individual operating railroad is the primary operating railroad. + +The primary operating railroad, in addition to providing the above information, must complete all of the remaining fields on the Inventory Form, in accordance with the Instructions at the top of the Form. + +Note: Please refer to Appendix C for a detailed explanation of how each operating railroad is required to submit its own inventory record and future updates. + +8. Do Other Railroads Operate Over Your Track at Crossing? + +Figure 2-14: U.S. DOT-FRA Crossing Inventory Form Part I, Item 8 + +Enter a check in the appropriate box to indicate if another operating railroad operates over the reporting railroad’s track at the crossing. If “Yes,” enter the FRA railroad code for all operating railroads that operate trains over the track at the crossing. A total of four railroad codes may be entered with up to four characters each in this field. + +9. Railroad Division or Region + +Figure 2-15: U.S. DOT-FRA Crossing Inventory Form Part I, Item 9 + +Enter the name of the division, region, or major district, if the railroad system is divided into such groups. Otherwise, check the “None” box. + +10. Railroad Subdivision or District + +Figure 2-16: U.S. DOT-FRA Crossing Inventory Form Part I, Item 10 + +Enter the name of the subdivision or other classification, if the railroad system is divided into such groups. Otherwise, check the “None” box. + +11. Branch or Line Name + +Figure 2-17: U.S. DOT-FRA Crossing Inventory Form Part I, Item 11 + +Enter the name of the branch or line used by the railroad to describe this segment of track. For example, if the track is an industry lead, industry spur, yard lead, or wye, enter the name of the track or the name of the industry. If the branch or line does not have a specific name, then check the “None” box . + +12. RR Milepost + +Figure 2-18: U.S. DOT-FRA Crossing Inventory Form Part I, Item 12 + +Enter the railroad milepost number in miles and thousandths of miles (5.3 feet is approximately 1/1000 mile). Enter the number with the decimal point in the following format: (nnnn.nnn). If this accuracy is not attainable, then enter the milepost in miles and hundredths of miles (53 feet is approximately 1/100 mile). Enter the prefix or suffix identified with the milepost if it has one or both. + +13. Line Segment ID + +Figure 2-19: U.S. DOT-FRA Crossing Inventory Form Part I, Item 13 + +Enter the railroad identification number for the line segments if the railroad has such a system. If the crossing has an identification number other than the DOT number, such as a State agency number (e.g., a Public Utility Commission (PUC) assigned number), that number may be entered here or in one of the “State Use” fields (Items 31. A–D). This field is optional. + +14. Nearest RR Timetable Station + +Figure 2-20: U.S. DOT-FRA Crossing Inventory Form Part I, Item 14 + +Enter the name of the nearest timetable station for the primary operating railroad company. This field is optional. + +15. Parent RR + +Figure 2-21: U.S. DOT-FRA Crossing Inventory Form Part I, Item 15 + +If applicable, enter the code for the parent railroad or the company that is parent to the operating railroad entered in Part I, Item 1, “Primary Operating Railroad.” The entry must be a valid railroad or company code, which can be obtained from FRA. Otherwise, check the “N/A” box. + +16. Crossing Owner + +Figure 2-22: U.S. DOT-FRA Crossing Inventory Form Part I, Item 16 + +If applicable, enter the code for the crossing owner (maximum of four characters) of the entity that actually owns the property. The entry must be a valid railroad, company, or agency code. If unknown, it can be obtained from FRA. Otherwise, check the “N/A” box. + +17. Crossing Type + +Figure 2-23: U.S. DOT-FRA Crossing Inventory Form Part I, Item 17 + +Check the “Public” box if: + +• The crossing is located where a public highway, road, or street crosses one or more railroad tracks either at grade or grade-separated. + +• The crossing is a public pathway explicitly authorized by a public authority that is dedicated for the use of non-vehicular traffic, including pedestrians, bicyclists, and others, which is not associated with a public highway, road, or street. + +• The crossing is a pathway explicitly authorized by a public authority or a railroad carrier that is dedicated for the use of non-vehicular traffic and is located within a railway station. + +Check the “Private” box if: + +• The crossing is a location where a private roadway crosses one or more railroad tracks either at grade or grade-separated. + +• The crossing is a private pathway, either at grade or grade-separated, explicitly authorized by a railroad carrier that is dedicated for the use of non-vehicular +traffic, including pedestrians, bicyclists, and others, which is not associated with a private roadway. + +If Crossing Type is changed from “Private” to “Public” for a highway-rail grade crossing, the entire Inventory Form (or its electronic equivalent) must be completed. + +18. Crossing Purpose + +Figure 2-24: U.S. DOT-FRA Crossing Inventory Form Part I, Item 18 + +If the crossing is primarily intended for highway users, including crossings equipped with vehicular and pedestrian warning devices, check the “Highway” box. + +If the crossing is a pathway crossing not within a passenger station, check the “Pathway, Ped.” box. A pathway crossing is: 1) explicitly authorized by a public authority or a railroad, 2) dedicated for the use of non-vehicular traffic, including pedestrians, bicyclists, and others, and 3) not associated with a public or private highway, road, or street. + +If the crossing is a pathway crossing located within a passenger station, check the “Station, Ped.” box. + +19. Crossing Position + +Figure 2-25: U.S. DOT-FRA Crossing Inventory Form Part I, Item 19 + +If the crossing is at the same level as the road or pathway, check the “At Grade” box. If the railroad passes under the roadway or pathway, check the “RR Under” box. If the railroad passes over the roadway or pathway, check the “RR Over” box. + +20. Public Access at Private Crossing + +Figure 2-26: U.S. DOT-FRA Crossing Inventory Form Part I, Item 20 + +Public access means that the crossing is a location where the railroad tracks intersect with a private toll road or privately owned road or pathway where the public is allowed to travel without access restrictions. Examples of such locations include, but are not limited to, shopping centers, fairgrounds, parks, schools, residential housing developments (of at least five dwellings), libraries, hospitals, clinics, airports, bus terminals, beaches, piers, boat launching ramps, and recreational areas. + +Enter a checkmark in the box to indicate “Yes” if there is public access at the private crossing or “No” if there is not. There should be no entry made if the crossing is public. + +21. Type of Train + +Figure 2-27: U.S. DOT-FRA Crossing Inventory Form Part I, Item 21 + +Check each box that describes the type of rail service that uses the crossing. Check all that apply. The types included are: +• Freight + +• Intercity Passenger + +• Commuter – a local or regional rail system providing passenger service mostly during the morning and evening peak periods on the general rail system. + +• Transit – a local rail system providing passenger service within an urban area that is not connected to the general railroad system of transportation. + +• Shared Use Transit – a local rail system providing passenger service and having some connection to the general railroad system of transportation. This category includes urban rapid transit operations through highway-rail or pathway crossings located on the same track used by railroads that operate on the general railroad system of transportation (e.g., temporal separation or simultaneous joint use). This category also includes urban rapid transit operations through highway-rail or pathway crossings that are located within a shared right-of way or corridor, and share the same crossing warning devices, with a railroad which operates on the general railroad system of transportation. + +• Tourist/Other – tourist, scenic, historic, or excursion operations that carry passengers with the conveyance of the passengers to a particular destination not being the principal purpose + +22. Average Passenger Train Count Per Day + +Figure 2-28: U.S. DOT-FRA Crossing Inventory Form Part I, Item 22 + +Enter the average number of total passenger trains using this crossing, per day, on a typical operating day. Intercity passenger, commuter, and urban rapid transit operations, are all included in determining the average number for this field. The value may not exceed the sum of the total train count in Part II, Item 1, “Estimated Number of Daily Train Movements.” If the average passenger train count is less than one per day (for example, “three per week”) check the “Less than one per day” box. If “Freight” is the only type of train service that is checked in Part I, Item 21, “Type of Train Service,” then the average passenger train count per day must be 0. + +23. Type of Land Use + +Figure 2-29: U.S. DOT-FRA Crossing Inventory Form Part I, Item 23 + +Check the box that best describes the predominant type of land development in the vicinity (a distance of up to 1,000 feet) of the crossing based on the following categories: + +• “Open Space” – area that is sparsely or undeveloped, lightly populated. +• “Farm” – agricultural area, including wineries and other types of nontraditional agricultural enterprises. +• “Residential” – built-up residential area. +• “Commercial” – area with retail stores and businesses, offices, and personal service buildings. +• “Industrial” – area for manufacturing, construction, heavy products, factories, and warehouses. +• “Institutional” – e.g., schools, churches, hospitals, military, educational, religious, health. +• “Recreational” – e.g., Playgrounds, parks, or swim or golf clubs. +• “RR Yard” – area used exclusively for railroad activity such as switching railcars. + +24. Is there an Adjacent Crossing with a Separate Number? + +Figure 2-30: U.S. DOT-FRA Crossing Inventory Form Part I, Item 24 + +Enter a check in the “Yes” box to indicate that there is an adjacent crossing with a separate number. If there is, enter the valid crossing number. If there is not an adjacent crossing, then enter a check in the “No” box. Adjacent Crossings are grade crossings with separate Crossing Inventory Numbers, with their own separate warning devices, on the same vehicular highway or pathway, where the distance between the inside rail of each crossing, as measured along the highway, does not exceed 100 feet. + +25. Quiet Zone + +Figure 2-31: U.S. DOT-FRA Crossing Inventory Form Part I, Item 25 + +Leave this field blank because FRA will populate this field with information from Notices of Quiet Zone Establishment that have been received. This item will indicate whether a quiet zone is in effect for the crossing. If a quiet zone is in effect, this item will indicate if it is for 24 hours per day or only a partial day (usually 10 p.m. to 7 a.m.) + +If the crossing is not located in a Quiet Zone, the “No” box will be checked. If it is located in a 24-hour quiet zone, the “24 hr” box will be checked. If it is located in a partial quiet zone, the “Partial” box will be checked. If it is in a Chicago-excused area (those crossings in the Chicago area that are currently excused from the Train Horn Rule), the “Chicago Excused” box will be checked. The effective date that was provided in the Notice of Establishment will be the “Date Established.” (Note: “Chicago Excused” crossings will not have an entry in the “Date Established”). + +26. HSR Corridor ID + +Figure 2-32: U.S. DOT-FRA Crossing Inventory Form Part I, Item 26 + +If this is a high-speed rail (HSR) crossing, enter the four-character “HSR Corridor ID” as defined in Appendix F to this manual. + +Note: This field is used to identify the “Section 1010” or “Section 1103” HSR corridor on which the crossing is located. If the crossing is located on such a corridor, enter the “HSR Corridor ID,” a four character code (ABC#) as defined in Appendix F to this manual. The corridor may be divided into logical sections by including a numeric number (1–9) for the “#” character. If a numeric number is not used, replace “#” with “X.” FRA will assign an HSR Corridor ID for any corridor, or portion thereof that is not currently defined in the Appendix. If “HSR Corridor ID” is not applicable, then check the N/A box. + +27. Latitude + +Figure 2-33: U.S. DOT-FRA Crossing Inventory Form Part I, Item 27 + +Enter the latitudinal coordinate as measured at the center of the crossing. This field, along with “Longitude,” is used to identify the crossing location using a standardized Global Positioning System (GPS) location point. The “Latitude” must be entered in decimal form as (nn.nnnnnnn), with at least five digits to the right of the decimal point (which is accurate to 4 feet). We will accept up to seven places to the right of the decimal point. + +Actual latitude measurements can be obtained either with a GPS device at the crossing location or by using an Internet mapping program, such as Google Maps or Bing Maps. To find latitude and longitude on Google Maps, zoom in on the location of the crossing, right click on the crossing, and select “What’s Here?” The coordinates will appear in the search bar above the map, with the latitude measurement listed first. In Bing Maps, right click on the crossing and select the gray box that either says “location” or identifies the closest street address. The coordinates will appear under the address to the left of the map, with the latitude listed first. + +To convert latitude values from degrees, minutes, and seconds to decimal form: + +Latitude in decimal format = degrees + (minutes divided by 60) + (seconds divided by 3,600). + +Latitude coordinate ranges within the continental United States are from 24 to 49 degrees. Alaska latitude values range from 50 to 71 degrees. + +Note: The FRA Office of Railroad Safety uses the World Geodetic System 1984 (WGS-84) datum standard. (A datum is the measurement [shape] of the earth's ellipsoid.) + +28. Longitude + +Figure 2-34: U.S. DOT-FRA Crossing Inventory Form Part I, Item 28 + +Enter the longitudinal coordinate as measured at the center of the crossing. This field, along with “Latitude,” is used to identify the crossing location using a standardized GPS location point. The “Longitude” must be entered in decimal form as (-nnn.nnnnnnn), with at least five digits to the right of the decimal point (which is accurate to 4 feet). FRA will accept up to seven places to the right of the decimal point. + +Actual longitude measurements can be obtained either with a GPS device at the crossing location, or by using an Internet mapping program, such as Google Maps or Bing Maps. To find latitude and longitude on Google Maps, zoom in on the location of the crossing, right click on the crossing and select “What’s Here?” The coordinates will appear in the search bar above the map, with the longitude measurement listed second. In Bing Maps, right click on the crossing and select the gray box that either says “location” or identifies the closest street address. The coordinates will appear under the address to the left of the map, with the longitude listed second. + +To convert longitude values from degrees, minutes, and seconds to decimal form: + +Longitude in decimal format = degrees + (minutes divided by 60) + (seconds divided by 3,600). + +Longitude coordinate ranges within the continental United States are from -66 to -124 degrees. Alaska longitude values range from -165 to -132 degrees. + +Note: The FRA Office of Railroad Safety uses the WGS-84 datum standard. + +29. Lat/Long Source + +Figure 2-35: U.S. DOT-FRA Crossing Inventory Form Part I, Item 29 + +Enter a check in the appropriate box to indicate the source, “Actual” or “Estimated,” for the latitude and longitude coordinate values being provided. + +Actual values are those where GPS measurements are taken at the crossing or determined by a positive identification method. Latitude and longitude values, in general, should be taken in the field at the intersection of the centerline of the roadway or pathway with the centerline of the railroad tracks with a horizontal accuracy of 1 meter or better. Mapping software, such as Google or Bing maps, may be used to obtain “Actual” values. + +Otherwise, the values are indicated as “Estimated.” Any values provided after March 7, 2015 must be actual values. +30. Railroad Use + +Figure 2-36: U.S. DOT-FRA Crossing Inventory Form Part I, Item 30 + +Only the railroad may enter any text or data of its choice in these fields. For example, the railroad may note whether monitoring is being conducted at a passive crossing. No editing will be performed on these fields. These fields are optional. + +31. State Use + +Figure 2-37: U.S. DOT-FRA Crossing Inventory Form Part I, Item 31 + +Only the State may enter any text or data of its choice in these fields. For example, the State may note whether monitoring is being conducted at a passive crossing. No editing will be performed on these fields. If a State has a separate PUC number for a crossing, the State may wish to use one of these fields for this purpose. (For those States that have used the “RR ID” field for this in the past, FRA will move that data to Item 31.A. if requested.) These fields are optional. + +32.A. Narrative (Railroad Use) + +Figure 2-38: U.S. DOT-FRA Crossing Inventory Form Part I, Item 32.A. + +Enter any narrative comments desired in this field. Only the railroad may use this field and no editing will be performed on this field. This field is optional. + +32.B. Narrative (State Use) + +Figure 2-39: U.S. DOT-FRA Crossing Inventory Form Part I, Item 32.B. + +Enter any narrative comments desired in this field. Only the State may use this field and no editing will be performed on this field. This field is optional. + +33. Emergency Notification Telephone No. (posted) + +Figure 2-40: U.S. DOT-FRA Crossing Inventory Form Part I, Item 33 + +Enter the telephone number (area code and phone number using only numeric values) for the Emergency Notification System (ENS) contact (e.g., usually railroad police, dispatch center, or other railroad emergency contact) associated with the crossing. This will be the ENS telephone number used by the railroad, posted at the crossing, and publicized for the reporting of emergencies, malfunctions, and problems at crossings, in accordance with Subpart E to 49 CFR Part 234. Please note that “911” cannot be used as the “Emergency Notification Telephone No.” + +34. Railroad Contact (Telephone No.) + +Figure 2-41: U.S. DOT-FRA Crossing Inventory Form Part I, Item 34 + +Enter the telephone number (area code and phone number using only numeric values) of the primary operating railroad’s point of contact for data associated with the crossing. + +35. State Contact (Telephone No.) + +Figure 2-42: U.S. DOT-FRA Crossing Inventory Form Part I, Item 35 + +Enter the telephone number (area code and phone number using only numeric values) of the State highway contact associated with the crossing. This would normally be the State inventory contact or the State DOT engineering contact (such as the Section 130 State Contact) responsible for crossing improvement projects. +   +3. Part II – Railroad Information + + +Figure 2-43: U.S. DOT-FRA Crossing Inventory Form Part II, Railroad Information + +1. Estimated Number of Daily Train Movements + +Figure 2-44: U.S. DOT-FRA Crossing Inventory Form Part II, Items 1.A.-1.E. + +Note: In the event that there is a significant change in data, FRA recommends that these fields be updated at that time rather than waiting for the next required 3-year periodic update. + +Important: The primary operating railroad must report the data for Items 1–3 in Part II for all railroads that are operating through the crossing unless multiple railroads or urban rapid transit operators operate trains on separate tracks through the same crossing as indicated in Part I.7. If this is the case, then each railroad or urban rapid transit operator must report the data for Items 1–3 in Part +II. + +1.A. Total Day Thru Trains (6 AM to 6 PM) + +Enter the total number of through (thru) trains that operate through the crossing from 6 am–6 pm per day during normal railroad operating periods. Thru trains are trains whose primary responsibility is to operate over a route with defined beginning and end points. Local freight thru train movements and passenger and commuter rail train movements are considered to be thru train movements for purposes of the Crossing Inventory. + +1.B. Total Night Thru Trains (6 PM to 6AM) + +Enter the total number of thru trains that operate through the crossing from 6 pm–6 am per day during normal railroad operating periods. Thru trains are trains whose primary responsibility is to operate over a route with defined beginning and end points. Local freight thru train movements and passenger and commuter rail train movements are considered to be Thru Train movements for purposes of the Crossing Inventory. + +1.C. Total Switching Trains + +Enter the total number switching train movements through the crossing per day. “Switching Trains” are those trains whose movements primarily involve the pickup and set-out of cars for various industries and/or rail yards. + +Each movement in one direction counts as one train movement. All locals, industrial runs and switch engines would be classified as switching movements. However, do not include such trains when they travel over the crossing like a thru train to get to their destination to perform their switching operations. Those trains are to be considered as thru trains. + +1.D. Total Transit Trains + +Enter the total number of urban rapid transit train movements (either light rail or heavy rail) through the crossing per day during normal railroad operating periods. If a railroad does not operate urban rapid transit train movements through the crossing then that railroad should enter zero. Note: commuter train operations that are regulated by FRA are not considered to be urban rapid transit train movements. + +1.E. Check if Less Than One Movement Per Day + +Check the check box if this crossing averages less than one train movement per day. Enter a count or estimate of the number of trains using this crossing per week. If the operation is seasonal in nature (e.g., fall foliage excursion train), enter an estimated count of the number of trains using this crossing per week during the normal operating season. Note: If the sum of train counts for 1.A through 1.D is greater than 0, the box should not be checked. + +2. Year of Train Count Data + +Figure 2-45: U.S. DOT-FRA Crossing Inventory Form Part II, Item 2 + +Note: In the event that there is a significant change in data, FRA recommends that this field be updated at that time rather than waiting for the next required 3-year periodic update. + +Enter the year that the train count data was collected or last verified. If any train count data changes, the data field must be updated at time of submission. + +3. Speed Of Train At Crossing + +Figure 2-46: U.S. DOT-FRA Crossing Inventory Form Part II, Items 3.A. – 3.B. + +Note: In the event that there is a significant change in data, FRA recommends that this item be updated at that time rather than waiting for the next required 3-year periodic update. + +3.A. Maximum Timetable Speed (mph) +Enter the highest maximum timetable speed in miles per hour for any type of train movement over the crossing. If there are both freight and passenger train movements over the crossing, enter the highest maximum authorized speed (which will generally be the maximum authorized speed for passenger train movements). Permanent timetable speed restrictions should be entered, if applicable. This field must be greater than or equal to the maximum value in Item 3B, Typical Speed Range Over Crossing. + +3.B. Typical Speed Range Over Crossing (mph) +Enter the typical minimum speed (“from”) through the crossing in miles per hour (mph). (This should be the typical minimum speed for normal operations through the crossing, not the minimum speed possible.) Enter the typical maximum speed (“to”) through the crossing. Neither value can be greater than the maximum timetable speed in Item 3.A. + +4. Type and Count of Tracks + +Figure 2-47: U.S. DOT-FRA Crossing Inventory Form Part II, Item 4 +• Enter the number of “Main” line tracks. A mainline track is defined as a track extending through yards or between stations, upon which trains are operated by timetable or train order or both, or the use of which is governed by a signal system. +• Enter the number of “Siding” tracks. A siding track is defined as a track auxiliary to the main track used for meeting or passing trains. +• Enter the number of “Yard” tracks. A yard is defined as a system of tracks within defined limits used for the making up or breaking up of trains, for the storage of cars, and for other purposes over which movements not authorized by timetable or by train order may be made, subject to prescribed signals, rules or other special instructions. Spur track and lead track are included in this definition for purposes of this Inventory Form. Sidings and industry track are not included, nor is mainline track within yard limits. +• Enter the number of “Transit” tracks. A urban rapid transit track is defined as a track, on which a light-rail train, trolley, or streetcar moves passengers from +station to station typically within an urban area (and its suburbs), that is not connected with the general railroad system of transportation. +Enter the number of “Industry” tracks. An industry track is defined as a switching track, or series of tracks, serving the needs of a commercial industry other than a railroad. Note: Enter “0” for each track type specified that is not present at the crossing. + +5. Train Detection (Main Track Only) + +Figure 2-48: U.S. DOT-FRA Crossing Inventory Form Part II, Item 5 + +Enter a check to indicate the type of train detection equipment used to activate the warning system at the crossing for movements on the main track(s). More than one checkbox can be selected. If the crossing warning devices are not activated upon the arrival of a train, “None” should be checked. + +The types of train detection equipment are: +• Constant Warning Time +• Motion Detection +• DC – Direct Current +• AFO – Audio Frequency Overlay +• PTC – Positive Train Control (please refer to 49 CFR § 236.1005 for a description of Positive Train Control systems) +• Other – for example when signals are activated manually by a watchman, or by means of other technologies +• None + +6. Is Track Signaled? + +Figure 2-49: U.S. DOT-FRA Crossing Inventory Form Part II, Item 6 + +Enter a check in the appropriate box to indicate whether or not the track is equipped with a block signal, cab signal, or train control system to govern train operations. + +7. Monitoring Devices + +Figure 2-50: U.S. DOT-FRA Crossing Inventory Form Part II, Items 7.A – 7.B + +Enter a check in the appropriate box to indicate whether an event recorder and/or a remote health monitoring system is installed at the crossing. + +These fields are required when the warning devices at the crossing include any of the following: four-quadrant gates, three-quadrant gates, or two-quadrant gates; or flashing lights. + +Event Recorder means a device designed to resist tampering that monitors and records data on information at the grade crossing location such as (but not limited to) train speed, direction of motion, time, and distance over the most recent timeframe (e.g. last 24 or 48 hours) of the grade crossing warning system operation. + +Remote Health Monitoring means an electronic system designed to remotely notify the railroad (typically the railroad signal maintainer or a trouble desk) that components of the automatic warning system are not functioning as intended. + +   +4. Part III – Highway or Pathway Traffic Control Device Information + + +Figure 2-51: U.S. DOT-FRA Crossing Inventory Form Part III, Highway or Pathway Traffic Control Sign and Device Information + +1. Are there Signs or Signals? + +Figure 2-52: U.S. DOT-FRA Crossing Inventory Form Part III, Item 1 +Enter a check in the appropriate box to indicate whether signs or signals are installed at the crossing. + +2. Type of Passive Traffic Control Devices Associated With the Crossing + + +Figure 2-53: U.S. DOT-FRA Crossing Inventory Form Part III, Items 2.A. – 2.D. + +2.A. Crossbuck Assemblies +Enter a count of the number of masts or posts with mounted crossbucks, not a count of the number of crossbuck signs. Two or more crossbucks mounted on a single post are counted as one unit. Include all masts with crossbucks without distinction as to the reflectivity type. + +If the crossing has a train-activated warning device (flashing lights [cantilevered or mast mounted] and/or gates), do not count the individual number of crossbucks mounted on these devices. + +As a matter of information, FHWA (via the MUTCD) requires that crossbuck assemblies be installed by December 31, 2019, or when adjustments are made to the individual highway-rail grade crossing and/or corridor, whichever comes first. + + +Note: A crossbuck assembly consists of a crossbuck sign and a “YIELD” sign, unless study indicates a “STOP” sign is necessary. +Figure 2-54: Example of a Crossbuck Assembly + +2.B. STOP Signs (R1-1) +Enter the count of posts or masts with stop signs, regardless of any other type of warning devices. If there are two posts securing one sign, count them as one post. + +Note: Do not include “STOP” signs from adjacent streets or roadways. + +2.C. YIELD Signs (R1-2) +Enter the count of posts or masts with yield signs (MUTCD R1-2) at this crossing regardless of any other type of warning devices. If there are two posts securing one sign, count them as one post. + +Note: Do not include “YIELD” signs from adjacent streets or roadways. + +2.D. Advance Warning Signs (Check all that apply; include count) +Enter a check in the box for each type of advance warning sign at the crossing and enter a count for each type of sign. For each sign that is checked, it must correspond with a count value of “1” or greater. If there are no advance warning signs, check “None.” + + + +Figure 2-55: Sample Advance Warning Sign + +2.E. Low Ground Clearance Sign (W10-5) + +Figure 2-56: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.E. + +Check the “Yes” box to indicate that low ground clearance signs are present at the crossing. Then, enter the number of signs present. The standard warning sign for low ground clearance crossings is identified in the MUTCD as W10-5. Check “No” box if there are none. + + +Figure 2-57: Sample Low Ground Clearance Warning Sign + +2.F. Pavement Markings + +Figure 2-58: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.F. + +Enter a check in the appropriate box for each type of pavement marking present that conforms to the MUTCD. If there are no stop lines, railroad crossing symbols, or dynamic envelope marking present, check “None.” + +2.G. Channelization Devices/Medians + +Figure 2-59: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.G. + +Check the appropriate box(s) to reflect the location of a channelization or median structure present at the crossing, or check “None” if there are no such devices. If channelization devices are present at the crossing select either “All Approaches” or “One Approach” and leave “Median” blank. If a median is present at the crossing, also select either “All approaches” or “One approach” and select the “Median” box. + +“Channelization Devices” mean a traffic separation system made up of a raised longitudinal channelizer, with vertical panels or tubular delineators, that is placed between opposing highway lanes designed to alert or guide traffic around an obstacle or to direct traffic in a particular direction. + +“Median” means a non-traversable portion of a divided highway separating the travel ways for traffic in opposite directions. + +2.H. EXEMPT Sign (R15-3) + +Figure 2-60: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.H. +Check the “Yes” box if there is at least one EXEMPT sign displayed at the crossing and “No” if none are displayed. An exempt crossing is one where drivers of highway vehicles carrying passengers for hire, school buses carrying students, or highway vehicles carrying hazardous materials are not required to stop, except when rail traffic is approaching or occupying the grade crossing or the driver's view is blocked. + +2.I. ENS Sign Displayed (I-13) + +Figure 2-61: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.I. + +Check the “Yes” box if there is at least one ENS sign displayed at the crossing, and “No” if none are displayed. + +Signs or numbers on nearby signal bungalows are not considered to be ENS signs since the general public may not clearly understand their meaning and are not in compliance with FRA regulations (49 CFR Part 234, Subpart E). + +2.J. Other MUTCD Signs + +Figure 2-62: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.J. + +Check the “Yes” box if there is at least one other MUTCD sign displayed at the crossing and “No” if none are displayed. + +Enter the MUTCD type and the count of signs for each MUTCD type installed at the crossing. + +Examples: +• Specify Type R15-8 Count 2 +• Specify Type W10-9 Count 2 + + +2.K. Private Crossing Signs (if Private) + +Figure 2-63: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.K. + +If the crossing is a private crossing, enter a check in the Yes box if there is a private crossing sign installed. Check the “No” box if there are none. Note: This box should be left blank for public crossings. + +2.L. LED Enhanced Signs (List types) + +Figure 2-64: U.S. DOT-FRA Crossing Inventory Form Part III, Item 2.L. + +List the types of light-emitting diode (LED) enhanced signs in use, referencing to the MUTCD coded signs. For example: Crossbuck R15-1. + +3. Type of Train Activated Warning Devices at the Grade Crossing (specify count of each device for all that apply) + +Figure 2-65: U.S. DOT-FRA Crossing Inventory Form Part III, Items 3.A. – 3.E. + +3.A. Gate Arms (count) +Enter the number of Roadway and Pedestrian gates at the crossing. The total count for each type of gate is required. If gates are not present, enter “0”. + +Note: Pedestrian gate arms are only those that are part of the crossing signaling system that are activated upon train detection. + +Do not count: +• Pedestrian swing gates +• Post-mounted flashing light assemblies (3.D.) +• Crossbuck assemblies (2.A.) + +3.B. Gate Configuration +Check the boxes for each type of gate configuration found at the crossing. A gate (for purposes of the Crossing Inventory) is an automatically operated traffic control device which, when activated into a horizontal position, is intended to physically impede users such that they are discouraged from entering a particular grade crossing. Check only one box on the left side of 3.B. (2 Quad, 3 Quad, or 4 Quad). On the right side, check any applicable box. The choices are: + +• “2 Quad” (two-quadrant gates) – a gate configuration featuring gates only on entrance lanes leading onto the crossing. If a crossing does not have any gates on any exit lanes leading off the crossing, then it is to be considered a “Two quadrant gate” crossing. Note: A gated crossing on a one-way street is to be considered a “2 Quad” gate configuration. + +• “3 Quad” (three-quadrant gates) – a specific gate configuration featuring gates on all entrance lanes leading on to the crossing, but with only one exit leading off the crossing that is equipped with a gate. + +• “4 Quad” (four-quadrant gates) – a specific gate configuration that features gates on all entrance and all exit lanes at the crossing. When four quadrant gates are activated and fully lowered, all entrance lanes and all exit lanes are blocked by gates. + +• “Full (Barrier) Resistance” gates – a gate-like device that is specifically designed to physically prevent a highway vehicle from entering the crossing area when the resistance gate system is fully deployed. + +• “Median” gates (sometimes referred to as dual entrance gates) – a supplemental gate installation located on a roadway’s median (to the left of the travel lanes) that works in combination with a gate installed on the outside edge of the roadway (to the right of the travel lanes) to jointly provide blockage of multiple lanes on a single roadway approach to the crossing, with both gate arm tips meeting (2-foot maximum gap) in the middle. + +Note: This field is required if the number of gate arms in 3.A. is greater than 0. + +3.C. Cantilevered (or Bridged) Flashing Light Structures (count) +Enter the count of cantilevered (or bridged) flashing light structures that are: (1) “Over The Traffic Lanes,” and (2) “Not Over the Traffic Lanes.” Count the number of structures, not the number of flashing light pairs. If cantilevered flashing light structures are not present, enter “0”. + +Check the appropriate box to indicate whether the flashing lights are Incandescent or LED. + +3.D. Mast-Mounted Flashing Lights (count of masts) + +Enter the count of masts that have flashing lights. Count the number of masts, not the number of flashing light pairs. The number of cantilevered structures are not included in the count. If mast-mounted flashing lights are not present, enter “0”. + +Check the appropriate boxes to indicate whether the flashing lights are Incandescent or LED, and whether back lights and side lights are included. + +When indicating the presence of mast-mounted flashing lights, do not enter the number of crossbuck assemblies (2.A.) at the crossing. + + + + +Figure 2-66: Examples of Back Lights and Side Lights + +3.E. Total Count of Flashing Light Pairs +Enter the total number of flashing light pairs installed at the crossing, including back lights, side lights, and where cantilever structures are present + + + Example of 3 pairs Example of 4 pairs + + +Figure 2-67: Examples of 3 and 4 of flashing light pairs +3.F. Installation Date of Current Active Warning Devices + +Figure 2-68: U.S. DOT-FRA Crossing Inventory Form Part III, Item 3.F. +This data field must be updated if train-activated warning devices are installed or upgraded at a public highway-rail grade crossing after March 7, 2015. Using the list below, enter the installation date for the first device encountered (moving from top to bottom). +1. Four quad (or full barrier) gates +2. Three quad gates +3. Gates (normally two quadrant) +4. Flashing lights (standard and cantilever type units) +5. Highway traffic signals, wigwags, bells, or other activated devices +6. Special active warning devices (usually flagman) + +Check the “Not Required” checkbox if the active warning devices were installed before March 7, 2015 and the installation date is not provided. Completion of this data field is not required for active warning devices installed prior March 7, 2015; however, if date is known, it is recommended to enter it. + + +3.G. Wayside Horn + +Figure 2-69: U.S. DOT-FRA Crossing Inventory Form Part III, Item 3.G. +Check the “Yes” box if the crossing is equipped with a wayside horn and enter the month and year that the horn or system was installed. Check “No” if the crossing is not equipped with a wayside horn. + +3.H. Highway Traffic Signals Controlling Crossing + +Figure 2-70: U.S. DOT-FRA Crossing Inventory Form Part III, Item 3.H. +Enter a check in the “Yes” box to indicate that there are highway traffic signals that control highway traffic over the crossing, exclusive of other types of warning devices. For purposes of Item 3.H., “highway traffic signals” refers only to train-activated redamber-green signals that control street traffic over the crossing. Do not count highway signals controlling a nearby intersection even if they are interconnected with the crossing warning devices. + +Enter a check in the “No” box if there are none. + +3.I. Bells + +Figure 2-71: U.S. DOT-FRA Crossing Inventory Form Part III, Item 3.I. +Enter the count of bells (either mechanical or electrical) present at the crossing as part of the warning system. If there are none, enter “0.” + +3.J. Non-Train Active Warning + +Figure 2-72: U.S. DOT-FRA Crossing Inventory Form Part III, Items 3.J – 3.K + +Check the appropriate box if there is “Flagging” or a “Flagman” (a member of the train crew or other person who actively controls the flow of vehicular traffic using handsignaling devices or an Automated Flagger Assistance Device); “Manually Operated Signals” (e.g., dual toned multi-frequency (DTMF)-controlled, push-button activated); “Watchman” (a person assigned to provide warning that is not a member of the train crew); or “Floodlighting” at the crossing. Only floodlighting—which is distinctive from ordinary street lighting in intensity, light distribution, focus, or color—is to be reported. Check “None” if applicable. + +3.K. Other Flashing Lights or Warning Devices +Enter the count and type of any other special warning devices at the crossing. For example, this would include wigwags if present. If none are present, enter a count of “0”. + + +Figure 2-73: U.S. DOT-FRA Crossing Inventory Form Part III, Items 4.A. – 4.C. + +4.A. Does nearby Hwy Intersection have Traffic Signals? +Check either the “Yes” or “No” box to indicate whether or not a highway-highway intersection within 500 feet has highway traffic signals. + +Note: The distance (500 feet or less) is measured from the nearest rail, not from the centerline of track. + +4.B. Hwy Traffic Signal Interconnection +Check all that apply. If “Not Interconnected” is checked, do not check the other two choices. + +• “Not Interconnected” – crossings equipped with active warning systems that do not have an electrical connection between the railroad active warning system and the traffic signal controller assembly for the purpose of preemption. +• “For Traffic Signals” – crossings having an electrical connection between the railroad active warning system and the traffic signal controller assembly for the purpose of preemption. +• “For Warning Signs” – signs that are electrically connected to a railroad crossing control circuit that is designed to illuminate the signs upon the approach or presence of a train. + + + + +Figure 2-74: Examples of “For Warning Signs” +4.C. Hwy Traffic Signal Preemption +Check the appropriate box for the type of preemption. This field is not applicable if “Not Interconnected” is chosen in field 4.B. and should be left blank. + +Preemption is defined in the MUTCD as the transfer of the normal operation of highway traffic signals to a special control mode. + +In this instance preemption occurs as a result of a signal received from the railroad active warning device system + +Simultaneous preemption is defined in the MUTCD as notification of approaching rail traffic that is forwarded to the highway traffic signal controller unit or assembly and railroad active warning devices at the same time. + +Simultaneous preemption results in the initiation of the highway traffic signal cycle at the same time the highway-rail grade crossing warning system is activated. + +Advance preemption is defined in the MUTCD as notification of approaching rail traffic that is forwarded to the highway traffic signal controller unit or assembly by the railroad equipment in advance of the activation of the railroad warning devices. + +Advance preemption results in the initiation of the highway traffic signal cycle before the highway-rail grade crossing active warning system is activated. + +5. Highway Traffic Pre-Signals + +Figure 2-75: U.S. DOT-FRA Crossing Inventory Form Part III, Item 5 + +Check the “Yes” box to indicate if highway traffic pre-signals are installed. Check the “No” box if there are none. The “Storage Distance” and “Stop Line Distance” fields are optional. Use feet as the measuring unit. + +Pre-signals are used to control traffic approaching a grade crossing in conjunction with the highway traffic control signal faces that control traffic approaching a highwayhighway intersection beyond the tracks. Pre-signals may be located on either the near or far side of the railroad tracks, and may be mounted on the same cantilever structures as the railroad’s flashing light warning devices. + +• “Storage Distance” (for pre-signals only) is the distance available for vehicle storage as measured 6 feet from the rail nearest the intersection to the intersection stop line or the normal stopping point on the roadway. + +• “Stop Line Distance” (for pre-signals only) is the distance between the stop line and the crossing gates. This field should be left blank if the crossing is not equipped with gates. + +6. Highway Monitoring Devices + +Figure 2-76: U.S. DOT-FRA Crossing Inventory Form Part III, Item 6 +Check all boxes that apply. Note: The temporary installation of highway monitoring devices (e.g., for research purposes) should not be reported to the Crossing Inventory. + +• “Check the “Yes” box if “Photo/Video Recording” is present at the crossing. Photo/Video Recording is the use of high-resolution cameras to photograph or record motorists driving under or around railroad crossing gates. The camera equipment is typically mounted in a 12-foot-high bullet-resistant cabinet. There may be signs, installed on all street approaches to the crossing, that inform motorists that photo citations are being issued to violators at the crossing. Note – The temporary installation of photo/video recording devices (e.g., for research purposes) are not to be reported. + +• Check the “Yes” box if “Vehicle Presence Detection” is present at the crossing. Vehicle Presence Detection is system capable of detecting and reporting in real time the presence of a vehicle on the crossing. An example includes a series of looped wire, coils, or magnetometers that are placed below ground level within the field side and gauge side of the railroad tracks, at a distance between the approach gate and the exit gate. The loop detectors or magnetometers use a magnetic effect caused by the presence of a roadway vehicle, which then sends a signal to the exit gate to remain in the up position, or can send a signal to the train operator that a vehicle is still occupying the restricted area of the grade crossing. + +• Check the “None” box if neither Photo/Video Recording nor Vehicle Presence Detection are at the crossing or if the crossing is passive. + +• Note: This field applies for crossings with train-activated warning devices. If monitoring is conducted at passive crossings, it should be noted in Part I, Box 30 or 31, as appropriate. + + +5. Part IV – Physical Characteristics + + + +Figure 2-77: U.S. DOT-FRA Crossing Inventory Form Part IV, Physical Characteristics + +1. Traffic Lanes Crossing Railroad + +Figure 2-78: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 1 + +Enter the number of through traffic lanes crossing the track. Do not include shoulders or lanes that are used for parking. Check the box that describes the type of roadway. If channelization devices are present at the crossing, then it can only be classified as “Two-way Traffic.” + +• “One-way Traffic” – Where highway motor vehicles travel in the same direction over the same roadway. + +• “Two-way Traffic” – Where highway motor vehicles travel in two opposite directions over the same roadway. + +• “Divided Traffic” – Where roadway traffic moving in opposite directions is separated by a median sufficient to prevent movement across it into opposing traffic. + +Note: Divided traffic refers to the characteristics of the entire roadway, not simply at the crossing. + +2. Is Roadway/Pathway Paved? + +Figure 2-79: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 2 + +Check “Yes” if the highway or pathway is paved with material on which pavement markings can be effectively maintained. Check “No” if the highway or pathway surface is gravel, dirt, or has a surface treatment on which pavement markings cannot be maintained. If the entire road or pathway is not paved, the roadway or pathway pavement through the crossing must extend far enough beyond the railroad tracks to be able to accept railroad pavement markings, nominally about 100 feet, to be considered “Yes” for this Item. If pavement markings are indicated in Part III.2.F., then this item must be checked “Yes.” + +3. Does the Track Run Down a Street? + +Figure 2-80: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 3 + + +Figure 2-81: Example of a track that runs down a street. + +Check “Yes” if the crossing involves a railroad track that is embedded within the pavement of a roadway that crosses another roadway at grade, such that trains operating on those tracks will cross the intersecting roadway. In addition, the “Yes” box may be checked if the tracks run alongside the roadway in the same direction as roadway vehicles, and if the tracks are located within or adjacent to the roadway rightof-way. In both cases, the crossing to be inventoried will be the crossing of the tracks with the intersecting roadway, not the roadway within or adjacent to the street where the tracks are running. + +Check “No” if the tracks and crossties are in a semi-exclusive right-of-way with exposed ballast, and are separated from the roadway pavement by a curb or other such border or divider. + +4. Is Crossing Illuminated? (street lights within approx. 50 feet from nearest +rail) + +Figure 2-82: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 4 + +Enter a check in the “Yes” box if the crossing is illuminated. Enter a check in the “No” box if the crossing is not illuminated. An illuminated crossing is defined as having overhead street lighting that provides reasonable illumination of trains present at the crossing and is located within approximately 50 feet of the crossing. Since streetlamp light intensity can vary, sufficient lighting may be provided by streetlights located up to 100 feet from the crossing, in which case, the “Yes” box may be checked. + +5. Crossing Surface (on Main Track, multiple types allowed) + +Figure 2-83: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 5 + +Enter a check in the box which most closely fits the following descriptions. If there are multiple main line tracks that have different types of surfaces, indicate all types on the Inventory Form. + +1. “Timber” – Includes sectional treated timber and full wood plank. +• Sectional treated timber consists of prefabricated units approximately 8 feet in length of treated timber individually installed and removable for maintenance and replacement purposes. +• Full wood plank consists of a timber surface that covers the entire crossing area above the crossties, made of ties, boards, bridge ties, etc. + +2. “Asphalt” – Asphalt surface over the entire crossing area. + +3. “Asphalt and Timber” – Asphalt surface in the area between flange timber planks or other material forming flangeway openings that may include the use of rubber. + +4. “Concrete” – Includes concrete slab and concrete pavement. +• Concrete slab consists of pre-cast concrete sections that are usually individually installed and removable for maintenance and replacement purposes. +• Concrete pavement is a concrete surface that is continuous over the track area and is not removable except by destruction of the surface. + +5. “Concrete and Rubber” – An installed crossing surface that consists of both concrete and rubber materials. + +6. “Rubber” – Preformed rubber sections that are usually individually installed and removable for maintenance and replacement purposes. + +7. “Metal” – Sections of steel or other metal that are usually individually installed and removable for maintenance purposes and provide complete coverage of the crossing area within the track. + +8. “Unconsolidated” – Ballast or other unconsolidated material placed over crossties, with or without planks, on one or both sides of the running rails. + +9. “Composite” – An engineered material formed from two or more distinct materials generally incorporating a polymer binder with reinforcing fibers and/or fillers to contribute enhanced properties and/or other property modifiers in a polymer matrix, typically post-consumer recycled high-density polyethylene, or HDPE, that are usually individually installed and removable for maintenance and replacement purposes . + +10. “Other (Specify)” – Surfaces other than the previously described surfaces, including structural foam, plastic, “high-tech,” etc. + +Note: This data field has been assigned to the State for updating. However, if the railroad installs a new crossing surface, the railroad must report that change. + +Enter the month and year that the crossing surface was originally installed and opened to vehicular traffic in “MM/YYYY” format. Also, enter the width of the crossing, and the length of the crossing. For new and updated crossing surfaces, the date and measurements are required. These are optional fields for existing crossings that are already reported, but encouraged to be submitted by State entities. + +• “Width” – The width of the crossing surface is measured in feet perpendicular to the railroad tracks and is the distance between the outermost edges of the crossing surface (including multiple tracks if present). In the event that the crossing surface is indistinguishable from the roadway approach, the width is the distance between the outermost rails of the crossing plus 4 feet. + +• “Length” – The length of the crossing surface is measured in feet parallel to the tracks, along the improved surface of the crossing, which may extend beyond the edges of highway pavement and any sidewalks that may be present. In general, the crossing surface material will extend approximately 3 feet on each side beyond the roadway/pathway. + +Refer to the width and length diagram below: + +Figure 2-84: Width and length measurement diagram + +6. Intersecting Roadway Within 500 Feet? + +Figure 2-85: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 6 + +Enter a check in the “Yes” box if the street or highway for this crossing is intersected by another street or highway within 500 feet, and indicate the estimated distance from the crossing. Check “No” when no intersection exists within 500 feet. If the street or highway is intersected by another street or highway on both sides of the crossing, indicated the estimated distance from the closest intersection. + +7. Smallest Crossing Angle + +Figure 2-86: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 7 + +Enter a check in the box that most closely describes the smallest angle between the roadway and the track. + +8. Is Commercial Power Available? + +Figure 2-87: U.S. DOT-FRA Crossing Inventory Form Part IV, Item 8 + +Enter a check to indicate whether there is commercial electric power available within 500 feet of the crossing. This field is optional. +   +6. Part V – Public Highway Information + + +Figure 2-88: U.S. DOT-FRA Crossing Inventory Form Part V, Public Highway Information, and Submission Information + +1. Highway System + +Figure 2-89: U.S. DOT-FRA Crossing Inventory Form Part V, Item 1 + +Check the box for the correct highway system code. See Table 2-1 below for the correct code. + +Table 2-1: Highway System Codes +Code Definition Included +01 Interstate Highway System Interstate, rural, and urban; (note +that the Interstate is part of the +National Highway System) +02 Other National Highway System (NHS) Other urban and rural principal arterial, Non-Interstate +03 Federal Aid Highway, Not NHS Rural major collector and higher category, or urban collector and higher category, not part of NHS +08 Non-Federal Aid Local rural roads, rural minor collectors, and local urban city streets or any other non-FederalAid roadway + + + + +2. Functional Classification of Road at Crossing + +Figure 2-90: U.S. DOT-FRA Crossing Inventory Form Part V, Item 2 +Check the box for the appropriate highway functional classification code for “Rural” or “Urban” and then check the box for the roadway type in accordance with Federal-aid highway program definitions. The “Urban” designation is based on the U.S. Census Bureau urban boundaries and a population of more than or equal to 5,000 people. + +Functional classification is the grouping of highways, roads, and streets by the character of service they provide and can be applied in planning highway system development. It defines the part that any particular route should play in serving the flow of traffic through a highway network. The details and definitions for classifying systems can be found on FHWA's Web site at www.fhwa.dot.gov under “Guidelines for Functional Highway Classification System.” + +3. Is Crossing on State Highway System? + +Figure 2-91: U.S. DOT-FRA Crossing Inventory Form Part V, Item 3 + +Check the appropriate box. + +4. Highway Speed Limit + +Figure 2-92: U.S. DOT-FRA Crossing Inventory Form Part V, Item 4 + +Enter the highway speed limit at the crossing in miles per hour (the speed limit value must be greater than zero). Check the appropriate box to indicate whether the speed limit is posted or statutory. + +5. Linear Referencing System (LRS Route ID) + +Figure 2-93: U.S. DOT-FRA Crossing Inventory Form Part V, Item 5 +This is an optional field. Enter the “Linear Referencing System (LRS Route ID)” code. The LRS is a set of procedures for determining and retaining a record of specific points along a highway. Typical methods used are milepoint, milepost, reference point, and link-node. + +It is recommended that this field use the Highway Performance Monitoring System (HPMS) data reported to FHWA. If a State uses more than one LRS for their own purposes, it is recommended that the information entered match the HPMS data. The details for the HPMS can be found on FHWA’s Web site at: http://www.fhwa.dot.gov under Highway Performance Monitoring System. + +6. LRS Milepost + +Figure 2-94: U.S. DOT-FRA Crossing Inventory Form Part V, Item 6 + +This is an optional item. Enter the LRS milepost designation. Most at-grade highwayrail grade crossings are on highways without posted mileposts. Leave blank if none are posted. + +7. Annual Average Daily Traffic (AADT) + +Figure 2-95: U.S. DOT-FRA Crossing Inventory Form Part V, Item 7 + +Enter the calendar year when the AADT was determined and the estimated AADT count through the crossing (total both directions) based on available traffic information. When a crossing runs diagonally through a highway-highway intersection, the total AADT should include both streets in both directions. + +“Annual Average Daily Traffic (AADT)” – a figure that represents the amount of vehicles traveling past a known location on a roadway for a year, divided by 365 days. In the event that 365 consecutive days of traffic counts are not available, there are traffic engineering calculations that can be used to develop a representative figure for AADT based upon traffic counts of shorter duration. + +8. Estimated Percent Trucks + +Figure 2-96: U.S. DOT-FRA Crossing Inventory Form Part V, Item 8 +Enter the estimated percentage (0–99%) of trucks in the traffic stream. For the purposes of this manual, trucks are considered as those vehicles having a manufacturer’s gross vehicle weight (GVW) rating of 9,000 lbs. or more and having dual tires on at least one rear axle. Also, buses, single-unit trucks, combination trucks, and campers/recreational vehicles are classified as trucks. Do not include school buses. + + +9. Regularly Used by School Buses? + +Figure 2-97: U.S. DOT-FRA Crossing Inventory Form Part V, Item 9 + +Check the “Yes” box if the crossing is regularly used by school buses. Check the “No” box if the crossing is not regularly used by school buses. “Regularly” means that there is at least one movement over the crossing, in either direction, by a school bus on a normal school day. + +If the “Yes” box is checked, enter the average total number of times that a school bus crosses over the crossing, empty or full, on a normal school day. Back and forth movements count as two passes through the crossing. + +10. Emergency Services Route + +Figure 2-98: U.S. DOT-FRA Crossing Inventory Form Part V, Item 10 + +Check the “Yes” box if the crossing is routinely used by highway vehicles to obtain access to facilities that provide emergency services, such as hospitals and police and fire stations. Otherwise check the “No” box. + + +Submission Information – This information is used for administrative purposes and is not available on the public website. + +Figure 2-99: U.S. DOT-FRA Crossing Inventory Form Submission Information + +Enter the name of the submitter, the organization represented by the submitter, the telephone number of the submitter, and the date that the Form is being submitted. If the crossing has multiple forms, the information provided in this section should relate to the submitting railroad. This information, “Name,” “Organization,” “Phone,” and “Date” must be provided on the hardcopy Inventory Form only (not electronically). Information collected electronically will be captured through the user’s account information and the time-stamped submittal action. + + + +APPENDIX A – U.S. DOT Crossing Inventory Form + +Obtaining an Inventory Number + +Highway-rail and pathway crossings in the United States (both at-grade and gradeseparated) must have an assigned U.S. DOT National Highway-Rail Crossing Inventory Number (Inventory Number). + +Valid Inventory Numbers can be obtained by submitting an email request to: RequestDOTGXNumber@dot.gov. + +When submitting an email request for Inventory Numbers, please provide the total number of Inventory Numbers needed and the name, title, company, mailing address, phone number, and fax number of the requestor. + +Submission of the Inventory Form + +The “U.S. DOT Crossing Inventory Form” (Form), is a two-page, single-sheet, five-part form that provides for easy photocopying and distribution to appropriate parties. The five parts of the form include the following categories: + Part I. Location and Classification Information +Part II. Railroad Information +Part III. Highway or Pathway Traffic Control Device Information +Part IV. Physical Characteristics +Part V. Public Highway Information + +As reflected below, the type of crossing will dictate which parts of the Inventory Form must be completed by railroads for the initial reporting of new and previously unreported highway-rail grade and pathway crossings: + +• Public Highway-Rail Grade Crossing: Complete entire Inventory Form (with the exception of I.20 and III.2.K); + +• Private Highway-Rail Grade Crossing: Complete Header, plus Parts I, II, and III.2.K of the Inventory Form and the Submission Information section; + +• Public Pathway Grade Crossing: Complete Header, plus Parts I and II of the Inventory Form (with the exception of I.20) and the Submission Information section; + +• Private Pathway Grade Crossing: Complete Header, plus Parts I, II, and III.2.K of the Inventory Form and the Submission Information section; + +• Pedestrian Station Grade Crossing (Station, Ped.): Complete Header, plus Parts I and II of the Inventory Form (with the exception of I.20) and Submission Information section; + +• Grade-Separated Crossing (highway-rail, pathway, and pedestrian station): Complete Header, plus Part I of the Inventory Form (with the exception of I.20) and the Submission Information section. + +For periodic updates to the Crossing Inventory, refer to the Responsibility Table in Appendix B for detailed instructions regarding which data fields must be updated at least every 3 years by the primary operating railroad. + +For a change from a private highway-rail grade crossing to a public highway-rail grade crossing, railroads must complete the entire Inventory Form (with the exception of I.20 and III.2.K) with updated information. + +For a change from a private pathway grade crossing to a public pathway grade crossing, railroads must update the Header, Parts I, II, and III.2.K of the Inventory Form and the Submission Information section. + +For changes in the crossing surface or a change in the crossing warning devices at a public highway-rail grade crossing, the primary operating railroad must complete all of the data fields in the Header of the Inventory Form, check the “Change in Data” box in “Reason for Update” field and update all data fields in Parts II and III on the Inventory Form. If a hardcopy Inventory Form update will be submitted to the Crossing Inventory, complete the Submission Information section of the Inventory Form as well. + +Hardcopy Submission + +Complete the Submission Information data field at the bottom of page 2 of the Inventory Form for all hardcopy submissions. + +Please refer to FRA’s Web site (www.fra.dot.gov) to obtain the mailing address for hardcopy Inventory Form submissions. To find the appropriate mailing address enter “crossing inventory” in the search box of the FRA homepage. + +Electronic Submission + +Completed Inventory Forms may also be submitted electronically to the +U.S. DOT National Highway-Rail Crossing Inventory. Detailed instructions for the electronic submission of Inventory Forms can be found in the Electronic Submission Instructions, which is a separate document. + + + + + + + + + + + +APPENDIX B – Responsibility Table for Periodic Updates to the Crossing Inventory + +This responsibility table only applies to periodic updates to the Crossing Inventory. This table is intended to clarify which fields have been assigned to primary operating railroads (i.e., railroad or urban rapid transit operator) for updating and which fields have been assigned to State agencies for voluntary updating. + +Box Field Update Provided by State Update Provided by Railroad or Transit + Public Private Public Private +Header +A. Revision Date R R R +B. Reporting Agency R R R +C. Reason for Update R R R +D. DOT Crossing Inventory Number R R R +Part I: Location and Classification Information +1. Primary Operating Railroad R R +2. State R R +3. County R R +4. City/Municipality R R +5. Street/Road Name & Block Number R R +6. Highway Type & No. R R +7. Do Other Railroads Operate a Separate Track R R +8. Do Other Railroads Operate over Your Track R R +9. Railroad Division or Region R R +10. Railroad Subdivision or District R R +11. Branch or Line Name R R +12. RR Milepost R R +13. Line Segment O O +14. Nearest RR Timetable Station O O +15. Parent RR R R +16. Crossing Owner R R +For guidance on reporting new and previously unreported crossings, please refer to the Introduction and Appendix A to this Guide. + +Entities subject to FRA’s final rule on National Highway-Rail Crossing Inventory +Reporting Requirements should refer to the rule published in the Federal Register, as well as the additional information provided in this Guide. Should any portion of this table conflict with the final rule, the language of the final rule shall govern. + +O – Optional; R – Required; C – Conditionally Required; LLLLLL – Not Applicable (see Guide for instructions) +   + +Box Field Update Provided by State Update Provided by Railroad or Transit + Public Private Public Private +17. Crossing Type R R +18. Crossing Purpose R R +19. Crossing Position R R +20. Public Access R +21. Type of Train Service R R +22. Average Passenger Train Count Per Day R R +23. Type of Land Use R R +24. Is There an Adjacent Crossing with a Separate Number? R R +25. Quiet Zone +26. HSR Corridor ID R R +27. Latitude in decimal degrees R R +28. Longitude in decimal degrees R R +29. Lat/Long Source R R +30.A. Railroad Use O O +30.B. Railroad Use O O +30.C. Railroad Use O O +30.D. Railroad Use O O +31.A. State Use O O +31.B. State Use O O +31.C. State Use O O +31.D. State Use O O +32.A. Narrative (Railroad Use) O O +32.B. Narrative (State Use) O O +33. Emergency Notification Telephone No. R R +34. Railroad Contact (Telephone No.) R R +35. State Contact (Telephone No.) R +Part II: Railroad Information +1.A. Total Day Thru Trains (6AM to 6PM) R R +1.B. Total Night Thru Trains (6AM to 6PM) R R +1.C. Total Switching Trains R R +1.D. Total Transit Trains R R +1.E. Check If Less Than One Movement Per Day C C +2 Year of Train Count Data R R +3.A Maximum Timetable Speed (mph) R R +3.B Typical Speed Range Over Crossing (mph) R R +4. Type and Count of Tracks R R +5. Train Detection (Main Track Only) R R +6. Is Track Signaled? R R +7.A. Event Recorder C C +7.B. Remote Health Monitoring C C +Part III: Highway or Pathway Traffic Control Device Information +1 Are There Signs or Signals? R + +Box Field Update Provided by State Update Provided by Railroad or Transit + Public Private Public Private +2.A. Crossbuck Assemblies R +2.B. STOP Signs (R1‐1) R +2.C. YIELD Signs (R1‐2) R +2.D. Advance Warning Signs R +2.E. Low Ground Clearance Sign (W10‐5) R +2.F. Pavement Markings R +2.G. Channelization Devices / Medians R +2.H. EXEMPT Sign (R15‐3) R +2.I. ENS Sign Displayed (I‐13) R +2.J. Other MUTCD Signs R +2.K. Private Crossing Signs (if Private) R +2.L. LED Enhanced Signs R +3.A. Gate Arms R +3.B. Gate Configuration R +3.C. Cantilevered (or Bridged) Flashing Light Structures R +3.D. Mast Mounted Flashing Lights R +3.E. Total Count of Flashing Light Pairs R +3.F. Original Installation Date of Current Active Warning Devices R +3.G. Wayside Horn R +3.H. Highway Traffic Signals Controlling Crossing R +3.I. Bells R +3.J. Non‐Train Active Warning R +3.K. Other Flashing Lights or Warning Devices R +4.A. Does nearby Highway Intersection Have +Traffic Signals? R +4.B. Highway Traffic Signal Interconnection R +4.C. Highway Traffic Signal Preemption C +5. Highway Traffic Pre‐Signals R +6. Highway Monitoring Devices R +Part IV: Physical Characteristics +1. Traffic Lanes Crossing Railroad R +2. Is Roadway/Pathway Paved? R +3. Does Track Run Down a Street? R +4. Is Crossing Illuminated? R +5. Crossing Surface R +6. Intersecting Roadway Within 500 feet? R +7. Smallest Crossing Angle R +8. Is Commercial Power Available? O +Part V: Public Highway Information +1. Highway System R +2. Functional Classification of Road at Crossing R +Box Field Update Provided by State Update Provided by Railroad or Transit + Public Private Public Private +3. Is Crossing on State Highway System? R +4. Highway Speed Limit R +5. Linear Referencing System (LRS Route ID) O +6. LRS Milepost O +7. Annual Average Daily Traffic (AADT) R +8. Estimated Percent Trucks R +9. Regularly Used by School Buses? R +10. Emergency Service Route R +Submission Information + Name R R R + Organization R R R + Phone R R R + Date R R R + +Note: Please refer to the individual sections of this Guide for exceptions to the Crossing Inventory Responsibility Table above. + + +APPENDIX C – Reporting Crossings That Have Multiple Operating Railroads + +Except for situations where multiple railroads or urban rapid transit operators operate trains on separate tracks through the same crossing, if more than one operating railroad operates trains through a single highway-rail or pathway crossing, the primary operating railroad is responsible for submitting and updating crossing data on behalf of all the operating railroads that operate through the crossing. + +Note: The primary operating railroad is the operating railroad that either owns or maintains the track through the highway-rail or pathway crossing, unless the crossing is located within a private company, port, or dock area. If more than one operating railroad either owns or maintains the track through the highwayrail or pathway crossing, or if no operating railroad owns or maintains the track through the highway-rail or pathway crossing, then the operating railroad that operates the highest number of trains through the crossing is the primary operating railroad. In the event that there is only one operating railroad that operates one or more trains through a highway-rail or pathway crossing, that operating railroad is the primary operating railroad. + +Where multiple railroads or urban rapid transit operators operate trains on separate tracks through the same crossing, each railroad or urban rapid transit operator must submit crossing data to the Crossing Inventory (see Part I, Item 7 above), and each must place its name in the field titled “Primary Operating Railroad” (this links each railroad to the data it has submitted). The primary operating railroad must submit the rest of the railroad-required data. Except for the train counts, the National Crossing Inventory Record will reflect the data for the primary operating railroad. + +The FRA data management system will combine the critical data (such as train counts) to produce a combined Crossing Inventory Record for the crossing for analyzing the risk along with providing the individual records for each of the operating railroads. Each railroad must place its name in the field titled “Primary Operating Railroad” in Part 1, Box 1, in order to make clear which record belongs to which railroad. + +Each Inventory Form submitted by multiple operating railroads for the same crossing will have the same crossing inventory number. + +See the Figure below for an example of which fields must be completed and updated by each railroad or urban rapid transit operator that operates trains on separate tracks through the same crossing. +   +Areas highlighted in yellow are the fields required to be completed: + + + + + + +APPENDIX D – Definitions + + +Adjacent Crossings – grade crossings with separate Crossing Inventory Numbers, with their own separate warning devices, on the same vehicular highway or pathway, where the distance between the inside rail of each crossing, as measured along the highway or pathway, does not exceed 100 feet. + +Annual Average Daily Traffic (AADT) – a figure that represents the amount of vehicles traveling past a known location on a roadway for a year, divided by 365 days. In the event that 365 consecutive days of traffic counts are not available, there are traffic engineering calculations that can be used to develop a representative figure for AADT based upon traffic counts of shorter duration. + +Back Lights – a flashing light pair on the far side of the crossing, typically mounted 180 degrees on the signal mast or cantilever structure from the flashing light pair of the near side of the crossing. + +Channelization Device – a traffic separation system made up of a raised longitudinal channelizer with vertical panels or tubular delineators that is placed between opposing highway traffic lanes designed to alert or guide traffic around an obstacle or to direct traffic in a particular direction. + +Closed Crossing – a location where a previous crossing no longer exists because either the railroad tracks have been physically removed, or each pathway or roadway approach to the crossing has been physically removed, leaving behind no intersection of railroad tracks with either a pathway or roadway. A grade-separated highway-rail or pathway crossing that has been physically removed is also considered a closed crossing. + +Crossing Inventory – the U.S. DOT National Highway-Rail Crossing Inventory. + +Diagonal Crossing – a highway-rail crossing where the railroad tracks run diagonally through the highway-highway intersection, thus bisecting the two roadways. Only one Crossing Inventory Number is to be assigned to such locations. + +Event Recorder – a device designed to resist tampering that monitors and records data on information at the grade crossing location such as (but not limited to) train speed, direction of motion, time, and distance over the most recent timeframe (e.g. last 24 or 48 hours) of the grade crossing warning system operation. + +Flashing Light Pairs – two red-colored light units that flash alternately at a rate of 45 to 65 times per minute. The main components of a flashing light pair are the hood, background, roundel, lamp, lamp holder, reflector, and housing. The background is 20 +or 24 inches in diameter and is painted a nonreflecting black to provide a contrast for the red light. The hood is also painted black. + +Gate – an automatically-operated traffic control device which, when activated into a horizontal position, is intended to physically impede users such that they are discouraged from entering a particular grade crossing. + +Two Quadrant Gates – a gate configuration featuring gates only on entrance lanes leading on to the crossing. If a crossing does not have any gates on any exit lanes leading off the crossing, then it is to be considered a “two-quadrant gate” crossing. Note: A gated crossing on a one-way street is to be considered a “2 Quad” gate configuration. + +Three Quadrant Gates – a specific gate configuration featuring gates on all entrance lanes leading on to the crossing, but with only one exit leading off the crossing that is equipped with a gate. + +Four Quadrant Gates – a specific gate configuration that features gates on all entrance and all exit lanes at the crossing. When four quadrant gates are activated and fully lowered, all entrance lanes and all exit lanes are blocked by gates . + +Full (Barrier) Resistance Gates – a gate-like device that is specifically designed to physically prevent a highway vehicle from entering the crossing area when the resistance gate system is fully deployed. + +Median Gates (sometimes referred to as dual entrance gates) – a supplemental gate installation located on a roadway’s median (to the left of the travel lanes) that works in combination with a gate installed on the outside edge of the roadway (to the right of the travel lanes) to jointly provide blockage of multiple lanes on a single roadway approach to the crossing, with both gate arm tips meeting (2-foot maximum gap) in the middle. + +Grade Crossing – for purposes of the Inventory, either a highway-rail grade crossing, pathway grade crossing or pedestrian station grade crossing. + +Highway-Rail Crossing – for purposes of the Crossing Inventory, the location where one or more railroad tracks intersect with a public highway, road, street, or private roadway, either at-grade or grade-separated, including associated sidewalks. + +A crossing includes those tracks that lie within the same pair of warning devices. Thus, an intersection of a roadway with 3 tracks (2 mainline and 1 spur) where the mainline tracks have flashing lights and the spur track has crossbucks would be considered two crossings with two separate crossing inventory numbers. One crossing would consist of the mainline tracks with the flashing lights and one crossing would consist of the spur track that has crossbucks. + +Highway-Rail Grade Crossing – for purposes of the Crossing Inventory, a highway-rail crossing that is at the same grade level as the railroad tracks. + +Inventory Form – the U.S. DOT Crossing Inventory Form (Form FRA F 6180.71). + +Inventory Number – the number assigned to a highway-rail crossing or pathway crossing in the Crossing Inventory. + +Median – a non-traversable portion of a divided highway separating the travel ways for traffic in opposite directions. + +MUTCD – the Manual on Uniform Traffic Control Devices published by the Federal Highway Administration. + +Open Crossing – a highway-rail crossing or pathway crossing where both railroad operations and highway or pathway traffic are possible. + +Operating Railroad – any railroad or urban rapid transit operator that operates one or more trains through a highway-rail crossing or pathway crossing on, or connected to, the general railroad system of transportation. + +Pathway – a path for authorized users, outside the traveled way and physically separated from the roadway by an open space or barrier and either within the highway right-of-way or within an independent alignment. Pathways include shared-use paths, but do not include sidewalks. + +Pathway Crossing – a pathway that: (1) is explicitly authorized by a public authority or a railroad; (2) is dedicated for the use of non-vehicular traffic including pedestrians, bicyclists, and others, (3) is not associated with a public highway, road, or street, or a private roadway; and (4) crosses one or more railroad tracks either at grade or gradeseparated. However, an area where pedestrians trespass, even routinely, is not considered to be a pathway crossing. + +Pathways that are contiguous with, or separate but adjacent to, highway-rail crossings are presumed to be part of the highway-rail crossing and are not considered separate crossings. However, pathways that are located more than 25 feet from the location where a highway, road, or street intersects with one or more railroad tracks are generally considered to be separate pathway crossings. + +Pathway Grade Crossing - for purposes of the Crossing Inventory, a pathway crossing that is at the same grade level as the tracks. + +Pedestrian Crossing - See Pathway Crossing. + +Pedestrian Station Crossing (Station, Ped.) – a pathway crossing located within a passenger station. + +Pedestrian Station Grade Crossing – a pedestrian station crossing that is at the same grade level as the tracks. + +Plant Railroad – a plant or installation that owns or leases a locomotive, uses that locomotive to switch cars throughout the plant or installation, and is moving goods solely for use in the facility’s own industrial processes. The plant or installation could include track immediately adjacent to the plant or installation if the plant railroad leases the track from the general system railroad and the lease provides for (and actual practice entails) the exclusive use of that trackage by the plant railroad and the general system railroad for purposes of moving only cars shipped to or from the plant. A plant or installation that operates a locomotive to switch or move cars for other entities, even if solely within the confines of the plant or installation, rather than for its own purposes or industrial practices, will not be considered a plant railroad because the performance of such activity makes the operation part of the general railroad system of transportation. + +Primary Operating Railroad – the operating railroad that either owns or maintains the track through the highway-rail or pathway crossing, unless the crossing is located within a private company, port, or dock area. If more than one operating railroad either owns or maintains the track through the highway-rail or pathway crossing, or if no operating railroad owns or maintains the track through the highway-rail or pathway crossing, then the operating railroad that operates the highest number of trains through the crossing is the primary operating railroad. In the event that there is only one operating railroad that operates one or more trains through a highway-rail or pathway crossing, that operating railroad is the primary operating railroad. + +For highway-rail and pathway crossings that are located within a private company, port, or dock area, each railroad that owns track leading to the private company, port, or dock area will be considered a primary operating railroad as applied to crossings within the private company, port, or dock area. + +Private Crossing – a highway-rail or pathway crossing that is not a public crossing. Typical types of private crossings include farm crossings, industrial plant crossings, and residential access crossings. + +Public Authority – the public entity responsible for traffic control or law enforcement at a highway-rail crossing or the public entity that authorized a pathway crossing. + +Public Crossing – a highway-rail or pathway crossing where the approaches are under the jurisdiction of and maintained by a public authority and open to public travel. All approaches must be under the jurisdiction of the public authority and no approach may be on private property, unless state law or regulation provides otherwise. + +For purposes of this definition “open to public travel” means that the road or pathway section is available (except during scheduled periods, extreme weather or emergency conditions) and open to the general public for use without restrictive gates, prohibitive signs, or regulation. Restrictions for highway-rail crossings that are based on size, weight, or class of registration do not apply. + +In situations where a State has empowered a public agency (such as a State +Department of Transportation, State Highway Department, Public Utility Commission, State Commerce Commission, etc.) to make a determination as to whether crossings are public or private, such determinations will govern for Inventory purposes. + +Quiet Zone – a segment of a rail line, within which is situated one or a number of consecutive public highway-rail crossings at which locomotive horns are not routinely sounded. + +Remote Health Monitoring – an electronic system designed to remotely notify the railroad (typically the railroad signal maintainer or a trouble desk) that components of the automatic warning system are not functioning as intended. + +Side Lights – a flashing light pair, typically mounted on the signal mast or cantilever structure, used to warn vehicular traffic and/or pedestrians approaching from side streets, parking lots, driveways or pathways. + +Sidewalk – that portion of a street between the curb line, or lateral line of a roadway, and the adjacent property line. Sidewalks also include easements on private property that are paved or improved and intended for use by pedestrians. + +Temporary Crossing – a highway-rail or pathway crossing created to serve a specific activity for a temporary time period not to exceed six months. Temporary crossings do not need an inventory number and do not need to be reported to the Crossing Inventory. + +Through (Thru) Trains – trains whose primary responsibility is to operate over a route with defined beginning and end points. + + + +APPENDIX E – Frequently Asked Questions (FAQs) + +Q 1. Which types of crossings must be reported to the Crossing Inventory? + +All crossings, Highway-Rail, Pathway (formerly known as Pedestrian) and +Pedestrian Station, either at-grade and grade-separated, must be reported to the Crossing Inventory, with the exception of temporary crossings. Temporary crossings are crossings that are created to serve a specific activity for a temporary time period not to exceed six months. + +An Inventory Number must be assigned to each crossing that is reported to the Crossing Inventory, except for certain crossings that are discussed in more detail in the Inventory Guide. + +Q 2. If multiple operating railroads operate through a highway-rail or pathway crossing, which operating railroad is responsible for getting the Inventory number and filing the Inventory Forms? + + With the exception of highway-rail and pathway crossings where multiple railroads or urban rapid transit operators operate trains on separate tracks through the same crossing, the primary operating railroad will be responsible for requesting the Inventory Number and submitting crossing data (including periodic updates) to the Crossing Inventory for a particular highway-rail or pathway crossing. + +The primary operating railroad either owns or maintains the track through the highway-rail or pathway crossing, unless the crossing is located within a private company, port, or dock area. If more than one operating railroad either owns or maintains the track through the highway-rail or pathway crossing, or if no operating railroad owns or maintains the track through the highway-rail or pathway crossing, then the operating railroad that operates the highest number of trains through the crossing is the primary operating railroad. In the event that there is only one operating railroad that operates one or more trains through a highway-rail or pathway crossing, that operating railroad is the primary operating railroad. For highway-rail and pathway crossings that are located within a private company, port, or dock area, each railroad that owns track leading to the private company, port, or dock area will be considered a primary operating railroad as applied to crossings within the private company, port, or dock area. + + Please refer to Appendix C for detailed guidance on reporting to the Crossing Inventory when multiple railroads or urban rapid transit operators operate trains on separate tracks through the same highway-rail or pathway crossing. + + + +Q 3. Do I need to get an Inventory Number for a private crossing? + +Yes. Railroads must obtain Inventory numbers for private crossings. + +This includes crossings that are in a plant area owned by a private corporation, in a port or dock area or in the rail yard of the operating railroad. The primary operating railroad may decide whether to assign one Inventory Number for each crossing on private property or for multiple crossings within the plant, port or dock area or rail yard. + +Q 4. Where can I get valid Crossing Inventory Numbers? + +To acquire crossing numbers from FRA, please send an e-mail to: RequestDOTGXNumber@dot.gov. + +Q 5. How do I update the Crossing Inventory for my Railroad or State? + +Please refer to Appendix B of this Inventory Guide, the Crossing Inventory Responsibility Table, for information related to which data fields on the Inventory Forms need to be updated by railroads and/or the States. + +With the exception of Class I railroads who must submit updates to the Crossing Inventory electronically, all non-Class I railroads and States may choose to submit updates to the Crossing Inventory electronically or by mailing updated Inventory Forms. + +Please see FRA’s Web site for the correct mailing address for hardcopy U.S. DOT Crossing Inventory (Crossing Inventory) submissions. + +Q 6. Can I submit Inventory Forms electronically? + +Yes. While Class I railroads are required to file Inventory data electronically, all railroads and States are encouraged to file data electronically in accordance with the instructions contained in this Inventory Guide. + +Q 7. Do I have to submit Inventory Forms electronically? + +Class I railroads must file their Inventory Forms electronically. Therefore, Inventory updates, as well as the submission of Inventory data for new and previously unreported crossings, will need to be submitted electronically to the Crossing Inventory by Class I railroads. All other operating railroads and the States may choose to submit Inventory Forms electronically, but are not required to do so. + + +Q 8. Which parts of the Inventory Form must be completed for a new or previously unreported crossing? + + The type of crossing will dictate which parts of the Inventory Form must be completed by railroads for the initial reporting of new and previously unreported highway-rail and pathway crossings. The Inventory Form will be considered “completed”, if the following parts of the Inventory Form are completed: + +• Public Highway-Rail Grade Crossing: Complete entire Inventory Form (with the exception of I.20 and III.2.K); +• Private Highway-Rail Grade Crossing: Complete Header, plus Parts I, II, and III.2.K of the Inventory Form and the Submission Information section; +• Public Pathway Grade Crossing: Complete Header, plus Parts I and II of the Inventory Form (with the exception of I.20) and the Submission Information section; +• Private Pathway Grade Crossing: Complete Header, plus Parts I, II, and +III.2.K of the Inventory Form and the Submission Information section; +• Pedestrian Station Grade Crossing (Station, Ped.): Complete Header, plus Parts I and II of the Inventory Form (with the exception of I.20) and Submission Information section; +• Grade-separated Crossing (highway-rail, pathway and pedestrian station): Complete Header, plus Part I of the Inventory Form (with the exception of I.20) and the Submission Information section. + +Q 9. Where do I send hardcopies of completed Inventory Forms? + +Please see FRA’s webpage for correct mailing address for hard copy Crossing Inventory Submissions. + +Q 10. If I only need to submit a few Inventory Forms, can I scan them electronically and then submit them to the Crossing Inventory? + +Scanning a document for transmittal to the Crossing Inventory is considered a paper submission. This type of transmission does NOT constitute an electronic submission; therefore, Class I railroads may not use this form of submission. + +Non-Class I railroads may transmit scanned documents to: +RsisRXIUpdates@dot.gov. This address goes to FRA’s data processing contractor who will process the submittals in accordance with their workload. + +Q 11. Can I update crossing records online? + +Yes, FRA will provide a new secure web page to allow users to find and update data for highway-rail and pathway crossings that have already been entered into the Crossing Inventory. + +Q 12. Will use of the GX32 software count as an electronic submission? + + No, the GX32 software will be replaced with a secure web-based application that will provide the state/railroad user with similar functionality. This will allow the crossing data to be current and updates will be made instantaneously (with business rules in place to ensure that only allowable data elements can be changed). The new system will allow for more accurate record keeping and timely submissions. Use of this new web-based application will constitute electronic submission. + +Q 13. What if there is no change in the data that currently exists in the Crossing Inventory? + +Even if the railroad has verified that there is no change in the existing data in the Crossing Inventory, the railroad must submit an update to the Crossing Inventory, electronically or by using Form FRA F 6180.71 at least once every 3 years. In this instance, the Header on the Inventory Form will need to be completed. With respect to item C, “Reason for Update”, in the Header, the box for “Date Change Only” should be checked, in order to signify that the current data in the Crossing Inventory is correct. + +Q 14. Do we have to update crossings that have been closed or are gradeseparated? + +A crossing that has been reported to the Crossing Inventory as closed does not require further updating unless it is reopened. A grade-separated crossing that has been reported to the Crossing Inventory does not require further updating unless it is physically removed in which case it should be reported as closed. + + +Q 15. Do we have to use the paper Form FRA F 6180.71 for updating? + +No, Class I railroads must submit updates to the Crossing Inventory electronically. All other railroads, urban rapid transit operators and the States are encouraged to submit updates to the Crossing Inventory electronically, but may submit hard copy updates. + +Q 16. How long will it take for Inventory updates to appear on FRA’s Web site? + +Electronic submissions will be updated to the inventory immediately following a successful submission (i.e., all required data is provided and passes all validation rules). It generally takes between 1 to 3 months before updates will appear on the Web site for hardcopy submissions. This is an estimate as the timeline is dependent upon the number of hardcopy submissions received and the amount of time to conduct manual data entry. + +Q 17. What is the best way to get started updating records for a State or Railroad that has thousands of crossings? + +For States and Railroads with a large number of crossings, the best way to get started updating the Crossing Inventory is to first determine which crossings have been entered into the Crossing Inventory. This can be accomplished by verification of the Inventory number in both the Crossing Inventory and the respective State or Railroad File. Compare only the Inventory Numbers, and then resolve the status of those that don’t match (Open or Closed, or non-existent in either file). Next, carry the comparison further by verifying Public versus Private crossing type, and then State or Operating Railroad. Once there is agreement with regards to the existing number of crossings, Open or Closed status, Public or Private crossing type, and in which State or on which Operating Railroad, then the balance of the information can be checked, verified, and updated. + +Q 18. How do I get the most current Crossing Inventory data for our State or Railroad? + +The most current Crossing Inventory data is available for download from FRA’s Safetydata Web site. + +Q 19. We are planning to develop our own database software for our own crossing inventory file. Are there consultants that have done this before that we can contact, and is there anything specific that we should know or do before we get started? + +There are several States and Railroads who have hired consulting firms to develop electronic databases for their crossing inventory records and for managing their crossing improvement program and contracts. You will need to contact the individual States or Railroads to determine which firms have performed in a satisfactory manner. However, if you decide to contract with a firm directly, you should instruct them to develop their data file structure to be compatible with the FRA data file so that data can be directly transferred to FRA without conversion. The consultant should use the Electronic Submission Instructions when developing the software. The Electronic Submission Instructions can be found on the Grade Crossing Inventory System (GCIS) secure site. + +Q 20. Where can I find information regarding the Format and Description of the Crossing Inventory Data Fields for electronic submissions? + + Information regarding the Format and Description of the Crossing Inventory data fields can be found in the Electronic Submission Instructions. The Electronic Submission Instructions can be found on the GCIS secure site. + +Q 21. How do I get crossing inventory data and information for my locale? + +Crossing records can be accessed from FRA’s Safetydata Web site. + +Q 22. Who is responsible for reporting a closed crossing in the Inventory and how is it done? + +The primary operating railroad must report the closure of a highway-rail or pathway crossing to the Crossing Inventory, but the State may also report the closure of a public crossing. + +Reporting a closed a crossing in the Crossing Inventory is a very simple process. A closed crossing can be reported by completing the Header information and checking “closed” in section C, “Reason for Update”, in the Header of the Inventory Form. The date of the closure, if known, may be shown in Part I.30 or Part I.31, as appropriate. + +A crossing that is closed remains in the Crossing Inventory forever. The Inventory number remains with that location forever, and the number cannot be reused at a different location. However, a crossing that has been closed can be reopened in the Crossing Inventory at any time in the future by simply updating the inventory record. + +Q 23. How do I report a crossing that has previously been closed and is now reopened? + +Complete all of the data fields in the Header and check the “Re-Open” box in Item C of the Header of the Inventory Form. The reporting agency should coordinate with the other agency to update all of the data fields on the Inventory Form that have been assigned to the State and railroad for updating by Appendix B to the Inventory Guide. + +Finally, if a hardcopy Inventory Form update will be submitted to the Crossing Inventory, the Submission Information section of the Inventory Form will also need to be completed. + +Q 24. How do I report the sale of a highway-rail or pathway crossing to the Crossing Inventory? + +First, complete all of the data fields in the Header of the Inventory Form. If the sale of the highway-rail or pathway crossing will result in a new primary operating railroad, check the “Change in Primary Operating RR” box in Item C of the Header of the Inventory Form. However, if the sale of the Highway-Rail or Pathway Crossing will not result in a new primary operating railroad, check “Change in Data” box in item C of the Header of the Inventory Form. In addition, if the sale of the crossing will result in a change to any of the following data fields, update the changed field: + +• Item 1 in Part I of the Inventory Form (“Primary Operating Railroad”) + +• Item 15 in Part I of the Inventory Form (“Parent RR”) + +• Item 16 in Part I of the Inventory Form (“Crossing Owner”) + +Finally, if a hard-copy Inventory Form update will be submitted to the Crossing Inventory, complete the Submission Information section of the Inventory Form as well. + +Q 25. Who needs to provide Latitude / Longitude data and in what format? + +For new or previously unreported crossings, the primary operating railroad is required to obtain and provide this information when submitting the initial Inventory Form to the Crossing Inventory. By design, data cannot be added to the Crossing Inventory without all applicable information being provided for a new or previously unreported crossing. + +States are expected to provide updates for latitude and longitude data for public highway-rail crossings, including those that are grade-separated, and all public pathway crossings. Railroads are to provide updates for latitude and longitude data for private highway-rail crossings, including those that are grade-separated, and all private pathway crossings. + +The FRA Office of Safety uses the WGS-84 (World Geodetic System 1984) datum standard. The Crossing Inventory requires Latitude and Longitude to be submitted in “Degrees.Digital Degrees” (DDD) format. The coordinates are to be measured at the center of the crossing. The measurement values are to be entered in decimal (DDD) format as (nn.nnnnnnn) for Latitude and as (nnn.nnnnnnn) for Longitude. The values need to be taken to at least five (5) decimal places, but seven (7) decimal places are preferred. Please refer to the previous Inventory Guide discussion of Part I, Fields 27 and 28 on the Inventory Form, for additional information which includes conversion instructions from the +“Degrees.Minutes.Seconds” (DMS) format. + +Q 26. How do you determine whether separate Inventory numbers should be assigned to crossings that are located in close proximity to each other? + +For purposes of the Crossing Inventory, a highway-rail crossing consists of those railroad tracks that lie between a pair of warning devices. Therefore, each crossing with its own pair of warning devices must have an Inventory number assigned. + +Q 27. Is a pathway ever considered to be a part of a highway-rail crossing? + +Pathways that are contiguous with, or separate but adjacent to, highway-rail crossings are presumed to be part of the highway-rail crossing and are not considered separate crossings. However, pathways that are located more than 25 feet from the location where a highway, road, or street intersects with one or more railroad tracks are generally considered to be separate pathway crossings. + +Q 28. A crossing that was closed seven years ago is being reopened for highway traffic. Does the crossing need a new inventory number? + + No. Inventory numbers stay with the location to which they were originally assigned. You must use the Inventory number that was previously assigned to the crossing. + +Q 29. A roadway is being modified which will result in the closure of an existing crossing and the opening of a new crossing 100 feet down the track. Since the crossing is essentially being relocated, can I use the Inventory number that has already been assigned? + + No. Inventory numbers stay with the location to which they were originally assigned. A new, unused Crossing Inventory number must be assigned to the new crossing. + +Q 30. Can a railroad or State change all the fields in an existing Inventory Record? + + No. The Responsibility Table for Updating Crossing Inventory Data, in Appendix B of this Guide, lists the data fields for which the railroads and States are responsible for updating. Unless prior written notification has been provided to FRA, if either party attempts to change fields that have not been assigned to it for updating, those changes will be not be implemented. + +Q 31. Can a railroad delegate to another railroad or state its responsibility to update the inventory? + + Yes, a railroad may allow a parent railroad or a State to update the inventory on its behalf. However, the railroad will still be held responsible for timely and accurate submission, regardless of any delegation. If the railroad would like to delegate its responsibility to submit and crossing data to a State agency or a +parent corporation, prior notification must be provided jointly to FRA in writing. + +Q 32. How often must the Inventory Record be updated? + + With the exception of crossing inventory records for grade-separated crossings and closed highway-rail and pathway crossings, the crossing inventory record must be updated at least every 3 years even if nothing has changed at the crossing. However, any crossing closure, change in crossing surface (e.g., timber to rubber) or change in the type of warning device (e.g., crossbuck to flashing lights and gates) must be reported within three months. In addition, FRA encourages updates as other crossing information changes. + +Q 33. Would electronic submission allow a railroad or State to update fields for which it is not responsible? + +The Railroad only has the ability to update the data fields for which it is responsible. Similarly, the State only has the ability to update the data fields for which the State is responsible, regardless of the method used to provide the update. The submitting entity should only submit updated data for processing for which it is responsible. Exceptions to this policy are, however, permitted when both entities have provided prior written notification to FRA. + +Q 34. When a crossing is being changed from Private to Public, what data must be provided by the submitting agency? + + For a change from a private highway-rail grade crossing to a public highway-rail grade crossing, railroads must complete the entire Inventory Form (with the exception of I.20 and III.2.K) with updated information. + + For a change from a private pathway grade crossing to a public pathway grade crossing, railroads must update the Header, Parts I, II, and III.2.K of the Inventory Form and the Submission Information section. + +Q 35. If a private company, port or dock area, or a rail yard has multiple crossings, is it possible to have more than one Inventory number assigned to the facility? + +A. Although one Inventory Number may be assigned for all of the crossings in the facility, there are two reasons why a private company may have more than one Inventory Number: +1. A railroad may assign Inventory Numbers to specific crossings while assigning one Inventory Number to the remaining crossings. + +2. If more than one operating railroad provides service to the private company from its own track (e.g., one track off of railroad X’s track and one track off of railroad Y’s track), each operating railroad must assign a unique Inventory number for the private company. If a crossing accident occurs, the railroad that is involved in the collision must use the Inventory number that it assigned to the private company. + +Q36. How do I report a change in crossing characteristics (such as a change in the crossing surface or a change in the crossing warning devices) that is required by 49 CFR 234.411(c) at a public highway-rail grade crossing to the Crossing Inventory? + +Complete all of the data fields in the Header of the Inventory Form, checking the “Change in Data” box in Item C. + +The primary operating railroad must update all data fields in Parts II and III on the Inventory Form. + +Finally, if a hardcopy Inventory Form update will be submitted to the Crossing Inventory, the primary operating railroad must complete the Submission Information section of the Inventory Form as well. + + + + + +APPENDIX F – High-Speed Rail ID Corridor Designations and Codes + +Key: “#” Use for Rail-Section Identifier (numeric 1 - 9) or use “X” if numeric not used. For High Speed Rail Corridor Codes for any new corridors that are not listed above, contact the FRA Crossing Inventory Program Manager. + +High-Speed Rail Corridor Designations and Codes +Code Corridor Route + +PNW# Pacific +Northwest Vancouver - Seattle - Portland - Eugene + +CAV# California San Diego - Los Angeles - Stockton - Sacramento/Bay Area +CAC# Los Angeles - Bay Area - Sacramento +CLL# Los Angeles - Las Vegas + +CMM# Chicago Hub Chicago - Milwaukee - Minneapolis +CSK# Chicago - Springfield - St. Louis - Kansas City +CIC# Chicago - Indianapolis - Cincinnati +CKD# Chicago - Kalamazoo - Detroit +CTC# Chicago - Toledo - Cleveland +CIL# Indiana Extension: Indianapolis - Louisville + +CCC# Ohio 3 C’s Cleveland - Columbus - Cincinnati + +KEY# Keystone Philadelphia - Harrisburg - Pittsburgh + +EMP# Empire New York - Albany - Buffalo + +NEP# Northern +New England Boston - Portland +NEM# Northern +New England Boston - Montreal +NEW# New England Boston - Albany +NHS# Southern +New England New Haven - Hartford - Springfield + +NEC# Northeast Corridor Washington - Baltimore - Philadelphia - New York - New Haven - Boston + + + + + +Appendix F-1 +High-Speed Rail Corridor Designations and Codes +Code Corridor Route +SER# Southeast Washington - Richmond - Raleigh +SES# Raleigh - Columbia - Savannah - Jesup - Jacksonville +SEC# Raleigh - Durham - Greensboro - Charlotte - Greenville - Atlanta - Macon +SEV# Virginia Extension: Richmond - Hampton Roads +SEG# Georgia Connection: Macon - Jesup + +FLX# Florida Miami - Orlando - Tampa + +GCA# Gulf Coast Atlanta - Birmingham - Meridian - New Orleans +GCM# Mobile - Biloxi - New Orleans - Houston + +SCA# South Central Dallas/Ft Worth - Austin - San Antonia +SCT# Dallas/Ft Worth - Texarkana - Little Rock +SCO# Dallas/Ft Worth - Oklahoma City - Tulsa + + + + + + + +Appendix F-2 +