C.F.R. » Title 49 » CHAPTER II—FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION › PART 225—RAILROAD ACCIDENTS/INCIDENTS: REPORTS CLASSIFICATION, AND INVESTIGATIONS

49 C.F.R. § 225.33

Internal Control Plans

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(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.

(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]

[61 FR 30972, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996; 61 FR 67491, Dec. 23, 1996; 68 FR 10139, Mar. 3, 2003; 75 FR 68909, Nov. 9, 2010]
Notes of Decisions
Cited in 11 cases, 1999–2019 · leading case: BNSF Ry. Co. v. Swanson, 533 F.3d 618 (8th Cir. 2008).
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BNSF Ry. Co. v. Swanson, 533 F.3d 618 (8th Cir. 2008). · cites it 3× “Appellant railroads sought a declaratory judgment that the Minnesota statute was preempted by the FRSA as a result of the Internal Control Plans regulation (ICP), adopted pursuant thereto by the Federal Railroad Administration (FRA) at 49 C.F.R. § 225.33 (a). The district court…”
Grand Trunk W. R.R. v. United States Dep't, 875 F.3d 821 (6th Cir. 2017). · cites it 2× “49 C.F.R. § 225.33 . These regulations were implemented because of concerns that railroad companies were manipulating the reportability of on-the-job incidents.”
Frost v. BNSF Ry. Co., 218 F. Supp. 3d 1122 (D. Mont. 2016). “) Pursuant to Federal Railroad Administration regulations, 49 C.F.R. § 225.33 (a)(1), BNSF maintains an Internal Control Plan which sets forth BNSF policy regarding accident and injury reporting by BNSF employees, (Id.”
Lacy v. CSX Transp., Inc., 520 S.E.2d 418 (W. Va. 1999). · cites it 2× “" 49 C.F.R. § 225.33 (a)(1) (1998). The legal duty imposed upon CSX effectively creates a duty for its employees to reliably report accidents.”
Murphy v. Town of Darien, 210 A.3d 56 (Conn. 2019). “tute making it illegal to, inter alia, "discipline, harass or intimidate [a railroad] employee to discourage the employee from receiving medical **267 attention" was preempted by federal regulation mandating that railroads adopt policy statement declaring that "harassment or…”
Maiden v. Indiana & Ohio Ry. Co., 353 F. Supp. 2d 952 (N.D. Ohio 2005). “” Accident investigations are authorized by 49 C.F.R. § 225.33 , and thus exempted from the prohibition on contact with a represented party.”
Haager v. Chicago Rail Link, LLC, 232 F.R.D. 289 (N.D. Ill. 2005). “Haager” while he was an attorney for the FRA, he would have recommended an investigation “to determine whether the railroad’s actions were in violation of 49 CFR § 225.33 .” Id. Again, this case does not deal with Plaintiffs termination.”
BNSF Ry. Co. v. Box, 470 F. Supp. 2d 855 (C.D. Ill. 2007). · cites it 3× “In carrying out its duties, the FRA has promulgated numerous regulations pertaining to railroad safety, one of which is 49 C.F.R. 225.33. This regulation mandates railroads adopt an internal control plan that includes a policy statement indicating that harassment or intimidation…”
California State Legislative Bd. v. Mineta, 272 F.3d 1169 (9th Cir. 2001). · cites it 2× “On May 25, 2000, George Gavalla, the FRA’s Associate Administrator for Safety, wrote a letter in response, asserting that there was insufficient evidence to sustain a case of intimidation or harassment of Eden by railroad officials in violation of 49 C.F.R. § 225.33 . The letter…”
BNSF Ry. Co. v. Lori Swanson (8th Cir. 2008). · cites it 3× “Appellant railroads sought a declaratory judgment that the Minnesota statute was preempted by the FRSA as a result of the Internal Control Plans regulation (ICP), adopted pursuant thereto by the Federal Railroad Administration (FRA) at 49 C.F.R. § 225.33 (a). The district court…”
Ratledge v. Norfolk S. Ry. Co., 958 F. Supp. 2d 827 (E.D. Tenn. 2013). · cites it 2× “See 49 C.F.R. § 225.33 . 2 The FRA also concluded NRS violated regulations when it did not allow Plaintiff to file an initial injury report, see id.”
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