Federal

Railroad 

Administration

Fiscal Year 2021

Enforcement Report
i

Table of Contents

I. Introduction

II. Summary of Inspections and Audits Performed, and of Enforcement Actions 

Recommended in FY 2021

A. Railroad Safety and Hazmat Compliance Inspections and Audits

1. All Railroads and Other Entities (e.g., Hazmat Shippers) Except Individuals

2. Railroads Only

B. Summary of Railroad Safety Violations Cited by Inspectors, by Regulatory 

Oversight Discipline or Subdiscipline

1. Accident/Incident Reporting

2. Grade Crossing Signal System Safety

3. Hazardous Materials

4. Industrial Hygiene

5. Motive Power and Equipment

6. Railroad Operating Practices

7. Signal and Train Control

8. Track

9. Safety Management Systems

C. FRA and State Inspections of Railroads, Sorted by Railroad Type

1. Class I Railroads

2. Probable Class II Railroads

3. Probable Class III Railroads

D. Inspections and Recommended Enforcement Actions, Sorted by Class I Railroad

1. BNSF Railway Company

2. Canadian National Railway/Grand Trunk Corporation

3. Canadian Pacific Railway/Soo Line Railroad Company

4. CSX Transportation, Inc.

5. The Kansas City Southern Railway Company

6. National Railroad Passenger Corporation

7. Norfolk Southern Railway Company

8. Union Pacific Railroad Company

III. Summaries of Civil Penalty Initial Assessments, Settlements, and Final Assessments

in FY 2021

A. In General

B. Summary 1—Brief Summary, with Focus on Initial Assessments Transmitted

C. Breakdown of Initial Assessments in Summary 1

1. For Each Class I Railroad Individually in FY 2021

2. For Probable Class II Railroads in the Aggregate in FY 2021

3. For Probable Class III Railroads in the Aggregate in FY 2021

4. For Hazmat Shippers in the Aggregate in FY 2021

5. For Contractors in the Aggregate in FY 2021

6. For Other Cases in the Aggregate in FY 2021
ii

D. Summary 2—More Detailed Summary of Settlements and Final Assessments of 

Civil Penalties in FY 2021

E. Breakdown of Settlements and Final Assessments in Summary 2

1. For Each Class I Railroad Individually in FY 2021

2. For Probable Class II Railroads in the Aggregate in FY 2021

3. For Probable Class III Railroads in the Aggregate in FY 2021

4. For Hazmat Shippers in the Aggregate in FY 2021

5. For Contractors in the Aggregate in FY 2021

6. For Other Cases in the Aggregate in FY 2021

IV. Enforcement Actions against Individuals in FY 2021

A. Civil Penalty Cases against Individuals in the Aggregate

B. Other Enforcement Actions against Individuals in the Aggregate

V. Discussion of Railroad Safety—The Relationship of Inspections, Enforcement, and 

Accidents or Incidents

VI. Summary and Analysis of Operating Crew Certification Cases

A. Locomotive Engineer and Operating Crew Review Board (LERB/OCRB)

B. Administrative Hearings

C. Appeals to the Administrator

VII. Summary and Analysis of Administrative Hearing Cases Related to Hazmat 

Violations or Enforcement Actions against Individuals

VIII. Number of Cases Referred to the Attorney General for Civil or Criminal Enforcement

IX. Number and Subject Matter of Compliance Orders, Emergency Orders, or Precursor 

Agreements

Appendix A—“Railroad Safety Civil Penalty Cases Closed during Fiscal Year 2021”
3 

Federal Railroad Administration

Fiscal Year 2021 Enforcement Report

I. INTRODUCTION

For several decades, the Federal Railroad Administration (FRA) has compiled an annual civil 

penalty report summarizing the civil penalty claims for violations of Federal railroad safety 

and hazardous materials (hazmat) statutes, regulations, and orders FRA has closed.

1 As 

authorized by law, FRA issues orders assessing civil penalties for violations of the hazardous 

materials statutes, regulations, and orders.2 Also, as authorized by law, FRA negotiates 

settlements with railroads and other entities subject to its safety jurisdiction to resolve claims 

for civil penalties imposed for failures to comply with specific requirements that promote and 

ensure the safety of the Nation’s freight and passenger railroad operations.3 

Pursuant to the Rail Safety Improvement Act of 2008, FRA expanded the enforcement report 

to include more information about FRA’s safety enforcement activities.4 FRA intends to 

make the enforcement report, with the additional information, available each year by 

December 31 for the preceding fiscal year (FY) (i.e., October 1 through September 30).

This FY 2021 report includes the following: 

• A summary of rail safety and hazmat compliance inspections and audits FRA or State

inspectors conducted and enforcement actions FRA recommended;

• A summary of FRA civil penalty enforcement actions sorted by type of alleged violation

and type of respondent, including railroads, hazmat shippers, contractors, and individuals;

• A discussion of the relationship between inspections and enforcement actions, the

number and rate of reportable accidents and incidents and railroad safety;

• An analysis of locomotive engineer certification cases brought before FRA; and

• A list of civil penalty cases FRA closed (at Appendix A to this report).

1

 See primarily title 49 of the United States Code, chapters 201-213 and 51, respectively (49 U.S.C. ch. 201-213 and 

51, respectively); title 49 of the Code of Federal Regulations (C.F.R.), subtitle B, chapter II (parts 209-244, 270-272) 

and chapter I, subchapter A, Hazardous Materials and Oil Transportation, and subchapter C, Hazardous Materials 

Regulations.

2

 49 U.S.C. ch. 51; 49 C.F.R. § 1.89; 49 C.F.R. part 209.

3

 49 U.S.C. § 103; and 49 C.F.R. § 1.89.

4

 This is consistent with Sections 303 and 307 of the Rail Safety Improvement Act of 2008 (RSIA), Public Law No.

110-432, Division A (122 Stat. 4848), enacted October 16, 2008 (codified at 49 U.S.C. §§ 20120 and 103, note,

respectively). See https://railroads.dot.gov/.
4

II. SUMMARY OF INSPECTIONS AND AUDITS PERFORMED,

AND ENFORCEMENT ACTIONS RECOMMENDED

IN FY 2021

A. RAILROAD SAFETY AND HAZMAT COMPLIANCE INSPECTIONS AND 

AUDITS 

1. All Railroads and Other Entities (e.g., Hazmat Shippers) Except Individuals

Number of Inspection Reports: 71,335

Defects: 258,359

Units: 3,009,319

Number of Observations: 326,891

Number of Reports with a Recommended Violation: 3,627

Number of Recommended Violation Defects: 7,306

Number of Inspection Days: 56,878

2. Railroads Only

Number of Inspection Reports: 64,333

Defects: 243,382

Units: 2,940,187

Number of Observations: 305,670

Number of Reports with a Recommended Violation: 2,861

Number of Recommended Violation Defects: 5,846

Number of Inspection Days: 53,463

B. SUMMARY OF RAILROAD SAFETY VIOLATIONS CITED BY INSPECTORS,

BY REGULATORY OVERSIGHT DISCIPLINE OR SUBDISCIPLINE

1. Accident/Incident Reporting

Violation Type Number of Recommended Violations

Accident Reporting 41

2. Grade Crossing Signal System Safety

Violation Type Number of Recommended Violations

Grade Crossing Signal Safety 347
5

3. Hazardous Materials

Violation Type Number of Recommended Violations

Hazardous Materials 1,775

4. Industrial Hygiene

Violation Type Number of Recommended Violations

Occupational Noise Exposure 0

5. Motive Power and Equipment

Violation Type Number of Recommended Violations

Freight Car Safety Standards 318

Locomotive Safety Standards 489

Passenger Equipment Safety Standards 8

Passenger Train Emergency Preparedness 0

Rear End Marking Devices 1

Safety Appliance Statutes and Regulations 1,666

Safety Glazing Standards 0

Steam Locomotive Inspection and Maintenance 1

All 2,483

6. Railroad Operating Practices

Violation Type Number of Recommended Violations

Alcohol and Drug Use 373

Conductor Qualifications 54

Critical Incident Stress Plans 3

Engineer Qualifications 196

FRA Emergency Order(s) 1

Hours of Service Laws and Regulations 415

Hours of Service Recordkeeping 166

Railroad Communications 22

Railroad Operating Practices 397

Railroad Operating Rules 92

Railroad Safety Enforcement Procedures 8
6

Train Horn/Quiet Zone 2

All 1,729

7. Signal and Train Control

Violation Type Number of Recommended Violations

Signal Inspection Regulations 97

PTC System Implementation 0

All 97

8. Track

Violation Type Number of Recommended Violations

Bridge Safety Standards 1

Bridge Worker Safety Standards 2

Roadway Worker Protection 94

Track Safety Standards 736

All 833

9. Safety Management Systems

Violation Type Number of Recommended Violations

System Safety Program 1

All 1

C. FRA AND STATE INSPECTIONS OF RAILROADS,

SORTED BY RAILROAD TYPE

1. Class I Railroads

Number of Inspection Reports: 46,510

Defects: 181,404

Units: 2,312,502

Number of Observations: 228,898

Number of Reports with a Recommended Violation: 2,441

Number of Recommended Violation Defects: 4,907

Number of Inspection Days: 5 39,664

5 The total number of inspection days for Class I Railroads in II.C.1 of this report is less than the sum of all the 

individual Class I railroads’ inspection days cited in II.D.1-8 of this report because FRA inspectors may visit more 

than one Class I railroad in a day. The same is true for the total number of inspection days for railroads FRA 

believes are Class II and Class III railroads. See note six for an explanation regarding FRA’s determination of Class 

I, Class II and Class III railroads.
7

2. Probable Class II Railroads6

Number of Inspection Reports: 2,156

Defects: 7,130

Units: 144,333

Number of Observations: 10,138

Number of Reports with a Recommended Violation: 66

Number of Recommended Violation Defects: 121

Number of Inspection Days: 1,966

3. Probable Class III Railroads

Number of Inspection Reports: 15,667

Defects: 54,848

Units: 483,352

Number of Observations: 66,634

Number of Reports with a Recommended Violation: 354

Number of Recommended Violation Defects: 818

Number of Inspection Days: 13,679

6

 FRA has identified seven of the eight Class I railroads based on information they filed with the Surface 

Transportation Board (STB) for calendar year 2020—the latest full year available—regarding their annual operating 

revenues. See STB Web site (http://www.stb.dot.gov) under https://prod.stb.gov/reports-data/economicdata/annual-report-financial-data/, which provides a list of railroads that have filed such information by year. STB 

requires such filings only from Class I railroads. See 49 C.F.R. § 1241.11 and Ex Parte No. 393 (Sub-No. 2), 

decided Oct. 28, 1988, 1988 WL 224990 (I.C.C.). Therefore, FRA identified the eighth Class I railroad, Amtrak,

based on FRA research of other data. Generally, Class II and III railroads are not required to report their annual 

operating revenues to STB. As a result, FRA identified railroads that are probably Class II and Class III railroads 

based on its research of railroad revenues, which does not cover commuter railroads. FRA concludes that the 

following railroads are probably Class II railroads: Alaska Railroad Corp.; Buffalo & Pittsburgh Railroad, Inc.; 

Florida East Coast Railway Co.; Indiana Rail Road Co.; Iowa Interstate Railroad, Ltd.; Montana Rail Link; Paducah 

& Louisville Railway Co.; Springfield Terminal Railway Co. and other regional railroads (including Boston & 

Maine Corp., Maine Central Railroad Co., Pan Am Southern LLC, and Portland Terminal Co.) (all held by Pan Am 

Railways, Inc.); Rapid City, Pierre & Eastern Railroad, Inc.; Wheeling & Lake Erie Railway Co.; and Wisconsin & 

Southern Railroad Co. Note that switching and terminal railroads are, by definition, Class III railroads, without 

regard to their annual operating revenues. 49 C.F.R. § 1201.1-1(d).
8

D. INSPECTIONS AND RECOMMENDED ENFORCEMENT ACTIONS, 

SORTED BY CLASS I RAILROAD

1. BNSF Railway Company

Number of Inspection Reports: 9,989

Defects: 36,820

Units: 485,992

Number of Observations: 47,951

Number of Reports with a Recommended Violation: 404

Number of Recommended Violation Defects: 693

Number of Inspection Days: 8,793

2. Canadian National Railway/Grand Trunk Corporation

Number of Inspection Reports: 2,196

Defects: 9,426

Units: 118,941

Number of Observations: 11,220

Number of Reports with a Recommended Violation: 94

Number of Recommended Violation Defects: 174

Number of Inspection Days: 1,937

3. Canadian Pacific Railway/Soo Line Railroad Company

Number of Inspection Reports: 1,353

Defects: 5,820

Units: 75,112

Number of Observations: 7,185

Number of Reports with a Recommended Violation: 65

Number of Recommended Violation Defects: 92

Number of Inspection Days: 1,225
9 

4. CSX Transportation, Inc.

Number of Inspection Reports: 8,963

Defects: 33,646

Units: 475,599

Number of Observations: 44,680

Number of Reports with a Recommended Violation: 380

Number of Recommended Violation Defects: 848

Number of Inspection Days: 7,998

5. The Kansas City Southern Railway Company

Number of Inspection Reports: 1,156

Defects: 4,816

Units: 75,285

Number of Observations: 5,669

Number of Reports with a Recommended Violation: 31

Number of Recommended Violation Defects: 59

Number of Inspection Days: 1,041

6. National Railroad Passenger Corporation (Amtrak)

Number of Inspection Reports: 1,097

Defects: 1,447

Units: 15,285

Number of Observations: 5,093

Number of Reports with a Recommended Violation: 16

Number of Recommended Violation Defects: 18

Number of Inspection Days: 939

7. Norfolk Southern Railway Company

Number of Inspection Reports: 7,874

Defects: 33,377

Units: 402,528

Number of Observations: 39,766

Number of Reports with a Recommended Violation: 482

Number of Recommended Violation Defects: 1,124

Number of Inspection Days: 7,078
10 

8. Union Pacific Railroad Company

Number of Inspection Reports: 13,882

Defects: 56,052

Units: 663,760

Number of Observations: 67,334

Number of Reports with a Recommended Violation: 969

Number of Recommended Violation Defects: 1,899

Number of Inspection Days: 12,078

III. SUMMARIES OF CIVIL PENALTY INITIAL ASSESSMENTS,

SETTLEMENTS, AND FINAL ASSESSMENTS IN FY 2021

A. IN GENERAL7

Summary 1 

Summary 1 provides a broad overview of penalties FRA initially assessed during FY 2021, the 

initial penalty assessment for cases closed during FY 2021, and the amount of the settlement or 

the final assessment of civil penalty. FRA has transitioned to a paperless enforcement system, 

and under that system, a case includes only one violation report, and not multiple reports, as in 

the past.

Summary 1, below, provides the following: 

• The number of violations for which FRA assessed a civil penalty in FY 2021 (through

demand letters or, in hazmat cases, notices of probable violation);

• The number of violation reports that FRA declined to enforce in FY 2021 after legal

review;

• The initial amount of civil penalties assessed in FY 2021 (the amount of the civil penalty

specified in FRA’s demand letter or, for hazmat cases, a notice of probable violation that

was transmitted to a respondent (i.e., railroad, hazmat shipper, contractor, or individual

that received the penalty assessment)) regardless of whether FRA closed the cases during

FY 2021;

• The civil penalties FRA initially assessed (the “potential collectible amount” or “POCA”

listed in in Appendix A) in all cases FRA settled or otherwise closed during FY 2021;

and

• The total amount of civil penalties assessed or settled during FY 2021.8

7

 The totals in this section exclude civil penalties against individuals. Those are addressed in section IV.A. of this 

report.

8

 In this report, FRA rounded settlement amounts to the nearest whole dollar.
11 

Summary 2 

To provide more transparency, Summary 2, below, shows initial assessment information only for 

those cases closed during FY 2021. All numbers in Summary 2 reflect the initial assessments 

that resulted in FY 2021 settlements or final assessments even though the initial 

assessments may have occurred in a prior fiscal year. This summary shows (1) the difference 

between the initial amount of civil penalties assessed and the settlement or final assessment 

amount, and (2) the difference between the revised assessment amount (or what Appendix A 

describes as the “provable collectible amount” or “PRCA”) and the final assessment or 

settlement amount. The revised assessment amount is the amount FRA calculated it could 

legally collect after evaluating the facts of the violation. 

Caveat: The number of violation reports in a single case may range from one to five or more, 

depending on a number of factors, and a single violation report may allege one or more 

violations. Therefore, the number of cases with civil penalties initially assessed or settled or 

finally assessed during a specific period cannot be used for a realistic comparison. This report 

provides the information, as required by the statute, in Summary 1 and Summary 2. However, 

the number of violations provides a better opportunity for standardized review and comparison 

than does the number of cases. 

B. SUMMARY 1—BRIEF SUMMARY, WITH FOCUS ON INITIAL

ASSESSMENTS TRANSMITTED

Total number of cases with civil penalties initially assessed in FY 2021: 3,460

Total number of violations with civil penalties initially assessed in FY 

2021: 

3,672

Total number of violation reports declined during legal review in FY 

2021: 

53

Total amount of civil penalties initially assessed (POCA) for 

violations in cases transmitted in FY 2021: 

$15,533,171 

Total amount of civil penalties initially assessed (POCA) for

violations in cases finally assessed or settled in FY 2021: 

$16,566,343

Total final civil penalty assessment or settlement in FY 2021: $12,371,183 
12

C. BREAKDOWN OF INITIAL ASSESSMENTS IN SUMMARY 1

1. For Each Class I Railroad Individually in FY 2021

AMTRAK

Number of cases with civil penalties initially assessed: 26

Number of violations with civil penalties initially assessed: 26

Number of violation reports declined during legal review: 0

Initial amount of civil penalty assessed: $73,500

BNSF RAILWAY COMPANY

Number of cases with civil penalties initially assessed: 345

Number of violations with civil penalties initially assessed: 359

Number of violation reports declined during legal review: 1

Initial amount of civil penalty assessed: $1,314,999

CANADIAN NATIONAL RAILWAY/GRAND TRUNK CORPORATION

Number of cases with civil penalties initially assessed: 101

Number of violations with civil penalties initially assessed: 102

Number of violation reports declined during legal review: 0

Initial amount of civil penalty assessed: $363,500

CANADIAN PACIFIC RAILWAY/SOO LINE RAILROAD COMPANY

Number of cases with civil penalties initially assessed: 70

Number of violations with civil penalties initially assessed: 72

Number of violation reports declined during legal review: 1

Initial amount of civil penalty assessed: $262,000
13 

CSX TRANSPORTATION, INC.

Number of cases with civil penalties initially assessed: 383

Number of violations with civil penalties initially assessed: 401

Number of violation reports declined during legal review: 2

Initial amount of civil penalty assessed: $1,624,192

THE KANSAS CITY SOUTHERN RAILWAY COMPANY

Number of cases with civil penalties initially assessed: 29

Number of violations with civil penalties initially assessed: 30

Number of violation reports declined during legal review: 0

Initial amount of civil penalty assessed: $117,000

NORFOLK SOUTHERN RAILWAY COMPANY

Number of cases with civil penalties initially assessed: 437

Number of violations with civil penalties initially assessed: 451

Number of violation reports declined during legal review: 6

Initial amount of civil penalty assessed: $1,939,998

UNION PACIFIC RAILROAD COMPANY

Number of cases with civil penalties initially assessed: 807

Number of violations with civil penalties initially assessed: 837

Number of violation reports declined during legal review: 4

Initial amount of civil penalty assessed: $3,269,498
14

2. For Probable Class II Railroads in the Aggregate in FY 2021

Number of cases with civil penalties initially assessed: 63

Number of violations with civil penalties initially assessed: 64

Number of violation reports declined during legal review: 0

Initial amount of civil penalty assessed: $275,000

3. For Probable Class III Railroads in the Aggregate in FY 20219

Number of cases with civil penalties initially assessed: 416

Number of violations with civil penalties initially assessed: 468

Number of violation reports declined during legal review: 33

Initial amount of civil penalty assessed: $1,865,500

4. For Hazmat Shippers in the Aggregate in FY 2021

Number of cases with civil penalties initially assessed: 677

Number of violations with civil penalties initially assessed: 737

Number of violation reports declined during legal review: 6

Initial amount of civil penalty assessed: $3,861,987

5. For Contractors in the Aggregate in FY 2021

Number of cases with civil penalties initially assessed: 28

Number of violations with civil penalties initially assessed: 33

Number of violation reports declined during legal review: 0

Initial amount of civil penalty assessed: $86,500

9 This category may be over-inclusive as STB jurisdiction may not extend to some of the commuter railroads that 

FRA has listed as Class III railroads. Regardless, the “Total final civil penalty assessment or settlement in FY 2021” 

amount remains correct as FRA includes data from enforcement actions against regulated entities that are otherwise 

not subject to STB jurisdiction.
15 

6. For Other Cases in the Aggregate in FY 202110

Number of cases with civil penalties initially assessed: 78

Number of violations with civil penalties initially assessed: 92

Number of violation reports declined during legal review: 0

Initial amount of civil penalty assessed: $479,497

10 The category of “other cases” includes all hazardous materials civil penalty cases against respondents that are 

coded in FRA’s railroad enforcement system as contractors rather than shippers. Some entities have been classified 

as contractors based on criteria unrelated to the shipment of hazardous materials but perform functions under 

hazardous materials regulations that are associated with shippers. 
16 

D. SUMMARY 2—MORE DETAILED SUMMARY OF SETTLEMENTS AND

FINAL ASSESSMENTS OF CIVIL PENALTIES IN FY 2021 

Total number of cases closed in FY 2021: 3,755

Total number of violations in cases closed in FY 2021: 3,993

Total initial amount of civil penalty assessed for cases closed 

(POCA):

$17,293,842

Total final amount of civil penalty assessed or settlement

for cases closed:

$12,371,183

Amount terminated (generally due to legal defenses

presented during settlement negotiations): 

$853,998

Amount of revised assessment after terminations (PRCA): $16,446,845

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed:

$4,922,659

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed:

$4,075,662
17

E. BREAKDOWN OF SETTLEMENTS AND FINAL ASSESSMENTS

IN SUMMARY 2

1. For Each Class I Railroad Individually in FY 2021

AMTRAK

Number of cases closed: 35

Number of violations in cases closed: 35

Initial amount of civil penalty assessed for cases closed (POCA): $132,500

Final amount of civil penalty assessed or settlement

for cases closed:

$101,190

Amount terminated (generally due to legal defenses

presented during settlement negotiations):

$2,000

Amount of revised assessment after terminations (PRCA): $130,500

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed:

$31,310

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed:

$29,310
18

BNSF RAILWAY COMPANY

Number of cases closed: 409

Number of violations in cases closed: 428

Initial amount of civil penalty assessed for cases closed (POCA): $1,744,999 

Final amount of civil penalty assessed or settlement

for cases closed:

$1,274,502

Amount terminated (generally due to legal defenses

presented during settlement negotiations):

$21,000

Amount of revised assessment after terminations (PRCA): $1,723,999

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed:

$470,497

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed:

$449,497

CANADIAN NATIONAL RAILWAY/GRAND TRUNK CORPORATION

Number of cases closed: 156

Number of violations in cases closed: 159

Initial amount of civil penalty assessed for cases closed (POCA): $627,500

Final amount of civil penalty assessed or settlement

for cases closed:

$446,331

Amount terminated (generally due to legal defenses

presented during settlement negotiations):

$17,500

Amount of revised assessment after terminations (PRCA): $610,000

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed:

$181,169

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed:

$163,669
19

CANADIAN PACIFIC RAILWAY/SOO LINE RAILROAD COMPANY

Number of cases closed: 81

Number of violations in cases closed: 84

Initial amount of civil penalty assessed for cases closed (POCA): $324,500

Final amount of civil penalty assessed or settlement

for cases closed:

$215,419

Amount terminated (generally due to legal defenses

presented during settlement negotiations):

$15,000

Amount of revised assessment after terminations (PRCA): $309,500

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed:

$109,081

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed:

$94,081

CSX TRANSPORTATION, INC.

Number of cases closed: 407

Number of violations in cases closed: 426

Initial amount of civil penalty assessed for cases closed (POCA): $1,712,455

Final amount of civil penalty assessed or settlement

for cases closed:

$1,189,257

Amount terminated (generally due to legal defenses

presented during settlement negotiations):

$92,000

Amount of revised assessment after terminations (PRCA): $1,620,455

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed:

$523,198

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed:

$431,198
20

THE KANSAS CITY SOUTHERN RAILWAY COMPANY

Number of cases closed: 44

Number of violations in cases closed: 44

Initial amount of civil penalty assessed for cases closed (POCA): $187,500

Final amount of civil penalty assessed or settlement

for cases closed:

$139,450

Amount terminated (generally due to legal defenses

presented during settlement negotiations):

$0

Amount of revised assessment after terminations (PRCA): $187,500

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed:

$48,050

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed:

$48,050

NORFOLK SOUTHERN RAILWAY COMPANY

Number of cases closed: 562

Number of violations in cases closed: 579

Initial amount of civil penalty assessed for cases closed (POCA): $2,662,998

Final amount of civil penalty assessed or settlement

for cases closed:

$1,827,491

Amount terminated (generally due to legal defenses

presented during settlement negotiations):

$159,999

Amount of revised assessment after terminations (PRCA): $2,502,999

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed:

$835,507

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed:

$675,508
21

UNION PACIFIC RAILROAD COMPANY

Number of cases closed: 838

Number of violations in cases closed: 871

Initial amount of civil penalty assessed for cases closed (POCA): $3,351,893

Final amount of civil penalty assessed or settlement

for cases closed:

$2,636,557

Amount terminated (generally due to legal defenses

presented during settlement negotiations):

$9,500

Amount of revised assessment after terminations (PRCA): $3,342,393

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed:

$715,336

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed:

$705,836

2. For Probable Class II Railroads in the Aggregate in FY 2021

Number of cases closed: 78

Number of violations in cases closed: 81

Initial amount of civil penalty assessed for cases closed (POCA): $417,000

Final amount of civil penalty assessed or settlement

for cases closed:

$316,840

Amount terminated (generally due to legal defenses

presented during settlement negotiations):

$5,000

Amount of revised assessment after terminations (PRCA): $412,000

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed:

$100,160

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed:

$95,160
22

3. For Probable Class III Railroads in the Aggregate in FY 2021

Number of cases closed: 464

Number of violations in cases closed: 515

Initial amount of civil penalty assessed for cases closed (POCA): $1,951,500

Final amount of civil penalty assessed or settlement

for cases closed:

$1,116,176

Amount terminated (generally due to legal defenses

presented during settlement negotiations):

$227,500

Amount of revised assessment after terminations (PRCA): $1,724,000

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed:

$835,324

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed:

$607,824

4. For Hazmat Shippers in the Aggregate in FY 2021

Number of cases closed: 577

Number of violations in cases closed: 652

Initial amount of civil penalty assessed for cases closed (POCA): $3,718,998

Final amount of civil penalty assessed or settlement

for cases closed:

$2,778,615

Amount terminated (generally due to legal defenses

presented during settlement negotiations):

$292,500

Amount of revised assessment after terminations (PRCA): $3,433,499

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed:

$970,383

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed:

$654,884
23

5. For Contractors in the Aggregate in FY 2021

Number of cases closed: 58

Number of violations in cases closed: 72

Initial amount of civil penalty assessed for cases closed (POCA): $248,000

Final amount of civil penalty assessed or settlement

for cases closed:

$171,930

Amount terminated (generally due to legal defenses

presented during settlement negotiations):

$11,000

Amount of revised assessment after terminations (PRCA): $237,000

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed:

$76,070

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed:

$65,070

6. For Other Cases in the Aggregate in FY 202111

Number of cases closed: 46

Number of violations in cases closed: 47

Initial amount of civil penalty assessed for cases closed (POCA): $213,999

Final amount of civil penalty assessed or settlement

for cases closed:

$157,425

Amount terminated (generally due to legal defenses

presented during settlement negotiations):

$999

Amount of revised assessment after terminations (PRCA): $213,000

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed:

$56,574

Difference between revised assessment (PRCA) and final $55,575

11 The category of “other cases” includes all hazardous materials civil penalty cases against respondents that are 

coded in FRA’s railroad enforcement system as contractors rather than shippers. Some entities have been classified 

as contractors based on criteria unrelated to the shipment of hazardous materials but perform functions under 

hazardous materials regulations that are associated with shippers.
24

assessment or settlement amount for cases closed:

IV. ENFORCEMENT ACTIONS AGAINST INDIVIDUALS IN FY 2021

A. CIVIL PENALTY CASES AGAINST INDIVIDUALS IN THE AGGREGATE

Total number of civil penalty cases initially assessed in FY 2021: 0

Total number of violations with civil penalties initially 

assessed in FY 2021:

0

Total initial amount of civil penalty assessed in FY 2021: $0

Number of civil penalty cases closed in FY 2021: 0

Total number of violations in cases closed in FY 2021: 0

Total initial amount of civil penalty assessed for cases 

closed in FY 2021:

$0

Total final amount of civil penalty assessed 

(or settlement) for cases closed in FY 2021:

$0

Amount terminated (generally due to legal defenses

presented during settlement negotiations) for cases 

closed in FY 2021:

$0

Amount of revised assessment (PRCA) after terminations: $0

Difference between revised civil penalty assessment (PRCA) and 

final civil penalty assessment for cases closed in FY 2021:

$0

Difference between initial amount of civil penalty

assessed (POCA) and final settlement amount for a

violation in a case closed in FY 2021:

$0
25 

B. OTHER ENFORCEMENT ACTIONS AGAINST INDIVIDUALS IN THE

AGGREGATE

Number of notices of proposed disqualification 

issued and served in FY 2021: 

8

Number of proposed disqualification cases closed 

in FY 2021: 

7

Number of warning letters issued by Office of the

Chief Counsel in FY 2021: 

0

Number of warning letters issued by 

FRA Office of Railroad Safety in FY 2021:

5

V. DISCUSSION OF RAILROAD SAFETY—THE RELATIONSHIP OF

INSPECTIONS, ENFORCEMENT, AND ACCIDENTS OR

INCIDENTS

In 2008, FRA was statutorily mandated to commission a report by an independent consultant 

examining FRA’s approach to achieving industry compliance with the Federal railroad safety 

laws and the hazmat transportation safety laws and their implementing regulations, and the role 

of civil penalties in that process.12 The final report, dated July 15, 2009, was entitled, “The 

Federal Railroad Administration’s Use of Civil Penalties in the Federal Railroad Safety 

Program.” This report concludes on page 13 that— 

[t]he fair and professional conduct of an agency’s regulatory function requires the

informed exercise of discretion beginning with the FRA inspector on the ground and

continuing with FRA’s regional discipline specialist, the regional administrator, and

headquarters officials in FRA’s Office of Railroad Safety and Office of Chief

Counsel. This use of discretion helps ensure that the agency’s exercise of

enforcement power is calibrated to achieve an effect that is proportional to the

specific circumstances of a given violation. The final element of the agency’s

discretion in the civil penalty context is the exercise of the power to compromise

authorized and guided by law, directed by the Executive, and strongly encouraged the

Judiciary.

FRA’s exercise of the statutory authority to compromise civil penalty assessments 

serves the purpose of encouraging compliance by ensuring that the enforcement 

process is proportional in those cases [in which FRA assesses penalties]. [Using] the 

enforcement hand, seen (as in the case of civil penalty assessments) or unseen (as 

12 Consolidated Appropriations Act, 2008 (H.R. 2764; Public Law 110-161), House Appropriations Committee

Print, Division K—Transportation, Housing and Urban Development, and Related Agencies Appropriations 

Act, 2008, Explanatory Statement, at 2367.
26 

during FRA inspectors’ daily interactions with railroad personnel regarding safety 

issues), as consistently as possible across the railroad industry . . . results in a rational, 

effective safety program.

As the independent consultant noted, FRA has long sought to determine whether enforcement 

actions measurably correlate with the imposition of civil penalties and with specific safety

performance improvements. While the available data permits some measurement of safety 

improvements in a functional area covered by an entire rule or an entire safety program, the data 

cannot be used to determine whether detectable safety improvements are directly attributable to 

discrete civil penalties.13 Accordingly, FRA relies heavily upon the knowledge and expertise of 

its field inspectors who are most familiar with the unique attributes of specific railroad 

operations, geographic territories, facilities, and safety practices. Subjectively, their nuanced 

perceptions and judgments indicate that issuing civil penalties yields observable improvements 

in safety practices and compliance with the law. However, it is important to note that civil 

penalties are not FRA’s only enforcement tool. 

Thus, while FRA cannot precisely quantify the impact of civil penalties, it carefully monitors 

railroad reactions and responses to enforcement activity, and adjusts the intensity and duration 

of focused oversight as necessary. FRA compiles and analyzes a vast amount of data derived 

from reports the regulated railroads prepare and file with FRA. However, the independent 

consultant’s report submitted to Congress found that the data FRA uses to identify and track 

safety trends is typically developed separately from regulatory provisions that ameliorate the 

conditions leading to particular accident causes that have civil penalties associated with them. 

Results of this research found no meaningful correlation between specific accident cause codes 

and use of a civil penalty to enforce a specific regulatory provision, making statistically valid and 

reliable comparisons exceedingly difficult and statistically suspect or grossly inaccurate. 

In addition, examining FRA’s civil penalty enforcement in a vacuum, without considering the 

numerous other factors influencing positive safety outcomes, such as railroad management and 

individual rail worker behavior and activity, is not possible. One must consider FRA’s 

regulatory regime as a whole instead of as its component parts. Specific regulatory provisions 

can complement one another to minimize or prevent conditions that contribute to an accident. 

However, the complexity of the regulatory scheme may conceal the magnitude of any one 

regulatory provision’s contribution to the positive safety outcome. As stated in the independent 

consultant’s report on page 41—

[o]ne fruitful way to take a holistic view of the effects of the safety program is to look

at accident rates over the long term. Rates, which are normalized by million train miles

traveled, more reliably indicate the true state of railroad safety than do raw accident

numbers. As FRA began to promulgate the first versions of major rules such as track

safety standards and power brakes in the 1970’s, the adverse trend in railroad safety

was slowed and then sharply reversed. There are few sharp lines of demarcation

because railroads and shippers often began to modify their behavior during the

rulemaking process; a new safety rule typically takes effect a considerable time after it

is issued; and enforcement can occur only after the effective date of the rule.

13 The Federal Railroad Administration’s Use of Civil Penalties in the Federal Railroad Safety Program (July 15, 

2009) at 40-41.
27 

SUMMARY AND ANALYSIS OF OPERATING CREW 

CERTIFICATION CASES13

A. LOCOMOTIVE ENGINEER AND OPERATING CREW REVIEW BOARD

(LERB/OCRB)

Petitions for relief filed with the LERB/OCRB in FY 2021: 24 

[10 Conductor + 14 Locomotive Engineer] 

Decisions issued by the LERB/OCRB in FY 2021: 19 

[8 Conductor + 11 Locomotive Engineer] 

[2 Locomotive Engineer petitions were withdrawn] 

Average length of time for decision in FY 2021: 360 days from the date petition filed14 

(294 days from the date of the railroad’s

response to the appeal to the date that a 

decision was issued15) 

B. ADMINISTRATIVE HEARINGS

Number of pending cases before the 

Administrative Hearing Officer (AHO) as of October 1, 2021: 2 

Number of requests for review 

by the AHO received during FY 2021: 0 

Number of cases closed by the AHO during FY 2021:16 1 

Number of pending AHO cases as of October 1, 2021: 1 

Average length of time for decision or other disposition: 12 months 

13 FRA’s Locomotive Engineer Review Board (LERB) reviews petitions for initial review of railroad decisions 

denying or revoking locomotive engineer certifications (49 C.F.R. part 240), while the Operating Crew Review 

Board (OCRB) reviews petitions for initial review of railroad decisions denying or revoking conductor certifications

(49 C.F.R. part 242). Because both Boards share the same board members, FRA merged the two review boards, 

effective January 14, 2021, so that both crew members will have their petitions reviewed solely by the OCRB. See

85 Fed. Reg. 81290 (Dec. 15, 2020).

14 The LERB/OCRB endeavors to render a decision on each petition within 180 days from the date that the 

railroad’s response is received or from the date upon which the railroad’s response period has lapsed, which equates 

to 240 days from the date the petition is filed. This excludes any delay issuing an interim order may cause, where 

one or more of the parties initially provided incomplete information. Due to requests granted through emergency 

waivers, each railroad is allowed an additional 60 days to file its response, and thus the LERB/OCRB’s goals for 

rendering a decision during most of this period equate to 300 days from the date the petition is filed. 15 See preceding footnote. 16 The number of cases the AHO closed includes cases closed by decision, stipulation, or dismissal.
28

APPEALS TO THE ADMINISTRATOR

Appeals to the Administrator from the AHO decisions filed in FY 2021: 0

Number of Appeals Pending during FY 2021: 2

(as of October 1, 2021, there were 2 cases pending)

Decisions issued by the Administrator during FY 2021: 0

Average length of time for decision issued in FY 2021: N/A

(from close of record to decision)

VII. SUMMARY AND ANALYSIS OF ADMINISTRATIVE HEARING 

CASES RELATED TO HAZMAT VIOLATIONS OR 

ENFORCEMENT ACTIONS AGAINST INDIVIDUALS

Number of hearings requested in FY 2021: 2

Number of hearing-request cases completed in FY 2021: 0

VIII. NUMBER OF CASES REFERRED TO THE ATTORNEY GENERAL 

FOR CIVIL OR CRIMINAL ENFORCEMENT

Number of cases referred to the Attorney General for civil enforcement in FY 2021: 0

Number of cases referred to the Attorney General for criminal enforcement in FY 2021: 0

IX. NUMBER AND SUBJECT MATTER OF COMPLIANCE ORDERS,

EMERGENCY ORDERS, OR PRECURSOR AGREEMENTS 

During FY 2021, FRA issued Emergency Order No. 32, Emergency Order Requiring Face Mask 

Use in Railroad Operations, 86 Fed. Reg. 11888 (Mar. 1, 2021).
APPENDIX A

“Railroad Safety Civil Penalty Cases Closed during Fiscal Year 2021”
1 

Federal Railroad Administration

OFFICE OF THE CHIEF COUNSEL

Office of Safety Law

RAILROAD SAFETY CIVIL PENALTY CASES

CLOSED DURING FISCAL YEAR 2021

This report summarizes the disposition of all civil penalty cases for which the Federal Railroad

Administration (FRA) reached an agreement to collect a civil penalty, issued an order requiring the

payment of a civil penalty, or otherwise closed under the Federal railroad safety statutes and

regulations and the hazardous materials transportation (HMT) laws during fiscal year 2021. FRA closed

cases under most of the railroad safety laws by settlement, and under the HMT laws generally by final

orders of assessment. Total penalty settlements and final assessments against companies, 

summarized in this report, were as follows: 

Railroad safety (except HMT) $ 9,435,143

HMT $ 2,936,040

Total Civil Penalties $ 12,371,183 

FRA collected no civil penalty settlements or final assessments from individuals for alleged violations of

the railroad safety laws.

The Federal Railroad Safety Statutes and Regulations

In the 1890s, Congress began regulating the railroad industry for safety purposes by enacting narrowly

drawn laws to deal with discrete rail safety issues such as safety appliances and locomotive inspection.

Having determined the need for more comprehensive regulation, Congress enacted the Federal Railroad

Safety Act of 1970 (FRSA), which granted rulemaking authority over "all areas of railroad safety...." FRA

has exercised this authority by issuing a wide variety of rail safety regulations. See Parts 209 through 244, 

and 270 through 272, of Title 49 of the Code of Federal Regulations. Civil penalties are an important means 

of enforcing those regulations and the safety statutes.

In 1975, the Hazardous Materials Transportation Act (HMTA) added civil penalties to the criminal

penalties already available for hazardous materials violations. HMTA regulations, although issued by the

Department of Transportation's (DOT's) Pipeline and Hazardous Materials Safety Administration, are

generally enforced by the DOT administration responsible for each mode of transportation, e.g., by FRA in

cases involving the transportation or shipment of hazardous materials by rail. In 1994, Congress repealed

the FRSA, HMTA, and other Federal railroad safety statutes and recodified them in title 49 of the United States

Code, chapters 51 and 201-213.

The Civil Penalty Process

 To promote safety compliance, FRA inspectors and participating States submit reports alleging violations 

of Federal safety and HMT laws and regulations to the Office of Safety Law of the Office of the Chief Counsel. 

This Office reviews the reports for legal sufficiency, aggregates those of one type containing one or more 

alleged violations into a single case, assesses a penalty for each alleged violation, and transmits the case to 

the railroad, shipper, individual, or other entity in a penalty demand letter or, if an HMT case, a Notice of 

Probable Violation. After a respondent in such a case has conducted its own investigation, and unless the 

respondent pays the full amount of the initial assessment, negotiations are held, during which the 

respondentpresents defenses or arguments for mitigation and offers of settlement or final assessment are 

exchanged. 

 In these negotiations, FRA focuses on applying the statutory assessment criteria to the facts of each 

case. When an agreement is reached, payment is generally due within 30 days of its execution. A more 

detailed statement of this process and FRA's enforcement policies are included in 49 CFR Part 209, Appendix 

A. Where settlement cannot be reached, FRA may refer cases to the Department of Justice for litigation. The

Attorney General, with FRA's active participation, may bring suit to enforce the penalty assessed in the

appropriate Federal court.
2 

 HMT cases are normally concluded by FRA issuing an order of assessment predicated on a finding of a 

knowing violation. If an HMT case is not resolved informally, a respondent may request a formal hearing on 

FRA’s allegations before a hearing officer designated by the Chief Counsel and then appeal an adverse decision 

to the Administrator of FRA before judicial litigation. 

 FRA ordinarily closes the vast majority of its civil penalty cases without need for litigation, consistent with 

the rail safety statutory scheme that promotes compromise based on specified settlement criteria. The 

negotiation process takes into account the strengths and weaknesses of each case and the overall goals of the 

safety program. We believe that collection of these penalties, while just one of many compliance tools FRA 

uses, contributes significantly to improving regulatory compliance and achieving safety program goals. 

John T. Seguin

Assistant Chief Counsel for Safety
3

Abbreviations and Explanations of Terms Used in this Report

The type of violation alleged in each civil penalty case can be identified using the following codes, one of

which appears as a suffix to each case number:

AD Alcohol and Drug Use

Accident Reports Regulations

Bridge Safety Standards

Bridge Worker Safety Standards

Conductor Certification Regulations

Critical Incident Stress

Railroad Safety Enforcement

Engineer Qualifications

Freight Car Safety Standards

Grade Crossing Signal Safety

Safety Glazing Standards

Hazardous Materials Regulations

Hours of Service Laws

Hours of Service Recordkeeping

Locomotive Safety Standards

Passenger Train Emergency Preparedness

Passenger Equipment Safety Standards

Roadway Maintenance Machines

Railroad Operating Practices

Railroad Operating Rules

Railroad Standards and Procedures

Roadway Worker Protection

Safety Appliance Statutes

Signal Inspection Regulations and Positive Train Control

Train Horn/Quiet Zone

Track Safety Standards

AR

BSS

BW

CC

CIS

EP

EQ

FCS

GC

GS

HMT

HS

HSR

LI

PEP

PEQ

RMM

ROP

ROR

RSP

RW

SA

SI

TH

TS
4

FRA identifies railroads and other respondents by a respondent code (see the legend provided at the end of 

this report), which appears as the letters in the case number after "FRA No. ". FRA typically identifies 

hazardous materials cases involving shippers by a respondent code beginning with the letter "Z". FRA 

typically identifies cases involving contractors by a respondent code beginning with the letter "X". 

The column labeled "POCA" shows the initial penalty assessed in the case. The column labeled "PRCA" 

shows the total amount of the initial assessment for alleged violations that FRA concluded it would be able to 

sustain if the case were litigated. There are two situations when PRCA does not equal POCA. The first 

situation would be if FRA concluded one or more of the violations initially alleged in the case likely could not 

be sustained. FRA considers such violations “terminated.” The second situation would be if FRA determined 

that the initial penalty assessment for the violation was incorrect. For such cases, FRA corrects the penalty 

amount. Such violations are considered "partially terminated." 

Cases against individuals (who are liable for civil penalties for willful violations) are identified by the prefix 

"Indpen" and are listed separately. The "Comments" column shows the violation number of terminated or

partially terminated violations.
5

FRA Civil Penalty Cases against IndividualsClosed in Fiscal Year 2021

FRA No. Initial Penalty Settlement Amount Settlement Date

Demanded

None
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

AA 2020-001(SA) 1 $5,000 $5,000 $3,750 9/28/2021

AB 2020-001(HS) 1 $1,000 $1,000 $1,000 3/25/2021

AB 2020-002(GC) 1 $1,000 $1,000 $1,000 3/25/2021

ABS 2021-001(ROP) 1 $2,000 $2,000 $1,500 9/28/2021

ACWR 2020-001(SA) 1 $5,000 $5,000 $3,800 2/1/2021

ACWR 2021-001(GC) 1 $5,000 $5,000 $3,400 3/22/2021

ACWR 2021-002(TS) 1 $2,500 $2,500 $2,500 8/20/2021

AGR 2019-001(ROP) 1 $9,500 $9,500 $7,600 9/29/2021

AGR 2020-001(ROP) 1 $7,500 $7,500 $5,700 9/29/2021

AGR 2020-002(HMT) 1 $5,000 $5,000 $3,850 9/29/2021

AGR 2020-003(SA) 1 $5,000 $5,000 $3,850 9/29/2021

AGR 2021-001(SA) 2 $5,000 $5,000 $3,850 9/29/2021

AGR 2021-002(SA) 1 $2,500 $2,500 $1,925 9/29/2021

AGR 2021-003(SA) 1 $2,500 $2,500 $1,925 9/29/2021

AKMD 2019-001(TS) 3 $10,000 $10,000 $6,000 9/29/2021

AKMD 2019-002(TS) 3 $7,500 $7,500 $4,500 9/29/2021

AKMD 2019-003(TS) 1 $2,000 $2,000 $1,200 9/29/2021

AKMD 2019-004(TS) 4 $20,000 $20,000 $12,000 9/29/2021

AKMD 2019-005(TS) 2 $7,500 $7,500 $4,500 9/29/2021

AKMD 2019-006(TS) 1 $1,000 $1,000 $950 9/29/2021

AKMD 2021-001(TS) 1 $5,000 $5,000 $3,000 9/29/2021

ALE 2020-002(LI) 1 $2,500 $2,500 $2,500 1/22/2021

ALE 2020-003(SA) 1 $2,500 $2,500 $2,500 5/5/2021

ALE 2020-004(LI) 1 $2,500 $2,500 $2,500 5/5/2021

ALE 2021-001(ROR) 1 $2,500 $2,500 $1,700 9/13/2021

ALE 2021-002(ROR) 1 $2,500 $2,500 $1,500 9/13/2021

ALE 2021-003(ROR) 1 $7,500 $7,500 $4,650 9/13/2021

ALE 2021-005(RSP) 1 $5,000 $5,000 $3,500 9/13/2021

ALE 2021-006(EQ) 1 $5,000 $5,000 $3,400 9/13/2021

ALE 2021-007(CC) 1 $6,000 $6,000 $4,020 9/13/2021

ALE 2021-008(ROR) 1 $5,000 $5,000 $3,800 9/13/2021

ALE 2021-009(ROR) 1 $5,000 $5,000 $3,600 9/13/2021

ALE 2021-010(EQ) 1 $7,500 $7,500 $4,575 9/13/2021

ALM 2019-001(TS) 1 $5,000 $5,000 $3,000 9/29/2021

ALM 2019-002(TS) 11 $25,000 $25,000 $15,000 9/29/2021

ALM 2019-003(TS) 1 $1,000 $1,000 $950 9/29/2021

ALS 2020-005(SA) 1 $5,000 $5,000 $3,800 9/30/2021

ALS 2020-006(SA) 1 $2,500 $2,500 $1,900 9/30/2021

ALS 2020-007(LI) 1 $2,500 $2,500 $1,900 9/30/2021

ALS 2020-008(SA) 1 $5,000 $5,000 $3,800 9/30/2021

ALS 2020-009(LI) 1 $2,500 $2,500 $1,900 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ALS 2020-010(SA) 1 $5,000 $5,000 $3,800 9/30/2021

ALS 2020-011(SA) 1 $5,000 $5,000 $3,800 9/30/2021

ALS 2020-012(SA) 1 $5,000 $5,000 $3,800 9/30/2021

ALS 2020-013(TS) 1 $5,000 $5,000 $2,500 9/30/2021

ALS 2020-014(TS) 1 $2,500 $2,500 $1,900 9/30/2021

ALS 2020-016(TS) 1 $2,500 $2,500 $1,900 9/30/2021

ALS 2020-018(SA) 1 $5,000 $5,000 $3,900 9/30/2021

ALS 2020-020(SA) 1 $5,000 $5,000 $3,800 9/30/2021

ALS 2020-022(FCS) 1 $2,500 $2,500 $1,900 9/30/2021

AM 2020-001(GC) 1 $1,000 $1,000 $892 2/2/2021

AM 2020-002(ROP) 1 $2,000 $2,000 $1,100 2/2/2021

AM 2020-003(TS) 1 $5,000 $5,000 $3,250 2/2/2021

AM 2020-004(AD) 1 $2,500 $2,500 $1,500 2/2/2021

AM 2020-005(AD) 1 $2,500 $2,500 $1,500 2/2/2021

AM 2020-006(AD) 1 $2,500 $2,500 $1,500 2/2/2021

ARR 2020-002(GC) 1 $2,500 $2,500 $1,950 3/26/2021

ARR 2020-003(ROP) 1 $7,500 $7,500 $4,500 3/26/2021

ARS 2017-001(TS) 1 $5,000 $5,000 $4,250 9/28/2021

ASRY 2020-001(GC) 1 $2,500 $2,500 $1,750 1/12/2021

ASRY 2020-002(GC) 1 $1,000 $1,000 $900 1/12/2021

ATK 2020-004(RW) 1 $2,000 $0 $0 9/27/2021 Case Terminated

ATK 2020-005(ROP) 1 $7,500 $7,500 $5,700 9/27/2021

ATK 2020-006(RW) 1 $5,000 $5,000 $3,850 9/27/2021

ATK 2020-007(LI) 1 $2,500 $2,500 $1,875 9/27/2021

ATK 2020-008(PEQ) 1 $2,500 $2,500 $1,875 9/27/2021

ATK 2020-009(PEQ) 1 $2,500 $2,500 $1,875 9/27/2021

ATK 2020-010(PEQ) 1 $2,500 $2,500 $1,875 9/27/2021

ATK 2020-011(PEQ) 1 $2,500 $2,500 $1,875 9/27/2021

ATK 2020-012(PEQ) 1 $5,000 $5,000 $3,850 9/27/2021

ATK 2020-013(RW) 1 $25,000 $25,000 $20,000 9/27/2021

ATK 2020-014(RW) 1 $2,000 $2,000 $1,500 9/27/2021

ATK 2020-015(PEQ) 1 $2,500 $2,500 $1,925 9/27/2021

ATK 2020-016(PEQ) 1 $2,500 $2,500 $1,925 9/27/2021

ATK 2020-017(TH) 1 $5,000 $5,000 $3,800 9/27/2021

ATK 2020-018(TS) 1 $1,000 $1,000 $950 9/27/2021

ATK 2020-019(TS) 1 $5,000 $5,000 $3,850 9/27/2021

ATK 2020-020(TS) 1 $5,000 $5,000 $3,750 9/27/2021

ATK 2020-021(TS) 1 $5,000 $5,000 $3,750 9/27/2021

ATK 2020-022(PEQ) 1 $5,000 $5,000 $3,850 9/27/2021

ATK 2020-025(RW) 1 $1,500 $1,500 $1,125 9/27/2021

ATK 2020-026(AR) 1 $2,500 $2,500 $1,925 9/27/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ATK 2020-027(AR) 1 $2,500 $2,500 $1,925 9/27/2021

ATK 2020-028(AR) 1 $2,500 $2,500 $1,925 9/27/2021

ATK 2020-029(AR) 1 $2,500 $2,500 $1,925 9/27/2021

ATK 2020-030(AR) 1 $2,500 $2,500 $1,925 9/27/2021

ATK 2020-031(AR) 1 $2,500 $2,500 $1,925 9/27/2021

ATK 2020-032(AR) 1 $2,500 $2,500 $1,925 9/27/2021

ATK 2020-033(AR) 1 $2,500 $2,500 $1,925 9/27/2021

ATK 2020-034(AR) 1 $2,500 $2,500 $1,925 9/27/2021

ATK 2020-035(AR) 1 $2,500 $2,500 $1,925 9/27/2021

ATK 2020-036(AR) 1 $2,500 $2,500 $1,925 9/27/2021

ATK 2020-037(HS) 1 $1,000 $1,000 $950 9/27/2021

ATK 2021-001(TS) 1 $2,000 $2,000 $1,600 9/27/2021

ATK 2021-002(HSR) 1 $1,000 $1,000 $950 9/27/2021

ATK 2021-003(RSP) 1 $9,500 $9,500 $7,315 9/27/2021

AZER 2019-004(FCS) 1 $2,500 $2,500 $1,900 12/21/2020

AZER 2020-001(SA) 1 $2,500 $2,500 $1,975 9/29/2021

AZER 2021-001(SA) 1 $2,500 $2,500 $1,950 9/29/2021

AZER 2021-002(SA) 1 $2,500 $2,500 $1,950 9/29/2021

BAR 2001-001(LI) 3 $5,000 $0 $0 12/10/2020 Case Terminated

BAYL 2020-001(LI) 2 $4,000 $4,000 $3,120 9/29/2021

BAYL 2020-002(SA) 1 $5,000 $5,000 $3,900 9/29/2021

BAYL 2020-003(RSP) 1 $9,500 $9,500 $8,550 9/29/2021

BAYL 2020-004(SA) 1 $5,000 $5,000 $3,900 9/29/2021

BAYL 2020-005(RSP) 1 $9,500 $9,500 $8,550 9/29/2021

BB 2020-001(GC) 1 $5,000 $5,000 $3,500 11/17/2020

BHRR 2021-001(ROP) 1 $2,000 $2,000 $1,500 9/28/2021

BLF 2019-002(GC) 1 $5,000 $5,000 $4,250 8/10/2021

BLF 2019-003(GC) 1 $5,000 $5,000 $4,250 8/10/2021

BLF 2021-001(GC) 1 $5,000 $5,000 $4,250 8/10/2021

BLU 2020-001(GC) 1 $2,500 $2,500 $1,675 9/28/2021

BLU 2021-001(GC) 1 $5,000 $5,000 $3,750 9/28/2021

BNSF 2016-404(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2018-494(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2019-221(HMT) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2019-238(HMT) 1 $3,000 $3,000 $2,190 9/28/2021

BNSF 2019-244(HMT) 1 $3,000 $3,000 $2,190 9/28/2021

BNSF 2019-256(HMT) 1 $4,000 $4,000 $2,920 9/28/2021

BNSF 2019-259(HMT) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2019-323(HMT) 1 $7,500 $7,500 $5,100 9/28/2021

BNSF 2019-367(ROP) 1 $19,000 $19,000 $13,110 9/28/2021

BNSF 2019-520(HS) 1 $2,000 $2,000 $2,000 9/28/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

BNSF 2019-527(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2019-532(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2019-537(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2019-542(HS) 1 $2,000 $2,000 $2,000 9/28/2021

BNSF 2020-002(SA) 1 $1,000 $1,000 $892 9/28/2021

BNSF 2020-007(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-017(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-022(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-027(BW) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-032(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-037(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-042(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-046(HMT) 2 $10,000 $10,000 $6,500 9/28/2021

BNSF 2020-056(HMT) 1 $5,000 $5,000 $3,400 9/28/2021

BNSF 2020-062(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-067(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-071(ROP) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-072(SA) 1 $2,500 $2,500 $2,075 9/28/2021

BNSF 2020-082(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-087(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-092(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-097(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-103(TS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-105(TS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-106(GC) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-107(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-108(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-110(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-112(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-113(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-115(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-117(ROP) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-118(TS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-120(HMT) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-122(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-123(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-126(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-127(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-128(HMT) 1 $4,000 $4,000 $2,920 9/28/2021

BNSF 2020-129(TS) 2 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-130(TS) 1 $5,000 $5,000 $3,650 9/28/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

BNSF 2020-132(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-133(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-135(TS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-136(TS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-137(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-138(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-139(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-140(ROP) 1 $5,000 $5,000 $3,800 9/28/2021

BNSF 2020-141(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-143(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-144(TS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-145(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-146(ROP) 1 $9,500 $9,500 $6,935 9/28/2021

BNSF 2020-147(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-148(ROP) 1 $9,500 $9,500 $6,935 9/28/2021

BNSF 2020-149(HMT) 1 $1,000 $1,000 $892 9/28/2021

BNSF 2020-150(HS) 1 $2,000 $2,000 $2,000 9/28/2021

BNSF 2020-151(HS) 1 $4,000 $4,000 $4,000 9/28/2021

BNSF 2020-152(HS) 1 $4,000 $2,000 $1,784 9/28/2021 Terminated 

Violations: 2

BNSF 2020-153(HS) 1 $2,000 $2,000 $1,784 9/28/2021

BNSF 2020-154(HSR) 1 $1,000 $1,000 $892 9/28/2021

BNSF 2020-155(TS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-156(GC) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-158(LI) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2020-159(LI) 1 $10,000 $10,000 $7,300 9/28/2021

BNSF 2020-160(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-161(RW) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-162(ROP) 1 $10,000 $10,000 $7,300 9/28/2021

BNSF 2020-163(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-164(TS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-165(TS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-166(TS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-168(ROP) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2020-169(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-170(TS) 2 $27,000 $27,000 $23,034 9/28/2021

BNSF 2020-171(FCS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-173(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-174(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-175(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-176(LI) 1 $2,500 $2,500 $1,825 9/28/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

BNSF 2020-177(LI) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-178(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-179(TS) 4 $65,000 $65,000 $47,450 9/28/2021

BNSF 2020-180(TS) 1 $2,500 $2,500 $1,900 9/28/2021

BNSF 2020-181(ROP) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-183(TS) 1 $2,500 $2,500 $1,900 9/28/2021

BNSF 2020-184(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-185(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-186(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-187(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-188(ROP) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2020-189(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-190(FCS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-191(ROP) 1 $9,500 $9,500 $6,935 9/28/2021

BNSF 2020-193(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-194(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-195(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-196(RW) 1 $3,000 $3,000 $2,460 9/28/2021

BNSF 2020-198(TS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-199(TS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-200(HMT) 1 $2,000 $2,000 $1,360 9/28/2021

BNSF 2020-201(HMT) 1 $2,000 $2,000 $1,360 9/28/2021

BNSF 2020-203(TS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-204(HS) 1 $2,000 $2,000 $1,784 9/28/2021

BNSF 2020-205(HS) 1 $2,000 $2,000 $1,784 9/28/2021

BNSF 2020-206(TS) 2 $7,500 $7,500 $6,000 9/28/2021

BNSF 2020-208(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-209(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-210(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-211(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-212(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-213(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-214(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-215(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-216(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-217(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-218(HMT) 1 $2,000 $2,000 $1,360 9/28/2021

BNSF 2020-219(TS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-220(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-221(TS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-223(ROP) 1 $7,500 $7,500 $5,475 9/28/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

BNSF 2020-224(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-225(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-226(ROP) 1 $9,500 $9,500 $6,935 9/28/2021

BNSF 2020-228(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-229(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-230(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-231(ROP) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-232(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-233(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-234(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-235(LI) 1 $1,000 $1,000 $892 9/28/2021

BNSF 2020-236(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-237(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-238(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-239(LI) 1 $10,000 $10,000 $7,300 9/28/2021

BNSF 2020-240(TS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-241(TS) 2 $5,000 $5,000 $4,000 9/28/2021

BNSF 2020-243(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-244(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-245(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-246(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-247(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-248(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-249(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-250(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-251(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-253(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-254(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-255(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-256(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-257(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-258(FCS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-259(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-260(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-261(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-262(HS) 1 $3,000 $3,000 $2,676 9/28/2021

BNSF 2020-263(HSR) 1 $3,000 $3,000 $2,676 9/28/2021

BNSF 2020-264(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-265(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-266(TS) 1 $1,000 $1,000 $892 9/28/2021

BNSF 2020-268(FCS) 1 $2,500 $2,500 $1,825 9/28/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

BNSF 2020-269(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-270(HS) 1 $2,000 $2,000 $1,784 9/28/2021

BNSF 2020-271(HS) 1 $2,000 $2,000 $1,784 9/28/2021

BNSF 2020-272(HSR) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-273(HMT) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2020-274(ROP) 1 $9,500 $9,500 $6,935 9/28/2021

BNSF 2020-275(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-276(LI) 1 $1,500 $1,500 $1,095 9/28/2021

BNSF 2020-277(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-278(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-279(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-280(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-281(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-282(TS) 1 $1,000 $1,000 $892 9/28/2021

BNSF 2020-283(ROP) 1 $9,500 $9,500 $6,935 9/28/2021

BNSF 2020-284(ROP) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2020-285(ROP) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2020-286(ROP) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-288(ROP) 1 $9,500 $9,500 $6,935 9/28/2021

BNSF 2020-289(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-290(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-291(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-292(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-293(ROP) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2020-294(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-295(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-296(GC) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-297(GC) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-298(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-299(GC) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-300(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-301(TS) 1 $5,000 $0 $0 9/28/2021 Case Terminated

BNSF 2020-302(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-303(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-305(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-306(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-308(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-309(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-310(TS) 1 $2,500 $2,500 $1,900 9/28/2021

BNSF 2020-311(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-312(FCS) 1 $5,000 $5,000 $3,650 9/28/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

BNSF 2020-313(HS) 1 $1,000 $1,000 $892 9/28/2021

BNSF 2020-314(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-315(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-316(ROP) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2020-317(ROP) 1 $9,500 $9,500 $6,935 9/28/2021

BNSF 2020-319(HMT) 1 $4,000 $4,000 $2,920 9/28/2021

BNSF 2020-320(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-321(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-323(TS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-324(FCS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-325(SA) 1 $2,500 $2,500 $1,750 9/28/2021

BNSF 2020-326(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-329(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-330(ROP) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2020-331(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-332(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-333(TS) 3 $7,500 $7,500 $4,875 9/28/2021

BNSF 2020-334(LI) 1 $4,000 $4,000 $2,920 9/28/2021

BNSF 2020-335(ROP) 1 $9,500 $9,500 $6,935 9/28/2021

BNSF 2020-336(HS) 1 $2,000 $2,000 $1,784 9/28/2021

BNSF 2020-338(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-339(SA) 1 $10,000 $10,000 $7,300 9/28/2021

BNSF 2020-340(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-341(RW) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2020-343(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-344(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-345(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-346(SA) 1 $2,500 $2,500 $2,500 9/28/2021

BNSF 2020-347(FCS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-348(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-349(ROP) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2020-350(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-351(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-352(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-353(ROP) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2020-354(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-355(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-356(ROP) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2020-357(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-358(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2020-359(FCS) 1 $2,500 $2,500 $1,825 9/28/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

BNSF 2020-360(ROP) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-362(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-363(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-364(SA) 1 $2,500 $2,500 $1,625 9/28/2021

BNSF 2020-365(SA) 1 $2,500 $2,500 $2,000 9/28/2021

BNSF 2020-366(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-367(FCS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-368(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-369(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-370(SI) 1 $1,000 $1,000 $892 9/28/2021

BNSF 2020-372(TS) 1 $5,000 $5,000 $4,000 9/28/2021

BNSF 2020-373(TS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-375(TS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-376(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-378(TH) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-379(SA) 1 $2,500 $2,500 $1,625 9/28/2021

BNSF 2020-380(SA) 1 $5,000 $5,000 $3,250 9/28/2021

BNSF 2020-381(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-382(SA) 1 $5,000 $2,500 $2,500 9/28/2021 Partially 

Terminated 

Violations: 1

BNSF 2020-383(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-384(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-385(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-388(GC) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-392(TS) 1 $15,000 $15,000 $10,950 9/28/2021

BNSF 2020-394(SA) 1 $2,500 $2,500 $2,000 9/28/2021

BNSF 2020-395(SA) 1 $999 $999 $999 9/28/2021

BNSF 2020-397(HSR) 1 $2,000 $2,000 $1,784 9/28/2021

BNSF 2020-398(ROP) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2020-400(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-402(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-403(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-407(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-408(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-409(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-412(FCS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-413(TS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-414(AD) 1 $2,000 $2,000 $1,784 9/28/2021

BNSF 2020-415(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-416(SA) 1 $2,500 $2,500 $1,825 9/28/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

BNSF 2020-417(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-418(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-419(ROP) 2 $15,000 $15,000 $10,950 9/28/2021

BNSF 2020-422(TS) 2 $15,000 $15,000 $10,950 9/28/2021

BNSF 2020-423(TS) 2 $10,000 $10,000 $7,300 9/28/2021

BNSF 2020-424(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-427(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-428(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-429(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-432(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-433(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-434(FCS) 1 $6,000 $6,000 $4,380 9/28/2021

BNSF 2020-437(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-438(ROP) 1 $15,000 $9,500 $6,935 9/28/2021 Partially 

Terminated 

Violations: 1

BNSF 2020-440(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-441(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-442(RSP) 1 $9,500 $5,500 $4,750 9/28/2021 Partially 

Terminated 

Violations: 1

BNSF 2020-445(TS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-446(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-447(ROP) 1 $9,500 $9,500 $6,935 9/28/2021

BNSF 2020-448(HS) 1 $2,000 $2,000 $1,784 9/28/2021

BNSF 2020-450(TS) 2 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-451(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-452(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-453(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-455(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-456(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-457(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-458(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-460(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-461(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-462(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-463(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-465(FCS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-466(CC) 1 $4,000 $4,000 $2,600 9/28/2021

BNSF 2020-467(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-468(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-470(SA) 1 $5,000 $5,000 $3,650 9/28/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

BNSF 2020-471(ROP) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2020-472(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-473(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-475(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-476(FCS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2020-477(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-478(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2020-479(ROP) 1 $20,000 $20,000 $12,000 9/28/2021

BNSF 2021-002(HMT) 1 $5,000 $5,000 $3,400 9/28/2021

BNSF 2021-003(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-004(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2021-007(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-008(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-009(TS) 3 $12,500 $12,500 $9,125 9/28/2021

BNSF 2021-012(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-013(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-014(LI) 1 $4,000 $4,000 $2,920 9/28/2021

BNSF 2021-017(TS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-018(RW) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2021-019(ROP) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2021-022(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-023(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-024(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-027(ROP) 1 $15,000 $15,000 $10,950 9/28/2021

BNSF 2021-028(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-032(HSR) 1 $5,000 $5,000 $4,460 9/28/2021

BNSF 2021-033(HSR) 1 $8,000 $8,000 $7,136 9/28/2021

BNSF 2021-037(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-038(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-039(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-042(TS) 2 $7,500 $7,500 $5,475 9/28/2021

BNSF 2021-043(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-047(HS) 1 $1,000 $1,000 $908 9/28/2021

BNSF 2021-048(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2021-053(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-057(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-058(FCS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-062(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-063(TS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-067(HSR) 1 $2,000 $2,000 $1,784 9/28/2021

BNSF 2021-068(HS) 1 $2,000 $2,000 $1,816 9/28/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

BNSF 2021-072(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-073(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-077(TS) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-078(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2021-082(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-083(LI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-087(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2021-088(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-092(TS) 3 $4,500 $4,500 $3,285 9/28/2021

BNSF 2021-095(SI) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-096(GC) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2021-097(TS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2021-100(TS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2021-101(SA) 1 $2,500 $2,500 $1,825 9/28/2021

BNSF 2021-105(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2021-106(SA) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2021-108(ROP) 1 $2,000 $2,000 $1,460 9/28/2021

BNSF 2021-111(TS) 1 $5,000 $5,000 $3,650 9/28/2021

BNSF 2021-114(HS) 1 $2,000 $2,000 $1,816 9/28/2021

BNSF 2021-117(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

BNSF 2021-120(HS) 1 $1,000 $1,000 $908 9/28/2021

BNSF 2021-122(HS) 1 $1,000 $1,000 $908 9/28/2021

BNSF 2021-124(HS) 1 $2,000 $2,000 $1,816 9/28/2021

BNSF 2021-134(HS) 1 $1,000 $1,000 $908 9/28/2021

BNSF 2021-138(HS) 1 $1,000 $1,000 $908 9/28/2021

BNSF 2021-139(HS) 1 $2,000 $2,000 $1,816 9/28/2021

BNSF 2021-143(HS) 1 $2,000 $2,000 $1,784 9/28/2021

BNSF 2021-144(HS) 1 $2,000 $2,000 $1,816 9/28/2021

BNSF 2021-148(HS) 1 $2,000 $2,000 $1,816 9/28/2021

BNSF 2021-149(HS) 1 $1,000 $1,000 $1,000 9/28/2021

BNSF 2021-153(HS) 1 $2,000 $2,000 $1,816 9/28/2021

BNSO 2020-001(ROP) 1 $2,000 $2,000 $1,460 9/28/2021

BNSO 2020-002(ROP) 1 $2,000 $0 $0 9/28/2021 Case Terminated

BNSO 2020-003(PEQ) 1 $5,000 $5,000 $4,000 9/28/2021

BPRR 2019-002(SA) 1 $2,500 $2,500 $1,950 9/29/2021

BPRR 2020-001(LI) 1 $2,500 $2,500 $2,000 9/29/2021

BPRR 2020-002(HMT) 2 $8,000 $8,000 $6,400 9/29/2021

BPRR 2020-003(SA) 1 $5,000 $5,000 $4,100 9/29/2021

CAGY 2020-001(TS) 1 $5,000 $5,000 $3,000 9/29/2021

CAGY 2020-002(TS) 2 $10,000 $10,000 $6,000 9/29/2021

CAGY 2020-003(TS) 1 $5,000 $5,000 $3,000 9/29/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CAMD 2019-001(TS) 1 $1,000 $1,000 $892 7/14/2021

CAMD 2020-001(TS) 2 $3,500 $3,500 $2,392 7/14/2021

CANX 2020-001(AD) 1 $10,000 $10,000 $10,000 4/28/2021

CANX 2020-002(AD) 1 $5,000 $5,000 $5,000 4/28/2021

CATQ 2021-001(HMT) 1 $2,000 $2,000 $2,000 9/29/2021

CBR 2018-001(HS) 1 $1,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-002(HS) 1 $1,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-003(ROP) 1 $9,500 $0 $0 2/4/2021 Case Terminated

CBR 2018-004(ROP) 1 $7,500 $0 $0 2/4/2021 Case Terminated

CBR 2018-005(SA) 1 $2,500 $0 $0 2/4/2021 Case Terminated

CBR 2018-006(SA) 1 $2,500 $0 $0 2/4/2021 Case Terminated

CBR 2018-007(GC) 1 $5,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-008(GC) 1 $5,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-009(GC) 1 $5,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-010(GC) 1 $5,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-011(GC) 1 $5,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-012(GC) 1 $5,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-013(GC) 1 $5,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-014(GC) 1 $5,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-015(GC) 1 $5,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-016(GC) 1 $5,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-017(GC) 1 $1,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-018(CC) 1 $2,500 $0 $0 2/4/2021 Case Terminated

CBR 2018-019(GC) 1 $2,500 $0 $0 2/4/2021 Case Terminated

CBR 2018-021(LI) 1 $2,500 $0 $0 2/4/2021 Case Terminated

CBR 2018-022(EQ) 1 $1,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-023(HSR) 1 $1,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-024(HS) 1 $1,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-025(HS) 1 $1,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-026(HS) 1 $1,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-027(HS) 1 $1,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-028(HS) 1 $1,000 $0 $0 2/4/2021 Case Terminated

CBR 2018-029(HS) 1 $1,000 $0 $0 2/4/2021 Case Terminated

CBR 2019-001(ROP) 1 $7,500 $0 $0 2/4/2021 Case Terminated

CBR 2020-001(GC) 1 $5,000 $0 $0 4/19/2021 Case Terminated

CCHA 2019-001(LI) 1 $2,500 $2,500 $1,950 9/29/2021

CCRL 2020-001(GC) 1 $2,500 $2,500 $1,900 8/4/2021

CCT 2021-001(TS) 1 $5,000 $5,000 $4,000 4/6/2021

CCT 2021-002(TS) 1 $5,000 $5,000 $3,500 4/6/2021

CCT 2021-003(TS) 1 $5,000 $5,000 $3,500 4/6/2021

CCT 2021-004(TS) 5 $21,000 $21,000 $16,000 4/19/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CCT 2021-005(TS) 1 $5,000 $5,000 $3,500 9/8/2021

CDOT 2018-001(PEQ) 1 $2,500 $0 $0 3/10/2021 Case Terminated

CDOT 2018-002(LI) 1 $1,000 $0 $0 3/10/2021 Case Terminated

CDOT 2019-002(ROP) 1 $7,500 $0 $0 3/11/2021 Case Terminated

CFI 2020-001(HMT) 1 $2,000 $2,000 $1,750 5/13/2021

CFRC 2020-001(AR) 1 $2,500 $2,500 $1,750 10/22/2020

CFRC 2020-002(ROR) 1 $9,500 $9,500 $7,000 4/14/2021

CLNA 2020-001(TS) 2 $11,000 $11,000 $8,853 7/15/2021

CLNA 2020-002(TS) 1 $10,000 $10,000 $8,000 7/27/2021

CLNA 2020-003(TS) 2 $5,000 $5,000 $4,000 7/27/2021

CLNA 2021-001(ROP) 1 $2,000 $2,000 $2,000 7/15/2021

CN 2020-001(LI) 1 $2,500 $2,500 $1,835 9/24/2021

CN 2020-002(LI) 1 $2,500 $2,500 $1,835 9/24/2021

CN 2020-003(LI) 1 $2,500 $2,500 $1,835 9/24/2021

CN 2020-004(ROR) 1 $28,500 $28,500 $19,500 9/24/2021

CN 2020-005(ROR) 1 $7,500 $7,500 $5,000 9/24/2021

CN 2020-006(ROR) 1 $9,500 $9,500 $6,800 9/24/2021

CN 2020-007(ROR) 1 $5,000 $5,000 $3,400 9/24/2021

CN 2020-008(FCS) 1 $2,500 $2,500 $1,725 9/24/2021

CN 2020-009(LI) 1 $2,500 $2,500 $1,775 9/24/2021

CN 2020-010(LI) 1 $2,500 $2,500 $1,775 9/24/2021

CN 2020-011(SA) 1 $5,000 $5,000 $3,750 9/24/2021

CN 2020-012(LI) 1 $2,500 $2,500 $1,775 9/24/2021

CN 2020-013(LI) 1 $2,500 $2,500 $1,700 9/24/2021

CN 2020-014(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-015(FCS) 1 $2,500 $2,500 $1,750 9/24/2021

CN 2020-016(SA) 1 $5,000 $5,000 $3,800 9/24/2021

CN 2020-017(SA) 1 $5,000 $5,000 $3,700 9/24/2021

CN 2020-018(SA) 1 $2,500 $2,500 $1,800 9/24/2021

CN 2020-019(FCS) 1 $2,500 $2,500 $1,760 9/24/2021

CN 2020-020(LI) 1 $2,500 $2,500 $1,850 9/24/2021

CN 2020-021(LI) 1 $2,500 $2,500 $1,850 9/24/2021

CN 2020-022(LI) 1 $2,500 $2,500 $1,850 9/24/2021

CN 2020-023(HMT) 1 $2,000 $2,000 $1,500 9/24/2021

CN 2020-024(HMT) 1 $7,500 $7,500 $5,850 9/24/2021

CN 2020-025(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-026(SA) 1 $5,000 $5,000 $3,800 9/24/2021

CN 2020-027(SA) 1 $5,000 $5,000 $3,675 9/24/2021

CN 2020-028(HMT) 1 $12,000 $12,000 $7,560 9/24/2021

CN 2020-029(HMT) 1 $3,000 $3,000 $2,280 9/24/2021

CN 2020-030(HMT) 1 $4,000 $4,000 $3,040 9/24/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CN 2020-031(SA) 1 $5,000 $5,000 $3,675 9/24/2021

CN 2020-032(SA) 1 $5,000 $5,000 $3,800 9/24/2021

CN 2020-033(SA) 1 $5,000 $5,000 $3,675 9/24/2021

CN 2020-034(FCS) 1 $2,500 $2,500 $1,780 9/24/2021

CN 2020-035(FCS) 1 $2,500 $2,500 $1,800 9/24/2021

CN 2020-036(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-037(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-038(TS) 1 $5,000 $5,000 $3,850 9/24/2021

CN 2020-039(SA) 1 $5,000 $5,000 $3,800 9/24/2021

CN 2020-040(LI) 1 $2,500 $2,500 $1,700 9/24/2021

CN 2020-041(SA) 1 $2,500 $2,500 $1,750 9/24/2021

CN 2020-042(SA) 1 $2,500 $2,500 $1,750 9/24/2021

CN 2020-043(SA) 1 $2,500 $2,500 $1,750 9/24/2021

CN 2020-044(SA) 1 $5,000 $5,000 $3,750 9/24/2021

CN 2020-045(SA) 1 $5,000 $5,000 $3,750 9/24/2021

CN 2020-046(FCS) 1 $2,500 $2,500 $1,725 9/24/2021

CN 2020-047(FCS) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-048(FCS) 1 $2,500 $2,500 $1,600 9/24/2021

CN 2020-049(SA) 1 $5,000 $5,000 $3,800 9/24/2021

CN 2020-050(SA) 1 $2,500 $2,500 $1,900 9/24/2021

CN 2020-051(SA) 1 $5,000 $5,000 $3,500 9/24/2021

CN 2020-052(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-053(SA) 1 $5,000 $5,000 $3,800 9/24/2021

CN 2020-054(LI) 1 $2,500 $2,500 $1,850 9/24/2021

CN 2020-055(FCS) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-056(FCS) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-057(LI) 1 $1,500 $1,500 $1,095 9/24/2021

CN 2020-058(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-059(LI) 1 $2,000 $2,000 $1,290 9/24/2021

CN 2020-060(LI) 1 $1,000 $1,000 $892 9/24/2021

CN 2020-061(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-062(SA) 1 $2,500 $2,500 $1,875 9/24/2021

CN 2020-063(SA) 1 $2,500 $2,500 $1,875 9/24/2021

CN 2020-064(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-065(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-066(HMT) 3 $15,000 $15,000 $11,700 9/24/2021

CN 2020-067(HMT) 1 $7,500 $7,500 $6,000 9/24/2021

CN 2020-068(FCS) 1 $2,500 $2,500 $1,725 9/24/2021

CN 2020-069(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-070(SA) 1 $5,000 $5,000 $3,800 9/24/2021

CN 2020-071(AR) 1 $1,000 $1,000 $892 9/24/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CN 2020-072(ROP) 1 $2,000 $2,000 $1,480 9/24/2021

CN 2020-073(SA) 1 $5,000 $5,000 $3,750 9/24/2021

CN 2020-074(SA) 1 $5,000 $5,000 $3,600 9/24/2021

CN 2020-075(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-076(SA) 1 $5,000 $5,000 $3,650 9/24/2021

CN 2020-077(ROP) 1 $9,500 $9,500 $7,450 9/24/2021

CN 2020-078(SA) 1 $5,000 $5,000 $3,600 9/24/2021

CN 2020-079(LI) 1 $2,500 $2,500 $1,850 9/24/2021

CN 2020-080(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-081(SA) 1 $5,000 $5,000 $3,800 9/24/2021

CN 2020-082(RW) 1 $2,000 $2,000 $1,600 9/24/2021

CN 2020-083(FCS) 1 $2,500 $2,500 $1,800 9/24/2021

CN 2020-084(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-085(SA) 1 $5,000 $5,000 $3,600 9/24/2021

CN 2020-086(SA) 1 $5,000 $5,000 $3,650 9/24/2021

CN 2020-087(SA) 1 $5,000 $5,000 $3,700 9/24/2021

CN 2020-088(LI) 1 $2,500 $2,500 $1,700 9/24/2021

CN 2020-089(LI) 1 $2,500 $2,500 $1,850 9/24/2021

CN 2020-090(AR) 1 $1,000 $1,000 $892 9/24/2021

CN 2020-091(SA) 1 $5,000 $5,000 $3,650 9/24/2021

CN 2020-092(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-093(SA) 1 $5,000 $5,000 $3,750 9/24/2021

CN 2020-094(SA) 1 $2,500 $2,500 $1,000 9/24/2021

CN 2020-095(SA) 1 $5,000 $5,000 $3,750 9/24/2021

CN 2020-096(SA) 1 $5,000 $5,000 $3,700 9/24/2021

CN 2020-097(SA) 1 $5,000 $5,000 $3,600 9/24/2021

CN 2020-098(SA) 1 $5,000 $5,000 $3,800 9/24/2021

CN 2020-099(TS) 1 $5,000 $5,000 $3,850 9/24/2021

CN 2020-100(SA) 1 $5,000 $5,000 $3,750 9/24/2021

CN 2020-101(SA) 1 $5,000 $5,000 $3,750 9/24/2021

CN 2020-104(FCS) 1 $2,500 $2,500 $1,725 9/24/2021

CN 2020-105(SA) 1 $5,000 $5,000 $3,675 9/24/2021

CN 2020-106(SA) 1 $5,000 $5,000 $3,800 9/24/2021

CN 2020-107(HMT) 2 $6,000 $6,000 $4,560 9/24/2021

CN 2020-108(HMT) 1 $5,000 $5,000 $3,950 9/24/2021

CN 2020-109(FCS) 1 $2,500 $2,500 $1,800 9/24/2021

CN 2020-110(FCS) 1 $2,500 $2,500 $1,725 9/24/2021

CN 2020-111(SA) 1 $5,000 $5,000 $3,750 9/24/2021

CN 2020-112(SA) 1 $2,500 $2,500 $1,875 9/24/2021

CN 2020-113(SA) 1 $5,000 $5,000 $3,750 9/24/2021

CN 2020-114(LI) 1 $2,500 $2,500 $1,750 9/24/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CN 2020-115(SA) 1 $2,500 $2,500 $1,875 9/24/2021

CN 2020-116(ROR) 1 $9,500 $9,500 $6,650 9/24/2021

CN 2020-117(FCS) 1 $2,500 $2,500 $1,800 9/24/2021

CN 2020-118(SA) 1 $5,000 $5,000 $3,450 9/24/2021

CN 2020-119(SA) 1 $2,500 $2,500 $1,750 9/24/2021

CN 2020-120(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-121(ROR) 1 $9,500 $9,500 $6,650 9/24/2021

CN 2020-122(SA) 1 $2,500 $2,500 $1,870 9/24/2021

CN 2020-123(SA) 1 $5,000 $5,000 $3,600 9/24/2021

CN 2020-124(LI) 1 $1,500 $1,500 $1,095 9/24/2021

CN 2020-125(FCS) 1 $5,000 $5,000 $3,600 9/24/2021

CN 2020-126(ROP) 1 $7,500 $0 $0 9/24/2021 Case Terminated

CN 2020-127(ROP) 1 $7,500 $0 $0 9/24/2021 Case Terminated

CN 2020-130(GC) 1 $5,000 $5,000 $3,950 9/24/2021

CN 2020-131(HMT) 1 $7,500 $7,500 $6,000 9/24/2021

CN 2020-132(SA) 1 $2,500 $2,500 $1,750 9/24/2021

CN 2020-133(SA) 1 $5,000 $5,000 $3,700 9/24/2021

CN 2020-134(SA) 1 $5,000 $2,500 $1,870 9/24/2021 Partially 

Terminated 

Violations: 1

CN 2020-135(ROR) 1 $9,500 $9,500 $6,900 9/24/2021

CN 2020-136(LI) 1 $2,500 $2,500 $1,835 9/24/2021

CN 2020-137(SA) 1 $2,500 $2,500 $1,800 9/24/2021

CN 2020-138(SA) 1 $5,000 $5,000 $3,750 9/24/2021

CN 2020-139(LI) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-140(SA) 1 $2,500 $2,500 $1,750 9/24/2021

CN 2020-141(SA) 1 $2,500 $2,500 $1,850 9/24/2021

CN 2020-142(SA) 1 $2,500 $2,500 $1,800 9/24/2021

CN 2020-143(HMT) 1 $5,000 $5,000 $3,900 9/24/2021

CN 2020-144(FCS) 1 $2,500 $2,500 $1,800 9/24/2021

CN 2020-145(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-146(LI) 1 $2,500 $2,500 $1,850 9/24/2021

CN 2020-147(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-149(SA) 1 $2,500 $2,500 $1,875 9/24/2021

CN 2020-150(SA) 1 $5,000 $5,000 $3,660 9/24/2021

CN 2020-151(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-152(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-153(SA) 1 $2,500 $2,500 $1,800 9/24/2021

CN 2020-154(TS) 1 $5,000 $5,000 $3,850 9/24/2021

CN 2020-155(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-156(LI) 1 $2,500 $2,500 $1,850 9/24/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CN 2020-157(SA) 1 $5,000 $5,000 $3,650 9/24/2021

CN 2020-158(SA) 1 $5,000 $5,000 $3,750 9/24/2021

CN 2020-159(SA) 1 $2,500 $2,500 $1,825 9/24/2021

CN 2020-161(FCS) 1 $2,500 $2,500 $1,800 9/24/2021

CN 2020-162(SA) 1 $2,500 $2,500 $1,775 9/24/2021

CNZR 2020-001(TS) 2 $5,000 $5,000 $2,750 7/13/2021

COEJ 2020-001(HMT) 1 $2,000 $2,000 $1,500 7/27/2021

COSR 2020-001(LI) 1 $2,500 $2,500 $1,950 9/29/2021

CP 2020-020(SA) 1 $2,500 $2,500 $1,800 9/30/2021

CP 2020-021(FCS) 1 $2,500 $2,500 $1,825 9/30/2021

CP 2020-022(SA) 1 $5,000 $5,000 $3,600 9/30/2021

CP 2020-023(SA) 1 $5,000 $5,000 $3,450 9/30/2021

CP 2020-024(SA) 1 $5,000 $5,000 $3,450 9/30/2021

CP 2020-025(SA) 1 $2,500 $2,500 $1,500 9/30/2021

CP 2020-026(SA) 1 $2,500 $2,500 $1,625 9/30/2021

CP 2020-027(HS) 1 $1,000 $1,000 $892 9/30/2021

CP 2020-028(SA) 1 $5,000 $5,000 $3,350 9/30/2021

CP 2020-029(SA) 1 $2,500 $2,500 $1,625 9/30/2021

CP 2020-030(HMT) 2 $4,000 $4,000 $2,550 9/30/2021

CP 2020-031(SA) 1 $5,000 $5,000 $3,450 9/30/2021

CP 2020-032(SA) 1 $2,500 $2,500 $1,850 9/30/2021

CP 2020-033(SA) 1 $5,000 $5,000 $3,450 9/30/2021

CP 2020-034(FCS) 1 $2,500 $2,500 $1,850 9/30/2021

CP 2020-035(SA) 1 $5,000 $5,000 $3,450 9/30/2021

CP 2020-036(SA) 1 $5,000 $5,000 $3,650 9/30/2021

CP 2020-037(SA) 1 $2,500 $2,500 $1,550 9/30/2021

CP 2020-038(SA) 1 $5,000 $5,000 $3,400 9/30/2021

CP 2020-039(SA) 1 $5,000 $5,000 $3,675 9/30/2021

CP 2020-040(SA) 1 $5,000 $5,000 $3,000 9/30/2021

CP 2020-042(SA) 1 $5,000 $5,000 $3,250 9/30/2021

CP 2020-043(SA) 1 $5,000 $5,000 $3,600 9/30/2021

CP 2020-044(ROP) 1 $7,500 $7,500 $5,500 9/30/2021

CP 2020-045(SA) 1 $5,000 $5,000 $3,550 9/30/2021

CP 2020-046(SA) 1 $2,500 $2,500 $1,850 9/30/2021

CP 2020-047(SA) 1 $2,500 $2,500 $1,850 9/30/2021

CP 2020-048(FCS) 1 $5,000 $5,000 $3,450 9/30/2021

CP 2020-049(SA) 1 $2,500 $2,500 $1,700 9/30/2021

CP 2020-050(SA) 1 $2,500 $2,500 $1,800 9/30/2021

CP 2020-051(LI) 1 $2,500 $2,500 $1,675 9/30/2021

CP 2020-052(LI) 1 $2,500 $2,500 $1,900 9/30/2021

CP 2020-053(SA) 1 $5,000 $5,000 $3,500 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CP 2020-054(SA) 1 $5,000 $5,000 $3,450 9/30/2021

CP 2020-055(SA) 1 $5,000 $5,000 $3,450 9/30/2021

CP 2020-056(SA) 1 $2,500 $2,500 $1,625 9/30/2021

CP 2020-057(TS) 1 $2,500 $2,500 $1,700 9/30/2021

CP 2020-058(TS) 1 $5,000 $5,000 $3,450 9/30/2021

CP 2020-059(RW) 1 $3,000 $3,000 $2,400 9/30/2021

CP 2020-060(LI) 1 $2,500 $2,500 $1,750 9/30/2021

CP 2020-061(SA) 1 $2,500 $2,500 $1,750 9/30/2021

CP 2020-062(SA) 1 $5,000 $5,000 $3,725 9/30/2021

CP 2020-063(SA) 1 $5,000 $5,000 $3,250 9/30/2021

CP 2020-064(SA) 1 $5,000 $5,000 $3,350 9/30/2021

CP 2020-065(SA) 1 $5,000 $5,000 $3,225 9/30/2021

CP 2020-066(SA) 1 $2,500 $2,500 $1,800 9/30/2021

CP 2020-067(SA) 1 $5,000 $2,500 $2,500 9/30/2021 Partially 

Terminated 

Violations: 1

CP 2020-068(HMT) 1 $5,000 $0 $0 9/30/2021 Case Terminated

CP 2020-069(SA) 1 $2,500 $2,500 $1,935 9/30/2021

CP 2020-070(SA) 1 $2,500 $2,500 $1,900 9/30/2021

CP 2020-071(SA) 1 $5,000 $5,000 $3,350 9/30/2021

CP 2020-072(LI) 1 $1,000 $1,000 $892 9/30/2021

CP 2020-073(ROP) 1 $9,500 $9,500 $6,250 9/30/2021

CP 2020-074(TS) 1 $2,500 $2,500 $1,625 9/30/2021

CP 2020-075(TS) 1 $5,000 $5,000 $3,400 9/30/2021

CP 2020-076(ROP) 1 $9,500 $9,500 $6,250 9/30/2021

CP 2020-077(SA) 1 $5,000 $5,000 $3,700 9/30/2021

CP 2020-078(LI) 1 $2,500 $2,500 $1,500 9/30/2021

CP 2021-001(SA) 1 $5,000 $5,000 $3,500 9/30/2021

CP 2021-002(SA) 1 $5,000 $5,000 $3,725 9/30/2021

CP 2021-003(SA) 1 $2,500 $2,500 $1,800 9/30/2021

CP 2021-004(FCS) 1 $2,500 $2,500 $1,500 9/30/2021

CP 2021-005(LI) 1 $2,500 $2,500 $1,875 9/30/2021

CP 2021-006(SA) 1 $5,000 $5,000 $3,600 9/30/2021

CP 2021-007(LI) 1 $2,500 $2,500 $1,800 9/30/2021

CP 2021-008(TS) 2 $5,000 $5,000 $2,500 9/30/2021

CP 2021-009(LI) 1 $7,500 $2,500 $2,500 9/30/2021 Partially 

Terminated 

Violations: 1

CP 2021-010(SA) 1 $2,500 $2,500 $1,500 9/30/2021

CP 2021-011(SA) 1 $5,000 $5,000 $3,450 9/30/2021

CP 2021-012(LI) 1 $2,500 $2,500 $1,800 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CP 2021-013(SA) 1 $5,000 $2,500 $2,500 9/30/2021 Partially 

Terminated 

Violations: 1

CP 2021-014(FCS) 1 $2,500 $2,500 $1,800 9/30/2021

CP 2021-015(HMT) 1 $2,000 $2,000 $1,450 9/30/2021

CP 2021-016(SA) 1 $5,000 $5,000 $3,400 9/30/2021

CP 2021-017(SA) 1 $5,000 $5,000 $3,400 9/30/2021

CP 2021-018(SA) 1 $5,000 $5,000 $3,250 9/30/2021

CP 2021-019(TS) 2 $7,500 $7,500 $4,925 9/30/2021

CP 2021-020(LI) 1 $2,500 $2,500 $1,700 9/30/2021

CP 2021-021(LI) 1 $2,000 $2,000 $1,325 9/30/2021

CP 2021-022(LI) 1 $5,000 $5,000 $3,650 9/30/2021

CP 2021-023(SA) 1 $2,500 $2,500 $1,625 9/30/2021

CRKZ 2021-001(HMT) 1 $2,000 $2,000 $2,000 6/30/2021

CRL 2017-001(ROP) 1 $7,500 $7,500 $5,000 7/9/2021

CRL 2019-001(AD) 1 $1,000 $1,000 $853 7/9/2021

CRRX 2018-001(ROP) 1 $5,000 $5,000 $5,000 4/16/2021

CRRX 2020-001(AD) 1 $2,500 $2,500 $2,500 6/10/2021

CRRX 2020-002(AD) 1 $2,500 $2,500 $2,500 6/10/2021

CRRX 2020-003(CC) 1 $5,000 $5,000 $5,000 6/10/2021

CRSH 2020-017(SA) 1 $5,000 $5,000 $4,000 9/13/2021

CRSH 2020-018(SA) 1 $5,000 $5,000 $4,000 9/13/2021

CRSM 2020-001(TS) 2 $6,000 $6,000 $6,000 9/13/2021

CRSM 2020-002(SA) 1 $5,000 $5,000 $3,500 9/13/2021

CRSM 2020-003(SA) 1 $2,500 $2,500 $1,875 9/13/2021

CRSM 2020-004(SA) 1 $5,000 $5,000 $4,000 9/13/2021

CRSM 2020-005(ROP) 1 $5,000 $5,000 $4,000 9/13/2021

CRSM 2021-001(ROP) 1 $9,500 $9,500 $7,250 9/13/2021

CRSM 2021-001(SA) 1 $5,000 $5,000 $4,000 9/13/2021

CRSM 2021-002(SA) 1 $5,000 $5,000 $4,000 9/13/2021

CRSM 2021-002(TS) 1 $2,500 $2,500 $2,500 9/13/2021

CRSM 2021-003(SA) 1 $5,000 $5,000 $4,000 9/13/2021

CRSM 2021-005(SA) 1 $5,000 $5,000 $4,000 9/13/2021

CRSM 2021-006(SA) 1 $5,000 $5,000 $4,000 9/13/2021

CRSM 2021-008(AR) 1 $2,500 $2,500 $2,000 9/13/2021

CRSM 2021-009(AR) 1 $2,500 $2,500 $2,000 9/13/2021

CRSM 2021-010(ROP) 1 $9,500 $9,500 $6,750 9/13/2021

CSX 2017-152(SI) 1 $1,000 $1,000 $853 3/31/2021

CSX 2019-089(TS) 1 $2,500 $2,500 $1,836 3/31/2021

CSX 2019-222(TS) 1 $5,000 $5,000 $3,675 3/31/2021

CSX 2019-454(SI) 1 $2,500 $2,500 $1,836 3/31/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CSX 2019-535(SA) 1 $5,000 $0 $0 3/31/2021 Case Terminated

CSX 2019-585(TS) 1 $2,500 $2,500 $1,837 3/31/2021

CSX 2020-066(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-068(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-072(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-078(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-080(ROP) 1 $8,000 $8,000 $5,808 9/29/2021

CSX 2020-081(SA) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-082(GC) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-083(ROP) 1 $9,500 $9,500 $6,992 9/29/2021

CSX 2020-084(SA) 1 $25,000 $25,000 $18,400 9/29/2021

CSX 2020-085(FCS) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-086(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-087(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-088(TS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-089(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-090(SA) 1 $40,000 $40,000 $29,299 9/29/2021

CSX 2020-091(ROP) 1 $7,500 $7,500 $5,520 9/29/2021

CSX 2020-092(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-093(FCS) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-095(HMT) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-096(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-097(ROP) 1 $7,500 $7,500 $0 9/29/2021

CSX 2020-098(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-099(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-100(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-101(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-102(SA) 2 $15,000 $7,500 $6,000 9/29/2021 Terminated 

Violations: 1

CSX 2020-103(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-104(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-105(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-106(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-107(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-108(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-109(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-111(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-112(TS) 1 $11,000 $6,000 $5,352 9/29/2021 Partially 

Terminated 

Violations: 1

CSX 2020-113(TS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-117(GC) 1 $5,000 $5,000 $3,640 9/29/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CSX 2020-118(GC) 1 $1,000 $1,000 $892 9/29/2021

CSX 2020-119(HMT) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-120(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-121(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-122(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-123(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-126(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-127(SA) 1 $2,500 $0 $0 9/29/2021 Case Terminated

CSX 2020-128(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-129(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-130(LI) 1 $9,000 $9,000 $8,028 9/29/2021

CSX 2020-131(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-132(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-133(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-134(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-135(TS) 1 $1,000 $1,000 $870 9/29/2021

CSX 2020-136(HMT) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-137(HMT) 1 $4,000 $4,000 $2,944 9/29/2021

CSX 2020-138(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-139(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-140(FCS) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-141(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-142(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-143(SA) 1 $15,000 $15,000 $11,040 9/29/2021

CSX 2020-144(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-145(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-146(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-147(SA) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-148(SA) 1 $10,000 $10,000 $7,360 9/29/2021

CSX 2020-149(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-150(RSP) 1 $27,455 $27,455 $20,201 9/29/2021

CSX 2020-151(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-152(TS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-153(ROR) 1 $19,000 $19,000 $13,984 9/29/2021

CSX 2020-154(TS) 10 $22,500 $22,500 $17,000 9/29/2021

CSX 2020-155(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-156(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-157(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-158(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-159(FCS) 1 $2,500 $2,500 $1,792 9/29/2021

CSX 2020-160(HMT) 1 $4,000 $4,000 $2,944 9/29/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CSX 2020-161(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-162(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-163(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-164(ROP) 1 $9,500 $9,500 $6,992 9/29/2021

CSX 2020-165(ROP) 1 $7,500 $7,500 $5,520 9/29/2021

CSX 2020-166(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-167(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-168(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-169(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-170(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-171(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-172(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-173(GC) 1 $1,000 $1,000 $892 9/29/2021

CSX 2020-174(GC) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-175(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-176(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-177(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-178(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-179(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-180(SA) 1 $10,000 $10,000 $7,360 9/29/2021

CSX 2020-181(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-182(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-183(FCS) 1 $2,000 $2,000 $1,500 9/29/2021

CSX 2020-184(TS) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-185(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-187(SA) 1 $2,500 $0 $0 9/29/2021 Case Terminated

CSX 2020-188(FCS) 1 $5,000 $0 $0 9/29/2021 Case Terminated

CSX 2020-189(FCS) 1 $2,500 $0 $0 9/29/2021 Case Terminated

CSX 2020-190(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-191(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-192(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-193(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-194(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-195(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-196(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-197(SA) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-199(HMT) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-200(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-201(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-202(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-203(HMT) 1 $4,000 $4,000 $2,944 9/29/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CSX 2020-204(HMT) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-205(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-206(SI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-207(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-208(ROP) 1 $7,500 $7,500 $5,520 9/29/2021

CSX 2020-209(ROP) 1 $7,500 $7,500 $5,520 9/29/2021

CSX 2020-210(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-211(SA) 1 $10,000 $10,000 $7,360 9/29/2021

CSX 2020-212(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-213(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-214(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-215(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-216(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-217(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-218(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-219(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-220(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-221(TS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-222(HMT) 1 $18,000 $18,000 $13,248 9/29/2021

CSX 2020-223(HMT) 1 $4,000 $4,000 $2,944 9/29/2021

CSX 2020-224(HMT) 2 $18,000 $18,000 $13,248 9/29/2021

CSX 2020-225(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-226(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-227(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-228(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-229(LI) 2 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-230(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-232(AD) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-233(AR) 1 $2,500 $0 $0 9/29/2021 Case Terminated

CSX 2020-234(ROP) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-235(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-236(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-237(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-238(SA) 1 $2,500 $2,500 $1,820 9/22/2021

CSX 2020-239(ROP) 1 $9,500 $9,500 $6,992 9/29/2021

CSX 2020-240(ROP) 1 $7,500 $7,500 $5,520 9/29/2021

CSX 2020-241(ROR) 1 $9,500 $9,500 $6,992 9/29/2021

CSX 2020-242(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-243(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-244(HMT) 1 $8,000 $8,000 $5,888 9/29/2021

CSX 2020-245(LI) 1 $2,500 $2,500 $1,820 9/29/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CSX 2020-246(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-247(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-248(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-249(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-250(HMT) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-251(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-253(GC) 1 $1,000 $1,000 $892 9/29/2021

CSX 2020-254(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-255(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-256(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-257(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-258(AR) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-259(GC) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-260(GC) 1 $1,000 $1,000 $892 9/29/2021

CSX 2020-261(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-262(RW) 1 $3,000 $3,000 $2,208 9/29/2021

CSX 2020-263(ROP) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-264(ROP) 1 $7,500 $7,500 $5,520 9/29/2021

CSX 2020-265(AR) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-266(AR) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-267(AR) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-268(AR) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-269(AR) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-270(AR) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-271(TS) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-272(RW) 1 $3,000 $3,000 $2,208 9/29/2021

CSX 2020-273(LI) 1 $1,500 $1,500 $1,104 9/29/2021

CSX 2020-274(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-275(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-276(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-277(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-278(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-279(GC) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-280(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-281(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-282(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-283(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-284(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-285(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-286(EP) 1 $1,000 $1,000 $892 9/29/2021

CSX 2020-287(HMT) 1 $5,000 $5,000 $3,680 9/29/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CSX 2020-288(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-289(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-290(SA) 1 $2,500 $0 $0 9/29/2021 Case Terminated

CSX 2020-291(HMT) 1 $19,000 $19,000 $13,984 9/29/2021

CSX 2020-292(ROP) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-293(AD) 1 $1,000 $1,000 $892 9/29/2021

CSX 2020-294(HMT) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-295(AR) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-296(AR) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-297(AR) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-298(AR) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-299(AR) 1 $2,500 $0 $0 9/29/2021 Case Terminated

CSX 2020-300(AR) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-301(AR) 1 $2,500 $0 $0 9/29/2021 Case Terminated

CSX 2020-302(AR) 1 $2,500 $0 $0 9/29/2021 Case Terminated

CSX 2020-303(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-304(GC) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-305(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-306(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-307(SA) 2 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-308(LI) 1 $10,000 $2,500 $1,820 9/29/2021 Partially 

Terminated 

Violations: 1

CSX 2020-309(LI) 1 $1,500 $1,500 $1,104 9/29/2021

CSX 2020-310(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-311(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-312(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-313(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-314(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-315(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-316(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-317(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-318(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-319(HMT) 1 $5,000 $5,000 $3,680 9/29/2021

CSX 2020-320(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-321(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-322(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-323(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-324(ROP) 1 $7,500 $0 $0 9/29/2021 Case Terminated

CSX 2020-325(TS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-328(SA) 1 $5,000 $5,000 $3,640 9/29/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CSX 2020-329(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-330(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-331(GC) 1 $1,000 $1,000 $892 9/29/2021

CSX 2020-332(ROP) 1 $7,500 $0 $0 9/29/2021 Case Terminated

CSX 2020-333(ROP) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-334(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-335(SA) 1 $10,000 $10,000 $7,360 9/29/2021

CSX 2020-336(FCS) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-337(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-338(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-339(SI) 1 $1,000 $1,000 $892 9/29/2021

CSX 2020-340(ROP) 1 $9,500 $5,000 $4,350 9/29/2021 Partially 

Terminated 

Violations: 1

CSX 2020-341(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-342(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-343(ROP) 1 $7,500 $7,500 $5,520 9/29/2021

CSX 2020-344(LI) 1 $1,500 $1,500 $1,104 9/29/2021

CSX 2020-345(SA) 3 $10,000 $10,000 $7,360 9/29/2021

CSX 2020-346(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-347(SA) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-348(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-349(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-351(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-352(ROP) 1 $9,500 $9,500 $6,992 9/29/2021

CSX 2020-353(ROP) 1 $7,500 $7,500 $5,520 9/29/2021

CSX 2020-354(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-355(TS) 1 $1,000 $1,000 $892 9/29/2021

CSX 2020-356(LI) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-357(SI) 1 $1,000 $1,000 $892 9/29/2021

CSX 2020-358(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-359(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-360(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-361(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-362(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-363(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-364(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-365(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-366(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-367(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-368(SA) 1 $2,500 $2,500 $1,820 9/29/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CSX 2020-369(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-370(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-371(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-372(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-373(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-375(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-376(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-377(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-378(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-381(RW) 3 $8,000 $8,000 $5,888 9/29/2021

CSX 2020-382(GC) 1 $1,000 $1,000 $892 9/29/2021

CSX 2020-383(HMT) 2 $8,000 $8,000 $5,888 9/29/2021

CSX 2020-384(TS) 1 $5,000 $2,500 $2,300 9/29/2021 Partially 

Terminated 

Violations: 1

CSX 2020-385(GC) 1 $1,000 $1,000 $892 9/29/2021

CSX 2020-386(GC) 1 $1,000 $1,000 $892 9/29/2021

CSX 2020-387(GC) 1 $1,000 $1,000 $892 9/29/2021

CSX 2020-388(GC) 1 $1,000 $1,000 $892 9/29/2021

CSX 2020-389(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-390(SA) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-391(SI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-392(SI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-393(ROP) 1 $9,500 $9,500 $6,992 9/29/2021

CSX 2020-394(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-395(RW) 2 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-396(ROP) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-397(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-398(ROP) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-399(SA) 1 $5,000 $0 $0 9/29/2021 Case Terminated

CSX 2020-400(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-401(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-402(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-403(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-404(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-405(SA) 1 $2,500 $0 $0 9/29/2021 Case Terminated

CSX 2020-406(SA) 1 $10,000 $10,000 $7,360 9/29/2021

CSX 2020-407(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-408(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-409(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-410(RW) 1 $5,000 $5,000 $3,640 9/29/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CSX 2020-411(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-412(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-413(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-414(LI) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-415(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-416(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-417(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-418(ROP) 1 $9,500 $9,500 $6,992 9/29/2021

CSX 2020-419(TS) 1 $2,500 $0 $0 9/29/2021 Case Terminated

CSX 2020-420(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-421(ROP) 1 $7,500 $7,500 $5,520 9/29/2021

CSX 2020-422(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-425(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-426(TS) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-427(GC) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2020-428(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-429(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-430(ROP) 1 $9,500 $9,500 $6,992 9/29/2021

CSX 2020-431(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-432(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-433(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-434(HMT) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-435(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-436(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-437(HMT) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2020-438(HMT) 1 $6,000 $6,000 $4,416 9/29/2021

CSX 2020-439(HMT) 1 $8,000 $8,000 $5,888 9/29/2021

CSX 2020-440(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2020-441(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-442(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-444(SI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2020-445(RSP) 1 $9,500 $9,500 $6,992 9/29/2021

CSX 2020-450(CC) 1 $30,000 $30,000 $21,940 9/29/2021

CSX 2021-001(SI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-002(LI) 1 $1,500 $1,500 $1,104 9/29/2021

CSX 2021-003(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-004(TS) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2021-005(TS) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2021-006(LI) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2021-007(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2021-009(ROP) 1 $9,500 $9,500 $6,992 9/29/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CSX 2021-010(LI) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2021-011(HMT) 1 $4,000 $4,000 $2,944 9/29/2021

CSX 2021-012(HMT) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2021-013(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-014(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-015(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-016(SA) 1 $5,000 $0 $0 9/29/2021 Case Terminated

CSX 2021-017(ROP) 1 $7,500 $7,500 $5,520 9/29/2021

CSX 2021-018(AD) 1 $1,000 $1,000 $892 9/29/2021

CSX 2021-019(TH) 1 $5,000 $5,000 $3,680 9/29/2021

CSX 2021-020(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2021-021(SA) 1 $2,500 $2,500 $1,840 9/29/2021

CSX 2021-022(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-024(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-025(EP) 1 $1,000 $1,000 $892 9/29/2021

CSX 2021-027(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2021-028(ROP) 1 $9,500 $9,500 $6,992 9/29/2021

CSX 2021-029(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2021-030(ROP) 1 $2,000 $2,000 $1,472 9/29/2021

CSX 2021-031(ROP) 1 $7,500 $7,500 $5,520 9/29/2021

CSX 2021-032(LI) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2021-033(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-034(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-035(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-036(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-037(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-038(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-039(TS) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2021-040(ROP) 1 $7,500 $7,500 $5,520 9/29/2021

CSX 2021-041(TS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-042(LI) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-043(LI) 1 $3,000 $3,000 $2,208 9/29/2021

CSX 2021-045(SA) 1 $10,000 $10,000 $7,360 9/29/2021

CSX 2021-046(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-047(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-049(SA) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-050(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CSX 2021-051(FCS) 1 $2,500 $2,500 $1,820 9/29/2021

CSX 2021-053(SA) 1 $5,000 $5,000 $3,640 9/29/2021

CTIZ 2021-001(HMT) 1 $4,000 $4,000 $3,500 7/15/2021

CWR 2019-001(GC) 1 $5,000 $0 $0 9/29/2021 Case Terminated
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

CWW 2020-001(TS) 1 $2,500 $2,500 $1,500 3/18/2021

DGNO 2019-002(TS) 1 $5,000 $5,000 $3,000 9/29/2021

DGNO 2019-004(TS) 1 $15,000 $15,000 $11,550 12/21/2020

DGNO 2020-001(TS) 1 $2,500 $2,500 $1,500 9/29/2021

DGNO 2020-002(TS) 1 $2,500 $2,500 $1,500 9/29/2021

DGNO 2020-003(TS) 1 $5,000 $5,000 $3,000 9/29/2021

DGNO 2020-004(TS) 3 $10,000 $10,000 $6,000 9/29/2021

DGNO 2020-005(TS) 1 $1,000 $1,000 $950 9/29/2021

DGNO 2020-006(TS) 1 $5,000 $5,000 $3,000 9/29/2021

DGNO 2020-007(TS) 1 $2,500 $2,500 $1,500 9/29/2021

DGNO 2020-008(TS) 1 $2,500 $2,500 $1,500 9/29/2021

DGNO 2020-009(TS) 1 $1,000 $1,000 $950 9/29/2021

DGNO 2020-010(TS) 1 $5,000 $5,000 $3,000 9/29/2021

DPQ 2020-001(HMT) 1 $2,000 $2,000 $2,000 5/18/2021

DR 2020-001(SA) 1 $5,000 $5,000 $1,000 7/6/2021

DR 2020-002(ROP) 1 $7,500 $2,000 $1,000 7/6/2021 Partially 

Terminated 

Violations: 1

DREI 2020-002(SA) 1 $5,000 $5,000 $3,750 9/28/2021

DREI 2021-001(ROP) 1 $7,500 $7,500 $5,000 9/28/2021

EIRR 2021-001(GC) 1 $5,000 $5,000 $3,750 9/28/2021

EIRR 2021-002(GC) 1 $5,000 $5,000 $3,750 9/28/2021

ELS 2020-001(SA) 1 $5,000 $5,000 $5,000 7/2/2021

EMRY 2021-001(TS) 1 $5,000 $5,000 $3,300 7/8/2021

EVWR 2021-001(ROP) 1 $7,500 $7,500 $7,500 6/21/2021

FEC 2018-013(RW) 1 $5,000 $5,000 $3,500 5/24/2021

FEC 2018-014(GC) 1 $5,000 $5,000 $3,500 5/24/2021

FEC 2018-015(TS) 1 $2,500 $2,500 $1,750 5/24/2021

FEC 2018-016(SA) 1 $5,000 $5,000 $3,500 5/24/2021

FEC 2018-017(SA) 1 $5,000 $5,000 $3,500 5/24/2021

FEC 2019-001(FCS) 1 $2,000 $2,000 $1,500 5/24/2021

FEC 2019-002(GC) 1 $1,000 $1,000 $900 5/24/2021

FEC 2019-003(GC) 1 $5,000 $5,000 $3,500 5/24/2021

FEC 2019-005(ROP) 1 $2,000 $2,000 $1,400 5/24/2021

FEC 2019-006(SA) 1 $5,000 $5,000 $3,500 5/24/2021

FEC 2019-007(SA) 1 $7,500 $7,500 $5,250 5/24/2021

FEC 2019-008(GC) 1 $1,000 $1,000 $900 5/24/2021

FEC 2019-009(ROP) 1 $7,500 $7,500 $5,500 5/24/2021

FEC 2019-010(ROP) 1 $9,500 $9,500 $6,650 5/24/2021

FEC 2019-011(ROP) 1 $2,000 $2,000 $1,400 5/24/2021

FEC 2019-012(ROP) 1 $2,000 $2,000 $1,400 5/24/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

FEC 2019-013(SA) 1 $5,000 $5,000 $3,500 5/24/2021

FEC 2019-014(SA) 1 $10,000 $10,000 $7,000 5/24/2021

FEC 2019-015(GC) 1 $1,000 $1,000 $900 5/24/2021

FEC 2019-016(SA) 1 $5,000 $5,000 $3,625 5/24/2021

FEC 2019-017(SA) 1 $5,000 $5,000 $3,635 5/24/2021

FEC 2020-001(ROR) 1 $66,500 $66,500 $51,015 5/24/2021

FEC 2020-002(ROP) 1 $7,500 $7,500 $5,625 5/24/2021

FEC 2020-004(ROP) 1 $9,500 $9,500 $6,650 5/24/2021

FEC 2020-005(SA) 1 $5,000 $5,000 $3,500 5/24/2021

FEC 2020-006(SA) 1 $5,000 $5,000 $3,500 5/24/2021

FEC 2020-007(HSR) 1 $10,000 $10,000 $9,000 5/24/2021

FEC 2020-008(HSR) 1 $1,000 $1,000 $900 5/24/2021

FGA 2020-001(HMT) 1 $5,000 $5,000 $3,000 5/21/2021

FP 2019-001(TS) 2 $6,000 $6,000 $4,750 9/29/2021

GC 2020-001(GC) 1 $5,000 $5,000 $3,900 9/29/2021

GC 2021-001(LI) 1 $2,500 $2,500 $1,950 9/29/2021

GDLK 2020-001(SA) 1 $5,000 $5,000 $3,250 9/28/2021

GDLK 2021-001(SA) 1 $5,000 $5,000 $3,250 9/28/2021

GDLK 2021-002(TS) 1 $5,000 $5,000 $3,250 9/28/2021

GLCT 2019-002(ROP) 1 $7,500 $7,500 $6,000 4/27/2021

GRNW 2020-001(TS) 1 $1,000 $1,000 $900 9/28/2021

GRW 2021-001(EQ) 1 $10,000 $10,000 $10,000 5/12/2021

GS 2020-001(TS) 3 $12,000 $12,000 $9,500 4/27/2021

GSM 2020-001(GC) 1 $5,000 $5,000 $4,000 5/13/2021

GWR 2018-002(TS) 1 $5,000 $5,000 $3,000 4/16/2021

HRT 2019-001(ROP) 1 $7,500 $7,500 $5,000 9/14/2021

HRT 2019-002(SA) 1 $5,000 $5,000 $2,500 9/14/2021

HRT 2020-001(LI) 1 $5,000 $5,000 $3,500 9/14/2021

IAIS 2020-003(EQ) 1 $2,500 $2,500 $1,250 3/3/2021

IAIS 2020-004(SA) 1 $5,000 $5,000 $5,000 8/10/2021

IAIS 2021-001(SA) 1 $2,500 $2,500 $2,500 8/10/2021

IARR 2020-001(AD) 1 $2,500 $2,500 $2,500 8/10/2021

IATR 2020-001(BSS) 1 $5,000 $5,000 $4,000 9/1/2021

IDAH 2021-001(HMT) 1 $2,000 $2,000 $1,600 9/8/2021

IHB 2020-001(SA) 1 $5,000 $5,000 $3,500 2/16/2021

IHB 2020-002(SA) 1 $2,500 $2,500 $1,500 2/16/2021

IHB 2020-003(FCS) 1 $2,500 $2,500 $1,500 2/16/2021

IHB 2020-004(SA) 1 $5,000 $5,000 $3,500 2/16/2021

IHB 2020-005(SA) 1 $5,000 $5,000 $3,500 2/16/2021

IHB 2020-006(LI) 1 $2,500 $2,500 $1,600 2/16/2021

IHB 2020-007(SA) 1 $2,500 $2,500 $1,750 7/9/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

IHB 2020-008(SA) 1 $2,500 $2,500 $1,750 7/9/2021

IHB 2021-001(LI) 1 $1,500 $1,500 $1,050 7/9/2021

IHB 2021-003(SA) 1 $5,000 $5,000 $3,700 7/9/2021

IHB 2021-004(SA) 1 $2,500 $2,500 $1,750 7/9/2021

IHB 2021-005(FCS) 1 $2,500 $2,500 $1,750 7/9/2021

IHB 2021-006(SA) 1 $2,500 $2,500 $1,750 7/9/2021

IHB 2021-007(SA) 1 $5,000 $5,000 $3,750 9/8/2021

IHB 2021-010(SA) 1 $5,000 $5,000 $3,750 9/9/2021

IHB 2021-011(EQ) 1 $5,000 $5,000 $3,750 9/9/2021

IHB 2021-013(EQ) 1 $5,000 $5,000 $3,750 9/9/2021

IHB 2021-014(EQ) 1 $1,000 $1,000 $892 9/9/2021

IHB 2021-016(HMT) 1 $7,500 $7,500 $5,750 9/9/2021

IHTR 2020-001(ROP) 1 $7,500 $7,500 $3,750 3/2/2021

IMRR 2020-002(EQ) 1 $2,500 $2,500 $1,825 9/29/2021

IMRR 2020-003(EQ) 1 $2,500 $2,500 $1,825 9/29/2021

IMRR 2020-005(EQ) 1 $2,500 $2,500 $1,825 9/29/2021

INPR 2020-001(SA) 1 $2,500 $2,500 $1,250 3/3/2021

INRD 2020-001(HMT) 1 $5,000 $0 $0 3/23/2021 Case Terminated

INRD 2020-002(HMT) 1 $8,000 $8,000 $5,900 2/12/2021

IORY 2019-001(GC) 1 $2,500 $2,500 $1,950 9/29/2021

IORY 2020-001(SI) 1 $1,000 $1,000 $950 9/29/2021

IORY 2020-002(TS) 1 $2,500 $2,500 $2,000 9/29/2021

IORY 2020-003(GC) 1 $5,000 $5,000 $3,750 9/29/2021

IORY 2020-004(GC) 1 $5,000 $5,000 $3,750 9/29/2021

IORY 2020-005(SA) 1 $2,500 $2,500 $1,875 9/29/2021

IORY 2020-006(ROP) 1 $7,500 $7,500 $5,700 9/29/2021

IR 2020-001(SA) 1 $5,000 $5,000 $4,000 1/5/2021

IR 2020-002(LI) 1 $2,500 $2,500 $1,250 1/5/2021

IR 2020-003(LI) 1 $2,500 $2,500 $1,250 1/5/2021

IR 2020-004(LI) 1 $1,000 $1,000 $892 1/5/2021

IR 2020-005(LI) 1 $1,000 $1,000 $892 1/5/2021

IR 2020-006(ROP) 1 $5,000 $5,000 $2,500 1/5/2021

IR 2020-007(LI) 1 $2,500 $2,500 $1,250 1/5/2021

IR 2020-008(GC) 1 $5,000 $5,000 $4,000 1/5/2021

IR 2020-009(LI) 1 $2,500 $2,500 $1,250 1/5/2021

IRTV 2020-001(SA) 1 $2,500 $2,500 $2,500 9/28/2021

IRTV 2021-001(ROP) 1 $2,000 $2,000 $2,000 9/13/2021

ITB 2021-001(ROP) 1 $7,500 $7,500 $5,000 9/1/2021

JDSZ 2021-001(HMT) 1 $4,000 $4,000 $4,000 6/28/2021

KCS 2020-010(LI) 1 $2,500 $2,500 $1,500 6/29/2021

KCS 2020-011(HMT) 1 $7,500 $7,500 $5,000 6/29/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

KCS 2020-012(SA) 1 $5,000 $5,000 $3,750 6/29/2021

KCS 2020-013(SA) 1 $2,500 $2,500 $1,800 6/29/2021

KCS 2020-014(SA) 1 $5,000 $5,000 $3,500 6/29/2021

KCS 2020-015(SA) 1 $5,000 $5,000 $3,000 6/29/2021

KCS 2020-016(SA) 1 $2,500 $2,500 $2,000 6/29/2021

KCS 2020-017(SA) 1 $5,000 $5,000 $3,750 6/29/2021

KCS 2020-018(SA) 1 $5,000 $5,000 $3,750 6/29/2021

KCS 2020-019(SA) 1 $2,500 $2,500 $1,800 6/29/2021

KCS 2020-020(SA) 1 $2,500 $2,500 $2,500 6/29/2021

KCS 2020-021(SA) 1 $5,000 $5,000 $3,750 6/29/2021

KCS 2020-022(TS) 1 $5,000 $5,000 $3,750 6/29/2021

KCS 2020-023(SA) 1 $2,500 $2,500 $1,800 6/29/2021

KCS 2020-024(SA) 1 $10,000 $10,000 $7,500 6/29/2021

KCS 2020-025(SA) 1 $5,000 $5,000 $4,000 6/29/2021

KCS 2020-026(FCS) 1 $2,000 $2,000 $1,200 6/29/2021

KCS 2020-027(ROP) 1 $2,000 $2,000 $1,500 6/29/2021

KCS 2020-028(SA) 1 $2,500 $2,500 $2,500 6/29/2021

KCS 2020-029(SA) 1 $5,000 $5,000 $3,750 6/29/2021

KCS 2020-030(FCS) 1 $2,500 $2,500 $1,500 6/29/2021

KCS 2020-031(ROP) 1 $7,500 $7,500 $5,000 6/29/2021

KCS 2020-032(SA) 1 $2,500 $2,500 $2,000 6/29/2021

KCS 2020-033(SA) 1 $2,500 $2,500 $2,000 6/29/2021

KCS 2020-034(SA) 1 $2,500 $2,500 $2,000 6/29/2021

KCS 2020-035(RMM) 1 $2,500 $2,500 $2,500 6/29/2021

KCS 2020-037(RW) 1 $10,000 $10,000 $7,000 6/29/2021

KCS 2020-038(HMT) 1 $15,000 $15,000 $11,000 6/29/2021

KCS 2021-001(SA) 1 $2,500 $2,500 $1,800 6/29/2021

KCS 2021-002(FCS) 1 $5,000 $5,000 $3,750 6/29/2021

KCS 2021-003(SA) 1 $5,000 $5,000 $3,750 6/29/2021

KCS 2021-004(SA) 1 $5,000 $5,000 $3,750 6/29/2021

KCS 2021-006(SA) 1 $5,000 $5,000 $3,000 6/29/2021

KCS 2021-007(FCS) 1 $2,500 $2,500 $2,000 6/29/2021

KCS 2021-008(FCS) 1 $2,500 $2,500 $2,000 6/29/2021

KCS 2021-009(SI) 1 $2,500 $2,500 $1,800 6/29/2021

KCS 2021-010(GC) 1 $2,500 $2,500 $2,000 6/29/2021

KCS 2021-011(SA) 1 $2,500 $2,500 $2,000 6/29/2021

KCS 2021-012(SA) 1 $2,500 $2,500 $2,000 6/29/2021

KCS 2021-014(SA) 1 $5,000 $5,000 $3,750 6/29/2021

KCS 2021-016(SA) 1 $5,000 $5,000 $4,000 6/29/2021

KCS 2021-017(SA) 1 $5,000 $5,000 $4,000 6/29/2021

KCS 2021-018(GC) 1 $1,000 $1,000 $1,000 6/29/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

KCT 2020-001(AD) 1 $2,500 $2,500 $2,500 6/10/2021

KFR 2019-002(AD) 1 $5,000 $5,000 $3,250 5/6/2021

KFR 2019-003(AD) 1 $5,000 $5,000 $3,250 5/6/2021

KNWA 2020-001(ROP) 1 $7,500 $7,500 $5,000 9/28/2021

KRR 2020-001(LI) 1 $2,500 $2,500 $1,950 9/29/2021

KRR 2020-002(TS) 1 $5,000 $5,000 $3,900 9/29/2021

KRR 2020-003(RW) 1 $5,000 $5,000 $3,900 9/29/2021

KRR 2020-004(ROP) 1 $7,500 $7,500 $5,625 9/29/2021

KRR 2020-005(ROP) 1 $7,500 $7,500 $5,625 9/29/2021

KRR 2021-001(TS) 1 $2,500 $2,500 $1,900 9/29/2021

KYLE 2020-001(GC) 1 $5,000 $5,000 $3,650 9/29/2021

LAJ 2020-001(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

LAJ 2020-002(ROP) 1 $7,500 $7,500 $5,475 9/28/2021

LCHD 2013-001(SA) 1 $5,000 $0 $0 5/26/2021 Case Terminated

LCHD 2014-001(ROP) 1 $7,500 $0 $0 5/26/2021 Case Terminated

LCHD 2014-002(SA) 1 $5,000 $0 $0 5/26/2021 Case Terminated

LCHD 2014-003(ROP) 1 $7,500 $0 $0 5/26/2021 Case Terminated

LI 2018-001(AD) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-002(AR) 1 $20,000 $20,000 $6,824 6/8/2021

LI 2018-003(AR) 1 $15,000 $15,000 $5,118 6/8/2021

LI 2018-004(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-005(AR) 1 $12,500 $12,500 $4,265 6/8/2021

LI 2018-006(AR) 1 $7,500 $7,500 $2,559 6/8/2021

LI 2018-007(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-008(SI) 1 $5,000 $5,000 $2,500 6/8/2021

LI 2018-009(SI) 1 $5,000 $5,000 $2,500 6/8/2021

LI 2018-010(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-011(AR) 1 $7,500 $7,500 $2,559 6/8/2021

LI 2018-012(AR) 1 $7,500 $7,500 $2,559 6/8/2021

LI 2018-013(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-014(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-015(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-016(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-017(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-018(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-019(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-020(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-021(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-022(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-023(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-024(AR) 1 $2,500 $2,500 $853 6/8/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

LI 2018-025(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-026(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-027(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-028(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-029(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-030(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-031(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-032(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-033(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-034(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-035(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-036(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-037(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-038(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-039(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-040(RW) 1 $3,000 $3,000 $1,500 6/8/2021

LI 2018-041(RW) 1 $3,000 $3,000 $1,500 6/8/2021

LI 2018-042(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-043(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-044(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-045(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-046(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-047(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-048(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-049(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-050(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-051(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-052(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-053(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-054(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-055(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-056(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-057(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-058(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-059(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-060(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-061(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-062(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-063(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-064(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-065(AR) 1 $2,500 $2,500 $853 6/8/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

LI 2018-066(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-067(ROP) 1 $7,500 $7,500 $2,750 6/8/2021

LI 2018-068(GC) 1 $5,000 $5,000 $2,500 6/8/2021

LI 2018-069(EQ) 1 $2,500 $2,500 $1,250 6/8/2021

LI 2018-070(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-071(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-072(RSP) 1 $9,500 $9,500 $4,750 6/8/2021

LI 2018-073(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-074(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-075(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-076(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-077(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-078(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-079(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-080(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-081(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-082(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-083(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-084(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-085(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-086(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-087(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-088(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-089(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-090(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-091(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-092(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-093(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-094(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-095(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-096(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-097(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-098(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-099(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-100(AR) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-101(AR) 1 $7,500 $7,500 $2,559 6/8/2021

LI 2018-102(AD) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-103(AD) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-104(AD) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-105(AD) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-106(AD) 1 $5,000 $5,000 $853 6/8/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

LI 2018-107(RW) 1 $2,000 $2,000 $1,000 6/8/2021

LI 2018-109(AD) 1 $5,000 $5,000 $853 6/8/2021

LI 2018-110(AD) 1 $5,000 $0 $0 6/8/2021 Case Terminated

LI 2018-111(AD) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-112(AD) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-113(AD) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-114(AD) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-115(AD) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-116(AD) 1 $2,500 $2,500 $853 6/8/2021

LI 2018-117(AD) 1 $2,500 $2,500 $853 6/8/2021

LRWY 2014-001(TS) 1 $2,500 $0 $0 5/26/2021 Case Terminated

LRY 2014-001(TS) 1 $5,000 $0 $0 5/27/2021 Case Terminated

LRY 2015-001(ROP) 1 $2,000 $0 $0 5/27/2021 Case Terminated

LRY 2015-002(SA) 1 $5,000 $0 $0 5/27/2021 Case Terminated

LRY 2015-003(ROP) 1 $7,500 $0 $0 5/27/2021 Case Terminated

LS 2020-001(SA) 1 $2,500 $2,500 $1,950 9/30/2021

LS 2020-002(LI) 1 $2,500 $2,500 $1,900 9/30/2021

LS 2021-001(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

LXVR 2020-001(SA) 1 $5,000 $5,000 $3,900 9/29/2021

MEC 2019-002(TS) 1 $5,000 $5,000 $4,500 9/30/2021

MEC 2020-004(TS) 1 $2,500 $2,500 $2,200 9/30/2021

MEC 2021-001(TS) 1 $5,000 $5,000 $4,250 9/14/2021

MNA 2020-003(TS) 1 $5,000 $5,000 $3,000 9/29/2021

MNA 2020-004(TS) 1 $5,000 $5,000 $3,000 9/29/2021

MNA 2020-005(GC) 1 $1,000 $1,000 $950 9/29/2021

MNA 2020-006(TS) 1 $5,000 $5,000 $3,850 9/29/2021

MNA 2020-007(EP) 1 $1,500 $1,500 $1,170 9/29/2021

MNA 2020-008(TS) 1 $2,500 $2,500 $1,500 9/29/2021

MNA 2020-009(FCS) 1 $5,000 $5,000 $4,000 9/29/2021

MNA 2020-010(SA) 1 $2,500 $2,500 $1,950 9/29/2021

MNA 2020-011(FCS) 1 $2,500 $2,500 $1,950 9/29/2021

MNA 2020-012(LI) 2 $5,000 $5,000 $2,900 9/29/2021

MNA 2020-013(GC) 1 $1,000 $1,000 $950 9/29/2021

MNA 2020-014(FCS) 1 $2,500 $2,500 $1,950 9/29/2021

MNA 2020-015(GC) 1 $2,500 $2,500 $1,950 9/29/2021

MNA 2020-016(TS) 1 $1,000 $1,000 $950 9/29/2021

MNA 2020-017(TS) 1 $5,000 $5,000 $3,000 9/29/2021

MNA 2020-018(GC) 1 $1,000 $1,000 $950 9/29/2021

MNA 2020-019(GC) 1 $1,000 $1,000 $950 9/29/2021

MNA 2020-020(GC) 1 $2,500 $2,500 $1,950 9/29/2021

MNA 2020-021(GC) 1 $1,000 $1,000 $950 9/29/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

MNA 2021-001(GC) 1 $1,000 $1,000 $950 9/29/2021

MNA 2021-002(GC) 1 $2,500 $2,500 $1,950 9/29/2021

MNA 2021-003(GC) 1 $2,500 $2,500 $1,950 9/29/2021

MOTV 2020-005(LI) 1 $2,500 $2,500 $2,500 11/6/2020

MOTV 2020-006(LI) 1 $2,500 $2,500 $2,500 11/6/2020

MRL 2020-008(TS) 2 $5,000 $5,000 $4,000 9/21/2021

MRL 2020-009(ROP) 1 $9,500 $9,500 $7,600 9/21/2021

MRL 2020-010(SA) 1 $2,500 $2,500 $1,875 9/21/2021

MRL 2020-011(SA) 1 $2,500 $2,500 $1,875 9/21/2021

MRL 2020-012(SA) 1 $2,500 $2,500 $1,875 9/21/2021

MRL 2020-013(SA) 1 $5,000 $5,000 $3,750 9/21/2021

MRL 2020-014(SA) 1 $5,000 $5,000 $3,750 9/21/2021

MRL 2020-015(SA) 1 $2,500 $2,500 $1,875 9/21/2021

MRL 2020-016(SA) 1 $5,000 $5,000 $3,750 9/21/2021

MRL 2020-017(GC) 1 $5,000 $5,000 $4,000 9/21/2021

MRL 2020-018(SA) 1 $5,000 $5,000 $3,750 9/21/2021

MRL 2020-019(LI) 1 $2,000 $2,000 $1,600 9/21/2021

MRL 2020-020(ROP) 1 $9,500 $9,500 $7,600 9/21/2021

MRL 2020-021(ROP) 1 $7,500 $7,500 $6,375 9/21/2021

MRL 2021-001(HMT) 1 $12,500 $12,500 $10,000 9/21/2021

MRL 2021-002(ROP) 1 $7,500 $7,500 $6,375 9/21/2021

MSE 2020-001(TS) 1 $5,000 $5,000 $3,000 5/20/2021

NECX 2020-001(SA) 1 $2,500 $2,500 $1,250 2/24/2021

NICD 2019-001(ROP) 1 $5,000 $5,000 $892 5/19/2021

NICD 2021-001(AD) 1 $1,000 $1,000 $892 5/19/2021

NYNJ 2020-001(ROP) 1 $7,500 $7,500 $892 2/17/2021

PAS 2020-006(SA) 1 $2,500 $2,500 $2,020 9/14/2021

PAS 2020-007(TS) 1 $5,000 $5,000 $4,200 9/14/2021

PAS 2020-008(SA) 1 $2,500 $2,500 $2,200 9/14/2021

PAS 2021-001(FCS) 1 $2,500 $2,500 $2,200 9/14/2021

PDRR 2020-001(TS) 1 $5,000 $5,000 $5,000 2/1/2021

PNR 2020-001(SA) 1 $5,000 $5,000 $3,750 8/4/2021

PNR 2020-002(SA) 1 $5,000 $5,000 $3,750 8/4/2021

PNR 2020-003(SA) 1 $5,000 $5,000 $3,750 8/4/2021

PNR 2020-004(SA) 1 $7,500 $7,500 $5,000 8/4/2021

PNWR 2020-001(TS) 1 $1,000 $1,000 $950 9/29/2021

PNWR 2020-002(TS) 1 $1,000 $1,000 $950 9/29/2021

PNWR 2020-003(TS) 1 $5,000 $5,000 $3,000 9/29/2021

PNWR 2020-004(TS) 1 $5,000 $5,000 $3,000 9/29/2021

PNWR 2020-005(SA) 1 $2,500 $2,500 $1,950 9/29/2021

PNWR 2020-006(SA) 1 $5,000 $0 $0 9/29/2021 Case Terminated
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

PNWR 2021-001(SA) 1 $5,000 $5,000 $3,170 9/29/2021

PNWR 2021-002(SA) 1 $5,000 $5,000 $3,900 9/29/2021

PNWR 2021-003(TS) 2 $3,000 $3,000 $1,500 9/29/2021

POCA 2020-001(SA) 1 $2,500 $2,500 $2,500 2/18/2021

POHC 2020-001(GC) 1 $5,000 $5,000 $3,900 9/29/2021

PSAP 2020-001(LI) 1 $2,500 $2,500 $1,950 9/29/2021

PSAP 2021-001(TS) 1 $2,500 $2,500 $1,875 9/29/2021

PTO 2016-002(SA) 1 $5,000 $5,000 $3,800 9/30/2021

PTO 2019-001(TS) 2 $5,000 $5,000 $3,800 9/30/2021

PTO 2020-001(SA) 1 $5,000 $5,000 $3,900 9/30/2021

PTO 2020-002(HMT) 1 $5,000 $5,000 $3,850 9/30/2021

PW 2020-001(ROP) 1 $7,500 $7,500 $5,850 9/29/2021

RJCC 2020-001(GC) 1 $5,000 $5,000 $5,000 10/21/2020

RPRC 2020-001(SA) 1 $5,000 $5,000 $3,250 3/9/2021

RRCV 2021-001(RW) 1 $1,500 $1,500 $1,500 2/25/2021

RSR 2020-001(SA) 1 $2,500 $2,500 $2,025 9/29/2021

RYIZ 2021-001(HMT) 1 $2,000 $2,000 $2,000 8/20/2021

SB 2020-001(SA) 1 $5,000 $5,000 $3,900 9/29/2021

SB 2021-001(SA) 1 $5,000 $5,000 $3,900 9/29/2021

SCAX 2020-001(LI) 1 $2,500 $2,500 $1,250 12/28/2020

SCAX 2020-002(SI) 1 $1,000 $1,000 $892 12/28/2020

SKOL 2020-006(GC) 1 $1,000 $1,000 $900 9/28/2021

SKOL 2020-007(SA) 1 $5,000 $5,000 $3,750 9/28/2021

SLWC 2020-002(TS) 2 $10,000 $10,000 $7,000 9/28/2021

SLWC 2020-003(TS) 2 $10,000 $10,000 $7,500 9/28/2021

SLWC 2020-004(TS) 1 $5,000 $5,000 $3,250 9/28/2021

SOU 2019-394(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2019-396(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2019-411(AD) 1 $7,500 $7,500 $5,550 9/30/2021

SOU 2019-414(ROP) 1 $7,500 $7,500 $5,925 9/30/2021

SOU 2019-417(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2019-423(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2019-425(AR) 1 $1,000 $1,000 $892 9/30/2021

SOU 2019-426(TS) 1 $30,000 $30,000 $24,000 9/30/2021

SOU 2019-428(TS) 1 $2,500 $2,500 $2,000 9/30/2021

SOU 2020-001(ROP) 1 $7,500 $7,500 $6,000 9/30/2021

SOU 2020-002(HMT) 1 $4,000 $4,000 $2,875 9/30/2021

SOU 2020-003(HMT) 1 $3,000 $3,000 $1,950 9/30/2021

SOU 2020-004(HMT) 1 $20,000 $10,000 $5,000 9/30/2021 Partially 

Terminated 

Violations: 1
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

SOU 2020-005(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-006(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-007(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-008(GC) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-009(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-010(HMT) 1 $5,000 $5,000 $2,500 9/30/2021

SOU 2020-011(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-012(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-013(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-014(TS) 1 $2,500 $2,500 $2,000 9/30/2021

SOU 2020-016(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-017(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-018(LI) 1 $2,500 $2,500 $2,000 9/30/2021

SOU 2020-019(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-020(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-021(ROP) 1 $9,500 $9,500 $7,885 9/30/2021

SOU 2020-022(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-024(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-025(LI) 1 $1,500 $1,500 $1,100 9/30/2021

SOU 2020-026(LI) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-027(HMT) 1 $5,000 $5,000 $3,625 9/30/2021

SOU 2020-028(TS) 1 $5,000 $5,000 $4,000 9/30/2021

SOU 2020-029(AD) 1 $5,000 $5,000 $3,625 9/30/2021

SOU 2020-030(TS) 1 $5,000 $5,000 $4,050 9/30/2021

SOU 2020-031(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-032(HMT) 1 $7,000 $7,000 $3,500 9/30/2021

SOU 2020-033(HMT) 1 $25,000 $10,000 $5,000 9/30/2021 Partially 

Terminated 

Violations: 1

SOU 2020-034(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-035(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-036(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-037(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-038(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-039(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-041(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-042(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-043(HMT) 1 $20,000 $10,000 $5,000 9/30/2021 Partially 

Terminated 

Violations: 1
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

SOU 2020-044(HMT) 1 $25,000 $10,000 $5,000 9/30/2021 Partially 

Terminated 

Violations: 1

SOU 2020-045(HMT) 1 $20,000 $10,000 $5,000 9/30/2021 Partially 

Terminated 

Violations: 1

SOU 2020-046(ROP) 1 $2,000 $2,000 $1,575 9/30/2021

SOU 2020-047(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-048(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-049(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-050(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-051(TS) 2 $7,500 $7,500 $6,075 9/30/2021

SOU 2020-052(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-053(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-054(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-055(HMT) 2 $7,500 $7,500 $5,000 9/30/2021

SOU 2020-056(HMT) 1 $10,000 $10,000 $5,000 9/30/2021

SOU 2020-057(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-058(HMT) 1 $6,000 $6,000 $3,250 9/30/2021

SOU 2020-059(HMT) 1 $10,000 $10,000 $5,000 9/30/2021

SOU 2020-060(HMT) 1 $20,000 $10,000 $5,000 9/30/2021 Partially 

Terminated 

Violations: 1

SOU 2020-061(RW) 1 $1,500 $1,500 $1,215 9/30/2021

SOU 2020-062(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-063(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-064(TS) 1 $5,000 $5,000 $4,050 9/30/2021

SOU 2020-065(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-066(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-067(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-068(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-069(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-070(HMT) 1 $10,000 $10,000 $5,000 9/30/2021

SOU 2020-072(AD) 1 $5,000 $5,000 $3,600 9/30/2021

SOU 2020-073(SI) 1 $2,500 $2,500 $1,500 9/30/2021

SOU 2020-074(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-075(AD) 1 $2,500 $2,500 $1,900 9/30/2021

SOU 2020-076(AD) 1 $10,000 $10,000 $7,300 9/30/2021

SOU 2020-077(AD) 1 $7,500 $7,500 $5,475 9/30/2021

SOU 2020-078(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-079(HMT) 1 $5,000 $5,000 $2,500 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

SOU 2020-080(HMT) 1 $20,000 $10,000 $5,000 9/30/2021 Partially 

Terminated 

Violations: 1

SOU 2020-081(HMT) 1 $2,500 $2,500 $1,650 9/30/2021

SOU 2020-082(HMT) 1 $5,000 $5,000 $3,300 9/30/2021

SOU 2020-084(CC) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-086(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-087(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-088(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-089(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-090(AD) 1 $5,000 $5,000 $3,600 9/30/2021

SOU 2020-091(AD) 1 $5,000 $5,000 $3,625 9/30/2021

SOU 2020-094(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-095(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-097(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-099(AD) 1 $5,000 $5,000 $3,600 9/30/2021

SOU 2020-100(AD) 1 $5,000 $5,000 $3,625 9/30/2021

SOU 2020-101(ROP) 1 $9,500 $9,500 $7,885 9/30/2021

SOU 2020-102(ROP) 1 $7,500 $7,500 $5,925 9/30/2021

SOU 2020-103(ROP) 1 $7,500 $7,500 $6,225 9/30/2021

SOU 2020-104(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-105(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-106(LI) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-107(HMT) 2 $37,000 $11,000 $5,750 9/30/2021 Partially 

Terminated 

Violations: 2

SOU 2020-108(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-109(LI) 1 $1,500 $1,500 $1,150 9/30/2021

SOU 2020-110(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-111(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-112(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-113(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-114(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-115(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-116(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-117(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-118(AD) 1 $5,000 $5,000 $3,600 9/30/2021

SOU 2020-119(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-120(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-121(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-123(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-124(AD) 1 $2,500 $2,500 $1,825 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

SOU 2020-126(AD) 1 $2,500 $2,500 $1,700 9/30/2021

SOU 2020-127(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-128(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-129(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-130(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-131(HMT) 1 $6,000 $0 $0 9/30/2021 Case Terminated

SOU 2020-132(HS) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-133(HS) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-134(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-135(AR) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-136(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-138(AD) 1 $5,000 $5,000 $3,600 9/30/2021

SOU 2020-139(AD) 1 $5,000 $5,000 $3,625 9/30/2021

SOU 2020-142(AD) 1 $15,000 $10,000 $7,300 9/30/2021 Partially 

Terminated 

Violations: 1

SOU 2020-143(AD) 1 $10,000 $5,000 $3,625 9/30/2021 Partially 

Terminated 

Violations: 1

SOU 2020-144(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-145(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-147(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-148(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-150(AD) 1 $2,500 $2,500 $1,825 9/30/2021

SOU 2020-151(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-152(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-153(AD) 1 $5,000 $5,000 $3,600 9/30/2021

SOU 2020-154(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-155(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-156(SA) 1 $2,500 $2,500 $2,000 9/30/2021

SOU 2020-157(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-158(SI) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-159(SI) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-160(CC) 1 $4,000 $4,000 $2,850 9/30/2021

SOU 2020-161(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-162(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-163(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-164(GC) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-165(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-166(SA) 1 $25,000 $25,000 $16,250 9/30/2021

SOU 2020-167(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-168(SA) 1 $2,500 $2,500 $1,875 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

SOU 2020-169(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-171(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-172(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-173(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-174(LI) 2 $4,000 $4,000 $3,000 9/30/2021

SOU 2020-175(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-176(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-177(ROP) 1 $7,500 $7,500 $5,850 9/30/2021

SOU 2020-178(LI) 1 $2,000 $2,000 $1,500 9/30/2021

SOU 2020-179(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-180(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-181(RSP) 1 $9,500 $9,500 $7,600 9/30/2021

SOU 2020-182(ROP) 1 $2,000 $2,000 $1,525 9/30/2021

SOU 2020-183(HMT) 2 $18,000 $18,000 $12,000 9/30/2021

SOU 2020-184(HMT) 1 $6,000 $6,000 $4,000 9/30/2021

SOU 2020-185(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-186(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-188(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-189(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-190(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-191(LI) 1 $3,500 $3,500 $2,600 9/30/2021

SOU 2020-194(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-195(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-196(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-197(LI) 1 $7,500 $7,500 $5,500 9/30/2021

SOU 2020-198(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-199(HMT) 1 $2,000 $2,000 $1,100 9/30/2021

SOU 2020-200(SI) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-201(HMT) 1 $5,000 $5,000 $3,600 9/30/2021

SOU 2020-202(HMT) 2 $10,500 $10,500 $7,580 9/30/2021

SOU 2020-203(ROP) 1 $20,000 $20,000 $16,600 9/30/2021

SOU 2020-204(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-205(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-206(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-207(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-208(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-209(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-210(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-211(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-212(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-213(SA) 1 $2,500 $2,500 $1,750 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

SOU 2020-214(ROP) 1 $10,000 $10,000 $7,800 9/30/2021

SOU 2020-215(AR) 1 $2,500 $2,500 $1,500 9/30/2021

SOU 2020-216(LI) 1 $2,500 $2,500 $2,000 9/30/2021

SOU 2020-217(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-218(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-219(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-220(EP) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-221(HMT) 1 $20,000 $10,000 $5,000 9/30/2021 Partially 

Terminated 

Violations: 1

SOU 2020-222(HMT) 1 $20,000 $10,000 $5,000 9/30/2021 Partially 

Terminated 

Violations: 1

SOU 2020-223(ROP) 1 $7,500 $7,500 $6,225 9/30/2021

SOU 2020-224(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-225(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-226(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-227(SA) 1 $5,000 $5,000 $3,000 9/30/2021

SOU 2020-228(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-229(HMT) 1 $9,000 $9,000 $6,525 9/30/2021

SOU 2020-230(AR) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-231(ROP) 1 $22,500 $22,500 $17,550 9/30/2021

SOU 2020-232(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-233(HMT) 1 $2,000 $2,000 $1,300 9/30/2021

SOU 2020-234(ROP) 1 $2,000 $2,000 $1,525 9/30/2021

SOU 2020-235(ROP) 1 $7,500 $7,500 $5,925 9/30/2021

SOU 2020-236(LI) 1 $2,000 $2,000 $1,500 9/30/2021

SOU 2020-238(LI) 1 $2,000 $2,000 $1,500 9/30/2021

SOU 2020-239(GC) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-243(RW) 1 $2,000 $2,000 $1,600 9/30/2021

SOU 2020-244(LI) 1 $3,000 $3,000 $2,250 9/30/2021

SOU 2020-245(SA) 1 $10,000 $10,000 $7,000 9/30/2021

SOU 2020-246(EP) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-247(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-248(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-249(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-250(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-251(HMT) 1 $4,000 $4,000 $2,700 9/30/2021

SOU 2020-252(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-253(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-254(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-255(FCS) 1 $2,500 $2,500 $1,750 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

SOU 2020-256(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-257(FCS) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-258(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-259(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-260(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-261(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-262(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-263(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-264(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-266(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-269(LI) 1 $2,000 $2,000 $1,500 9/30/2021

SOU 2020-271(HMT) 1 $20,000 $10,000 $5,000 9/30/2021 Partially 

Terminated 

Violations: 1

SOU 2020-272(GC) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-273(SA) 1 $5,000 $5,000 $3,200 9/30/2021

SOU 2020-274(TS) 1 $2,500 $2,500 $2,025 9/30/2021

SOU 2020-275(SI) 1 $2,500 $2,500 $1,500 9/30/2021

SOU 2020-276(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-278(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-279(TS) 2 $2,000 $2,000 $1,784 9/30/2021

SOU 2020-280(LI) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-281(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-282(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-283(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-284(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-285(SI) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-286(SI) 1 $2,500 $2,500 $1,500 9/30/2021

SOU 2020-287(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-288(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-289(TS) 1 $2,500 $2,500 $2,075 9/30/2021

SOU 2020-290(FCS) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-291(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-292(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-293(FCS) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-294(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-295(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-296(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-297(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-298(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-299(SA) 1 $2,500 $2,500 $1,500 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

SOU 2020-300(HMT) 1 $2,000 $2,000 $1,300 9/30/2021

SOU 2020-301(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-302(GC) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-303(FCS) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-304(AD) 1 $5,000 $5,000 $3,625 9/30/2021

SOU 2020-305(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-306(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-307(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-308(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-309(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-310(HMT) 2 $12,500 $12,500 $7,500 9/30/2021

SOU 2020-311(GC) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-312(HMT) 1 $7,000 $7,000 $3,500 9/30/2021

SOU 2020-313(HMT) 1 $5,000 $5,000 $2,500 9/30/2021

SOU 2020-314(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-315(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-316(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-317(ROP) 1 $7,500 $7,500 $6,000 9/30/2021

SOU 2020-318(ROP) 1 $10,000 $10,000 $8,000 9/30/2021

SOU 2020-319(ROP) 1 $9,500 $9,500 $892 9/30/2021

SOU 2020-320(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-321(ROP) 1 $7,500 $7,500 $6,000 9/30/2021

SOU 2020-322(ROP) 1 $9,500 $9,500 $8,170 9/30/2021

SOU 2020-323(ROP) 1 $7,500 $7,500 $6,000 9/30/2021

SOU 2020-324(ROP) 1 $7,500 $7,500 $6,000 9/30/2021

SOU 2020-325(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-326(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-327(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-328(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-329(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-330(ROP) 1 $7,500 $7,500 $6,225 9/30/2021

SOU 2020-331(ROP) 1 $7,500 $7,500 $6,000 9/30/2021

SOU 2020-332(HMT) 1 $7,500 $7,500 $5,075 9/30/2021

SOU 2020-333(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-334(TS) 1 $5,000 $5,000 $4,000 9/30/2021

SOU 2020-335(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-336(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-337(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-338(SA) 1 $5,000 $5,000 $3,750 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

SOU 2020-339(ROP) 1 $9,500 $5,000 $3,900 9/30/2021 Partially 

Terminated 

Violations: 1

SOU 2020-340(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-341(ROP) 1 $7,500 $7,500 $6,000 9/30/2021

SOU 2020-342(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-343(ROP) 1 $5,000 $5,000 $4,050 9/30/2021

SOU 2020-344(ROP) 1 $7,500 $7,500 $6,000 9/30/2021

SOU 2020-345(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-346(ROP) 1 $7,500 $7,500 $5,925 9/30/2021

SOU 2020-347(ROP) 1 $5,000 $5,000 $4,150 9/30/2021

SOU 2020-348(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-349(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-350(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-351(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-352(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-353(ROP) 1 $9,500 $9,500 $7,600 9/30/2021

SOU 2020-354(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-355(TS) 1 $5,000 $5,000 $4,000 9/30/2021

SOU 2020-356(RW) 1 $10,000 $10,000 $8,300 9/30/2021

SOU 2020-357(ROP) 1 $7,500 $7,500 $6,225 9/30/2021

SOU 2020-358(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-359(TS) 1 $5,000 $5,000 $4,000 9/30/2021

SOU 2020-360(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-361(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-362(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-363(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-364(TS) 1 $5,000 $5,000 $4,000 9/30/2021

SOU 2020-365(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-366(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-367(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-368(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-369(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-370(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-371(LI) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-372(LI) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-373(ROP) 1 $9,500 $9,500 $7,885 9/30/2021

SOU 2020-374(ROP) 1 $7,500 $7,500 $5,925 9/30/2021

SOU 2020-375(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-376(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-377(ROP) 1 $9,500 $9,500 $7,885 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

SOU 2020-378(GC) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-379(ROP) 1 $7,500 $7,500 $6,000 9/30/2021

SOU 2020-380(ROP) 1 $7,500 $7,500 $6,000 9/30/2021

SOU 2020-381(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-382(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-383(RW) 1 $2,000 $2,000 $1,560 9/30/2021

SOU 2020-384(SA) 1 $5,000 $5,000 $4,000 9/30/2021

SOU 2020-385(HMT) 1 $5,000 $5,000 $2,500 9/30/2021

SOU 2020-386(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-387(TH) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-388(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-389(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-390(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-391(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-393(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-394(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-395(HMT) 2 $19,000 $19,000 $12,825 9/30/2021

SOU 2020-396(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-397(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-398(ROP) 1 $7,500 $7,500 $6,225 9/30/2021

SOU 2020-399(ROP) 1 $5,000 $5,000 $4,000 9/30/2021

SOU 2020-400(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-401(ROP) 1 $5,000 $5,000 $4,000 9/30/2021

SOU 2020-402(ROP) 1 $9,500 $9,500 $7,885 9/30/2021

SOU 2020-403(FCS) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-404(FCS) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-405(FCS) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-406(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-407(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-408(ROP) 1 $7,500 $7,500 $5,925 9/30/2021

SOU 2020-409(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-410(SI) 1 $2,500 $2,500 $1,500 9/30/2021

SOU 2020-411(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-412(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-413(FCS) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-414(LI) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-415(LI) 1 $2,000 $2,000 $1,500 9/30/2021

SOU 2020-416(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-417(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-418(SA) 1 $15,000 $15,000 $11,000 9/30/2021

SOU 2020-419(ROP) 1 $2,000 $2,000 $1,520 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

SOU 2020-420(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-421(AR) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-423(AR) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-424(AR) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-426(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-427(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-428(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-429(GS) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-430(SI) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-431(ROP) 1 $7,500 $7,500 $6,000 9/30/2021

SOU 2020-432(LI) 1 $2,000 $2,000 $1,500 9/30/2021

SOU 2020-433(LI) 1 $2,000 $2,000 $1,500 9/30/2021

SOU 2020-434(ROP) 1 $9,500 $9,500 $7,885 9/30/2021

SOU 2020-435(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2020-437(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-438(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-440(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-441(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-442(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-443(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-446(AR) 1 $999 $0 $0 9/30/2021 Case Terminated

SOU 2020-447(AR) 1 $2,500 $0 $0 9/30/2021 Case Terminated

SOU 2020-448(GC) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-449(HMT) 1 $6,000 $6,000 $4,250 9/30/2021

SOU 2020-450(GC) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-452(AR) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-453(AR) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-455(AR) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-456(AR) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-457(GC) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-458(GC) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-459(RMM) 1 $5,000 $5,000 $4,000 9/30/2021

SOU 2020-461(FCS) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-462(ROP) 1 $2,000 $2,000 $1,575 9/30/2021

SOU 2020-463(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-464(SA) 1 $15,000 $15,000 $11,000 9/30/2021

SOU 2020-465(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-466(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-467(HMT) 1 $5,000 $5,000 $3,375 9/30/2021

SOU 2020-468(HMT) 3 $20,000 $20,000 $13,250 9/30/2021

SOU 2020-469(SA) 1 $5,000 $5,000 $3,750 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

SOU 2020-470(ROP) 1 $5,000 $5,000 $4,150 9/30/2021

SOU 2020-471(TS) 1 $5,000 $5,000 $3,950 9/30/2021

SOU 2020-473(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-474(HMT) 1 $2,000 $2,000 $1,350 9/30/2021

SOU 2020-476(RW) 1 $2,000 $2,000 $1,660 9/30/2021

SOU 2020-477(ROP) 1 $7,500 $7,500 $5,850 9/30/2021

SOU 2020-478(ROP) 1 $7,500 $7,500 $5,850 9/30/2021

SOU 2020-479(ROP) 1 $9,500 $9,500 $7,695 9/30/2021

SOU 2020-480(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-481(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-482(HMT) 2 $6,000 $6,000 $4,050 9/30/2021

SOU 2020-483(HMT) 2 $12,500 $12,500 $8,400 9/30/2021

SOU 2020-485(HMT) 1 $2,500 $2,500 $1,800 9/30/2021

SOU 2020-486(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-487(TS) 1 $5,000 $5,000 $4,050 9/30/2021

SOU 2020-488(RW) 1 $2,000 $2,000 $1,660 9/30/2021

SOU 2020-489(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-490(LI) 1 $2,000 $2,000 $1,500 9/30/2021

SOU 2020-491(LI) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-492(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-493(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-494(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-497(AR) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-498(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-501(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-504(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-509(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-510(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-512(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-513(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-515(ROP) 1 $7,500 $7,500 $6,000 9/30/2021

SOU 2020-516(SA) 1 $2,500 $2,500 $1,500 9/30/2021

SOU 2020-518(TS) 1 $5,000 $5,000 $4,050 9/30/2021

SOU 2020-519(TS) 3 $8,500 $8,500 $6,715 9/30/2021

SOU 2020-521(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-522(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-524(ROP) 1 $5,000 $5,000 $4,150 9/30/2021

SOU 2020-525(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-527(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-528(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-530(SA) 1 $2,500 $2,500 $1,875 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

SOU 2020-531(LI) 1 $2,000 $2,000 $1,500 9/30/2021

SOU 2020-533(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-534(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-536(LI) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-537(FCS) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-539(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-540(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-542(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-543(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-545(ROP) 1 $7,500 $7,500 $5,925 9/30/2021

SOU 2020-546(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-549(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-551(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-552(GC) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2020-554(TS) 1 $5,000 $5,000 $4,050 9/30/2021

SOU 2020-555(TS) 1 $4,000 $4,000 $2,950 9/30/2021

SOU 2020-557(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2020-558(SA) 1 $10,000 $10,000 $7,500 9/30/2021

SOU 2020-560(HMT) 1 $7,500 $7,500 $5,000 9/30/2021

SOU 2020-561(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-563(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2020-564(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2020-566(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2020-567(AR) 1 $1,000 $1,000 $892 9/30/2021

SOU 2020-569(ROP) 1 $2,000 $2,000 $1,575 9/30/2021

SOU 2020-570(ROP) 1 $7,500 $7,500 $6,000 9/30/2021

SOU 2020-574(AR) 1 $999 $999 $892 9/30/2021

SOU 2020-575(AR) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2021-002(TS) 1 $5,000 $5,000 $4,000 9/30/2021

SOU 2021-003(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2021-005(TS) 1 $5,000 $5,000 $4,050 9/30/2021

SOU 2021-006(HMT) 1 $2,000 $2,000 $1,350 9/30/2021

SOU 2021-008(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2021-009(LI) 1 $2,000 $2,000 $1,500 9/30/2021

SOU 2021-011(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2021-012(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2021-014(ROP) 1 $2,000 $2,000 $1,575 9/30/2021

SOU 2021-015(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2021-017(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2021-018(EP) 1 $1,000 $1,000 $892 9/30/2021

SOU 2021-020(SA) 1 $10,000 $10,000 $7,250 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

SOU 2021-021(SA) 1 $2,500 $2,500 $1,875 9/30/2021

SOU 2021-023(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2021-024(RW) 1 $2,000 $2,000 $1,660 9/30/2021

SOU 2021-026(HMT) 2 $11,000 $11,000 $7,600 9/30/2021

SOU 2021-027(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2021-029(LI) 1 $10,000 $10,000 $7,250 9/30/2021

SOU 2021-030(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2021-032(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2021-033(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2021-035(TS) 2 $28,000 $28,000 $25,424 9/30/2021

SOU 2021-036(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2021-038(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2021-039(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2021-041(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2021-042(SA) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2021-044(AR) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2021-045(AR) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2021-047(AR) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2021-048(AR) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2021-050(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2021-051(ROP) 1 $9,500 $9,500 $7,885 9/30/2021

SOU 2021-053(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2021-054(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2021-057(HMT) 1 $2,000 $2,000 $1,350 9/30/2021

SOU 2021-060(HMT) 1 $5,000 $5,000 $3,300 9/30/2021

SOU 2021-063(TS) 1 $5,000 $5,000 $4,050 9/30/2021

SOU 2021-066(ROP) 1 $5,000 $5,000 $3,900 9/30/2021

SOU 2021-072(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2021-075(LI) 1 $2,500 $2,500 $1,950 9/30/2021

SOU 2021-078(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2021-081(HMT) 1 $5,000 $5,000 $3,300 9/30/2021

SOU 2021-084(SA) 1 $5,000 $5,000 $3,500 9/30/2021

SOU 2021-087(FCS) 1 $2,500 $2,500 $1,750 9/30/2021

SOU 2021-090(ROP) 1 $7,500 $7,500 $6,225 9/30/2021

SOU 2021-093(SA) 1 $5,000 $5,000 $3,750 9/30/2021

SOU 2021-096(SI) 1 $1,000 $1,000 $892 9/30/2021

SOU 2021-101(HSR) 1 $1,000 $1,000 $892 9/30/2021

SOU 2021-106(HMT) 1 $5,000 $5,000 $3,300 9/30/2021

SOU 2021-109(ROP) 1 $9,500 $9,500 $7,885 9/30/2021

SOU 2021-114(TS) 1 $2,000 $2,000 $1,816 9/30/2021

SOU 2021-117(SA) 1 $5,000 $5,000 $3,750 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

SOU 2021-120(EP) 1 $1,000 $1,000 $892 9/30/2021

SRN 2014-001(ROP) 1 $7,500 $7,500 $4,125 4/21/2021

SRN 2014-002(TS) 1 $5,000 $5,000 $2,750 4/21/2021

SRN 2015-001(TS) 2 $5,000 $5,000 $2,750 4/21/2021

SRN 2019-001(TS) 2 $7,500 $7,500 $5,000 4/21/2021

ST 2020-001(SA) 1 $5,000 $5,000 $4,250 9/14/2021

ST 2020-002(HS) 1 $2,000 $2,000 $1,800 9/14/2021

ST 2020-003(HS) 1 $2,000 $2,000 $1,800 9/14/2021

ST 2020-004(ROP) 1 $7,500 $7,500 $7,000 9/14/2021

ST 2021-001(SA) 1 $5,000 $5,000 $4,250 9/14/2021

ST 2021-002(ROP) 1 $9,500 $9,500 $7,800 9/14/2021

STMA 2020-001(TS) 1 $5,000 $5,000 $5,000 6/17/2021

STMA 2021-002(TS) 1 $5,000 $5,000 $5,000 6/17/2021

STMA 2021-003(TS) 1 $5,000 $5,000 $5,000 6/17/2021

STMA 2021-004(TS) 1 $5,000 $5,000 $5,000 6/17/2021

SUOC 2020-002(HMT) 1 $2,000 $2,000 $2,000 6/3/2021

SW 2020-001(LI) 1 $2,500 $2,500 $2,500 11/20/2020

TEVR 2015-001(LIS) 2 $3,000 $0 $0 4/9/2021 Case Terminated

TEVR 2015-002(LI) 3 $7,500 $0 $0 4/9/2021 Case Terminated

TEVR 2016-001(AD) 1 $2,500 $0 $0 4/9/2021 Case Terminated

TEVR 2017-001(AD) 1 $2,500 $0 $0 4/9/2021 Case Terminated

TGCZ 2021-001(HMT) 1 $5,000 $5,000 $5,000 5/28/2021

TM 2020-001(TS) 1 $5,000 $5,000 $3,750 6/29/2021

TMBL 2021-001(ROP) 1 $9,500 $9,500 $5,750 2/16/2021

TN 2020-002(CC) 1 $4,000 $4,000 $4,000 6/11/2021

TPW 2020-001(HMT) 1 $5,000 $5,000 $3,900 9/29/2021

TPW 2020-002(ROP) 1 $9,500 $9,500 $7,410 9/29/2021

TSWS 2018-001(SA) 1 $15,000 $15,000 $7,500 2/2/2021

TSWS 2019-002(AD) 1 $5,000 $5,000 $3,000 2/2/2021

TSWS 2020-001(ROP) 1 $7,500 $7,500 $4,000 2/2/2021

TTXJ 2020-001(FCS) 1 $2,500 $2,500 $2,500 3/11/2021

TTXJ 2020-002(FCS) 1 $2,500 $2,500 $2,500 3/11/2021

TTXJ 2021-001(FCS) 1 $2,500 $2,500 $2,500 6/7/2021

TXN 2020-002(ROP) 1 $7,500 $7,500 $3,250 9/28/2021

TXOR 2015-001(LI) 5 $20,000 $0 $0 5/13/2021 Case Terminated

TXOR 2015-002(LI) 1 $1,000 $0 $0 5/13/2021 Case Terminated

UP 2016-1031(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2016-1086(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2016-218(SI) 1 $1,000 $1,000 $853 9/30/2021

UP 2016-318(LI) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2016-782(LI) 1 $2,500 $2,500 $1,925 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2018-476(SI) 1 $25,000 $25,000 $20,000 9/30/2021

UP 2018-647(TS) 2 $5,000 $5,000 $133,650 9/30/2021

UP 2019-177(GC) 1 $10,000 $10,000 $7,800 9/30/2021

UP 2019-198(HSR) 1 $1,000 $1,000 $870 9/30/2021

UP 2019-217(SA) 1 $10,000 $10,000 $7,300 9/30/2021

UP 2019-413(AR) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2019-609(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-610(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-611(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-620(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-621(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-623(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-624(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-629(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-631(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-632(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-637(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-638(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-639(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-643(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-648(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-649(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-652(HS) 1 $1,000 $1,000 $870 9/30/2021

UP 2019-658(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-659(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-660(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-665(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-669(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-674(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-675(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-676(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-683(HSR) 1 $2,500 $2,500 $1,700 9/30/2021

UP 2019-687(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-688(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-692(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-728(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-729(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-730(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-731(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-732(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-733(SA) 1 $5,000 $5,000 $3,700 4/11/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2019-734(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-735(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-737(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-738(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-739(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-740(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-741(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-742(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-743(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-749(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-755(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-756(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-757(SA) 1 $1,250 $1,250 $925 4/11/2021

UP 2019-758(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-759(SA) 1 $1,000 $1,000 $892 4/11/2021

UP 2019-760(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-762(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-763(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-764(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-775(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-779(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-782(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-785(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-786(SA) 1 $2,500 $2,500 $1,850 4/11/2021

UP 2019-789(SA) 1 $5,000 $5,000 $3,700 4/11/2021

UP 2019-796(SA) 1 $2,000 $2,000 $1,480 4/11/2021

UP 2020-019(FCS) 1 $2,500 $2,500 $2,075 9/30/2021

UP 2020-1001(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-101(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-1011(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-1015(GC) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-1020(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-1026(ROP) 1 $15,000 $15,000 $10,800 9/30/2021

UP 2020-1030(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-1031(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-1035(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-1036(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-1040(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-1041(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-1045(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-1046(SA) 1 $5,000 $5,000 $3,850 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-1050(ROP) 1 $9,500 $9,500 $6,840 9/30/2021

UP 2020-1051(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-1064(HS) 1 $2,000 $2,000 $1,660 9/30/2021

UP 2020-1075(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-1084(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-1089(ROP) 1 $5,000 $5,000 $3,750 9/30/2021

UP 2020-1090(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-1094(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-1104(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-1105(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-1109(HMT) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-1110(HMT) 2 $2,000 $2,000 $1,540 9/30/2021

UP 2020-1112(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-1114(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-1117(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-1118(HMT) 1 $2,000 $2,000 $1,540 9/30/2021

UP 2020-1119(HMT) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-1124(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-1139(TS) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-1140(HMT) 1 $2,000 $2,000 $1,540 9/30/2021

UP 2020-1144(HMT) 1 $7,500 $7,500 $5,910 9/30/2021

UP 2020-1145(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-1154(ROP) 1 $9,500 $9,500 $6,750 9/30/2021

UP 2020-1155(HS) 1 $2,000 $2,000 $1,660 9/30/2021

UP 2020-1160(HSR) 1 $2,000 $2,000 $1,784 9/30/2021

UP 2020-1164(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-1165(ROP) 1 $7,500 $7,500 $7,500 9/30/2021

UP 2020-1169(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-1170(TS) 1 $5,000 $5,000 $4,150 9/30/2021

UP 2020-1174(HMT) 1 $1,000 $1,000 $830 9/30/2021

UP 2020-1184(ROP) 1 $13,000 $13,000 $9,360 9/30/2021

UP 2020-1187(HMT) 2 $12,500 $12,500 $9,850 9/30/2021

UP 2020-1188(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-1193(ROP) 1 $5,000 $5,000 $3,750 9/30/2021

UP 2020-1198(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-1202(ROP) 1 $9,500 $9,500 $6,840 9/30/2021

UP 2020-1218(SI) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-1219(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-1224(HMT) 1 $6,000 $6,000 $4,730 9/30/2021

UP 2020-1225(HMT) 1 $2,000 $2,000 $1,540 9/30/2021

UP 2020-1229(LI) 1 $2,500 $2,500 $2,075 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-125(HMT) 1 $40,000 $40,000 $31,540 9/30/2021

UP 2020-127(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-141(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-145(LI) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-151(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-153(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-155(FCS) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-157(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-159(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-161(LI) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-162(LI) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-163(LI) 2 $5,000 $5,000 $3,800 9/30/2021

UP 2020-172(GC) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-180(LI) 1 $7,500 $7,500 $5,900 9/30/2021

UP 2020-182(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-185(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-186(ROP) 1 $5,000 $5,000 $3,600 9/30/2021

UP 2020-187(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-189(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-190(FCS) 1 $2,500 $2,500 $1,600 9/30/2021

UP 2020-192(FCS) 1 $2,500 $2,500 $1,600 9/30/2021

UP 2020-193(LI) 1 $2,500 $2,500 $2,075 9/30/2021

UP 2020-195(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-200(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-205(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-207(FCS) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-208(FCS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-209(HMT) 2 $6,500 $6,500 $5,005 9/30/2021

UP 2020-218(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-222(HS) 1 $893 $893 $892 9/30/2021

UP 2020-223(ROP) 1 $2,000 $2,000 $1,400 9/30/2021

UP 2020-228(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-240(TS) 1 $2,500 $2,500 $2,075 9/30/2021

UP 2020-242(GC) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-243(GC) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-244(GC) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-247(GC) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-248(GC) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-249(GC) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-258(GC) 1 $5,000 $5,000 $3,750 9/30/2021

UP 2020-273(GC) 1 $5,000 $5,000 $3,750 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-274(GC) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-277(GC) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-279(GC) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-287(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-293(GC) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-297(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-302(FCS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-306(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-308(HMT) 1 $12,500 $12,500 $9,850 9/30/2021

UP 2020-350(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-352(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-354(CC) 1 $4,000 $4,000 $2,900 9/30/2021

UP 2020-355(EQ) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-357(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-359(FCS) 1 $7,500 $7,500 $5,900 9/30/2021

UP 2020-360(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-361(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-362(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-363(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-364(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-365(LI) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-366(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-367(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-368(HS) 1 $2,000 $2,000 $1,784 9/30/2021

UP 2020-369(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-370(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-371(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-372(FCS) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-373(FCS) 1 $2,500 $2,500 $1,600 9/30/2021

UP 2020-374(HMT) 1 $7,500 $7,500 $5,910 9/30/2021

UP 2020-375(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-376(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-377(LI) 1 $2,500 $2,500 $2,075 9/30/2021

UP 2020-378(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-379(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-380(HMT) 1 $2,000 $2,000 $1,540 9/30/2021

UP 2020-381(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-382(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-383(RW) 1 $3,000 $3,000 $2,310 9/30/2021

UP 2020-384(TS) 1 $2,500 $2,500 $1,825 9/30/2021

UP 2020-385(HMT) 12 $60,000 $60,000 $47,310 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-386(FCS) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-387(FCS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-388(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-390(HMT) 1 $2,000 $2,000 $1,540 9/30/2021

UP 2020-391(HMT) 1 $5,000 $5,000 $3,400 9/30/2021

UP 2020-393(HS) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-394(HMT) 1 $2,000 $2,000 $1,540 9/30/2021

UP 2020-395(TS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-396(TS) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-398(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-399(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-400(LI) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-401(LI) 1 $1,500 $1,500 $1,155 9/30/2021

UP 2020-403(LI) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-404(LI) 1 $1,500 $1,500 $1,125 9/30/2021

UP 2020-405(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-406(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-408(LI) 1 $5,000 $5,000 $1,925 9/30/2021

UP 2020-409(LI) 1 $5,000 $5,000 $3,400 9/30/2021

UP 2020-410(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-413(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-414(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-415(TS) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-416(RW) 1 $1,500 $1,500 $1,155 9/30/2021

UP 2020-418(RMM) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-419(HMT) 1 $15,000 $15,000 $11,820 9/30/2021

UP 2020-420(FCS) 1 $2,500 $2,500 $1,600 9/30/2021

UP 2020-421(FCS) 1 $2,500 $2,500 $1,975 9/30/2021

UP 2020-423(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-424(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-425(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-426(SA) 1 $5,000 $5,000 $3,900 9/30/2021

UP 2020-428(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-429(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-430(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-431(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-432(LI) 2 $7,500 $7,500 $5,900 9/30/2021

UP 2020-433(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-434(SA) 1 $3,000 $3,000 $2,200 9/30/2021

UP 2020-435(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-436(LI) 1 $2,500 $2,500 $1,925 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-438(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-439(TS) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-440(HMT) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-441(HMT) 1 $1,000 $1,000 $830 9/30/2021

UP 2020-443(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-444(FCS) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-445(TS) 1 $5,000 $5,000 $4,400 9/30/2021

UP 2020-446(TS) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-447(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-448(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-449(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-450(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-452(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-453(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-454(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-455(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-457(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-458(FCS) 1 $2,500 $2,500 $1,950 9/30/2021

UP 2020-459(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-460(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-462(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-463(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-464(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-465(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-467(HMT) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-468(HSR) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-470(HMT) 1 $5,000 $5,000 $3,400 9/30/2021

UP 2020-472(TS) 1 $5,000 $5,000 $4,150 9/30/2021

UP 2020-473(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-474(LI) 1 $2,500 $2,500 $2,075 9/30/2021

UP 2020-475(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-476(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-478(TS) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-479(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-480(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-481(HS) 1 $2,000 $2,000 $1,784 9/30/2021

UP 2020-483(HSR) 1 $2,000 $2,000 $1,784 9/30/2021

UP 2020-484(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-485(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-486(SA) 1 $10,000 $10,000 $7,700 9/30/2021

UP 2020-488(ROP) 1 $2,000 $2,000 $1,500 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-490(RSP) 1 $9,500 $9,500 $6,460 9/30/2021

UP 2020-491(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-493(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-494(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-495(RW) 1 $2,000 $2,000 $1,540 9/30/2021

UP 2020-496(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-497(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-498(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-500(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-501(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-502(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-503(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-505(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-506(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-507(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-508(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-510(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-511(SA) 1 $5,000 $5,000 $3,900 9/30/2021

UP 2020-512(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-513(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-515(FCS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-516(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-517(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-518(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-520(SA) 1 $2,500 $2,500 $1,950 9/30/2021

UP 2020-521(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-522(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-523(TS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-525(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-526(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-527(TS) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-528(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-530(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-531(SA) 1 $10,000 $10,000 $7,300 9/30/2021

UP 2020-532(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-535(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-536(HMT) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-537(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-538(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-540(FCS) 1 $2,000 $2,000 $1,540 9/30/2021

UP 2020-541(SA) 1 $2,500 $2,500 $1,900 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-542(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-545(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-546(FCS) 1 $2,500 $2,500 $1,600 9/30/2021

UP 2020-547(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-548(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-550(FCS) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-551(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-552(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-553(TS) 1 $5,000 $5,000 $4,150 9/30/2021

UP 2020-555(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-556(HMT) 1 $4,000 $4,000 $3,080 9/30/2021

UP 2020-557(TS) 1 $2,500 $2,500 $1,950 9/30/2021

UP 2020-558(HMT) 2 $7,000 $7,000 $5,390 9/30/2021

UP 2020-560(LI) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-561(HMT) 1 $2,000 $2,000 $1,540 9/30/2021

UP 2020-563(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-564(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-565(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-566(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-568(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-569(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-570(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-571(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-573(SA) 1 $2,500 $2,500 $2,075 9/30/2021

UP 2020-574(SA) 1 $5,000 $5,000 $3,500 9/30/2021

UP 2020-575(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-576(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-578(TS) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-579(TS) 1 $5,000 $5,000 $3,900 9/30/2021

UP 2020-580(FCS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-581(FCS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-583(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-584(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-585(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-586(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-588(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-589(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-590(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-591(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-594(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-595(SA) 1 $2,500 $2,500 $1,925 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-596(HMT) 1 $4,000 $4,000 $3,080 9/30/2021

UP 2020-598(TS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-599(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-600(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-601(ROP) 1 $5,000 $5,000 $3,750 9/30/2021

UP 2020-603(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-604(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-605(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-606(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-608(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-609(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-610(RW) 2 $5,000 $5,000 $3,850 9/30/2021

UP 2020-611(TS) 1 $5,000 $5,000 $4,150 9/30/2021

UP 2020-613(TS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-615(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-616(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-618(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-619(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-620(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-621(HSR) 1 $2,000 $2,000 $1,784 9/30/2021

UP 2020-623(LI) 1 $1,500 $1,500 $1,125 9/30/2021

UP 2020-625(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-626(FCS) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-628(FCS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-631(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-633(ROP) 1 $5,000 $5,000 $3,750 9/30/2021

UP 2020-634(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-635(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-636(SA) 1 $2,500 $2,500 $1,600 9/30/2021

UP 2020-638(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-640(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-641(SA) 1 $2,500 $2,500 $1,750 9/30/2021

UP 2020-642(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-643(TS) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-645(FCS) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-646(FCS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-647(FCS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-648(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-650(ROP) 1 $5,000 $5,000 $3,750 9/30/2021

UP 2020-651(LI) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-652(LI) 1 $2,500 $2,500 $1,925 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-653(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-655(FCS) 1 $2,500 $2,500 $1,600 9/30/2021

UP 2020-656(ROP) 1 $5,000 $5,000 $3,750 9/30/2021

UP 2020-657(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-658(FCS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-661(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-662(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-663(LI) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-664(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-665(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-666(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-667(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-668(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-669(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-670(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-671(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-672(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-673(HMT) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-675(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-676(HS) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-677(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-678(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-679(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-680(FCS) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-681(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-682(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-683(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-684(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-685(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-686(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-687(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-688(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-691(TS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-693(RW) 1 $1,500 $1,500 $1,155 9/30/2021

UP 2020-695(FCS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-696(TS) 2 $10,000 $10,000 $8,500 9/30/2021

UP 2020-698(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-701(HS) 1 $2,000 $0 $0 9/30/2021 Case Terminated

UP 2020-703(HS) 1 $2,000 $2,000 $1,784 9/30/2021

UP 2020-704(HSR) 1 $2,000 $2,000 $1,784 9/30/2021

UP 2020-706(ROP) 1 $2,000 $2,000 $1,500 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-708(ROP) 1 $6,000 $6,000 $4,500 9/30/2021

UP 2020-709(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-710(ROP) 1 $9,500 $9,500 $6,840 9/30/2021

UP 2020-711(ROP) 1 $9,500 $9,500 $6,840 9/30/2021

UP 2020-713(ROP) 1 $15,000 $7,500 $5,000 9/30/2021 Partially 

Terminated 

Violations: 1

UP 2020-714(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-715(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-716(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-718(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-719(ROP) 1 $9,500 $9,500 $6,840 9/30/2021

UP 2020-720(ROP) 1 $7,500 $7,500 $5,000 9/30/2021

UP 2020-721(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-723(SA) 1 $2,500 $2,500 $1,950 9/30/2021

UP 2020-725(FCS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-726(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-727(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-728(HMT) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-730(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-731(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-732(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-733(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-734(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-735(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-736(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-737(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-738(SA) 1 $2,500 $2,500 $1,950 9/30/2021

UP 2020-739(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-740(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-741(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-742(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-743(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-744(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-745(ROP) 1 $16,000 $16,000 $11,520 9/30/2021

UP 2020-746(LI) 1 $3,000 $3,000 $2,340 9/30/2021

UP 2020-747(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-748(SA) 1 $2,500 $2,500 $1,950 9/30/2021

UP 2020-749(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-750(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-751(SA) 1 $5,000 $5,000 $3,850 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-752(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-753(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-754(HMT) 2 $9,000 $9,000 $7,090 9/30/2021

UP 2020-755(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-756(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-757(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-758(FCS) 1 $2,500 $2,500 $1,600 9/30/2021

UP 2020-759(LI) 1 $1,000 $1,000 $870 9/30/2021

UP 2020-760(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-761(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-762(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-763(SA) 1 $2,500 $2,500 $1,600 9/30/2021

UP 2020-764(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-765(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-766(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-767(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-768(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-769(LI) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-770(LI) 1 $1,000 $1,000 $870 9/30/2021

UP 2020-771(LI) 2 $3,500 $3,500 $2,517 9/30/2021

UP 2020-772(LI) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-773(LI) 3 $5,500 $5,500 $4,300 9/30/2021

UP 2020-774(LI) 1 $4,000 $4,000 $3,100 9/30/2021

UP 2020-775(LI) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-776(LI) 2 $5,000 $5,000 $3,900 9/30/2021

UP 2020-777(LI) 1 $1,500 $1,500 $1,155 9/30/2021

UP 2020-778(LI) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-779(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-780(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-781(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-782(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-783(HMT) 1 $3,500 $3,500 $2,695 9/30/2021

UP 2020-784(HMT) 2 $11,500 $11,500 $9,060 9/30/2021

UP 2020-785(HMT) 1 $6,000 $6,000 $4,620 9/30/2021

UP 2020-786(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-787(FCS) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-788(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-789(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-790(FCS) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-791(FCS) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-793(SA) 1 $2,500 $2,500 $1,900 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-794(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-795(SA) 1 $2,000 $2,000 $1,450 9/30/2021

UP 2020-796(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-797(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-798(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-799(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-800(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-801(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-803(SA) 1 $10,000 $10,000 $7,700 9/30/2021

UP 2020-804(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-805(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-806(LI) 1 $2,500 $2,500 $1,600 9/30/2021

UP 2020-807(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-808(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-809(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-810(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-811(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-812(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-813(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-814(FCS) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-815(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-816(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-817(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-818(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-819(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-820(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-821(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-823(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-824(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-825(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-826(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-827(SA) 1 $2,500 $2,500 $1,950 9/30/2021

UP 2020-828(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-829(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-830(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-831(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-832(ROP) 1 $5,000 $5,000 $3,750 9/30/2021

UP 2020-833(ROP) 1 $5,000 $5,000 $3,750 9/30/2021

UP 2020-834(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-835(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-836(ROP) 1 $1,000 $1,000 $892 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-837(LI) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-838(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-839(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-840(FCS) 1 $2,500 $2,500 $1,825 9/30/2021

UP 2020-841(LI) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-843(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-844(HMT) 2 $51,000 $51,000 $12,000 9/30/2021

UP 2020-845(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-847(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-848(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-849(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-850(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-852(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-853(HS) 1 $2,000 $2,000 $1,787 9/30/2021

UP 2020-854(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-855(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-856(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-857(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-858(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-859(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-860(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-861(ROP) 1 $6,000 $6,000 $4,250 9/30/2021

UP 2020-862(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-863(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-864(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-866(TS) 1 $5,000 $5,000 $3,400 9/30/2021

UP 2020-867(TS) 1 $5,000 $5,000 $3,400 9/30/2021

UP 2020-868(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-869(LI) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-870(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-871(HS) 1 $3,000 $3,000 $2,676 9/30/2021

UP 2020-872(HS) 1 $2,000 $2,000 $1,784 9/30/2021

UP 2020-873(HS) 1 $2,000 $2,000 $1,784 9/30/2021

UP 2020-875(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-876(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-877(ROP) 1 $9,500 $9,500 $6,840 9/30/2021

UP 2020-878(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-879(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-881(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-883(SA) 1 $15,000 $15,000 $11,750 9/30/2021

UP 2020-884(FCS) 1 $3,750 $3,750 $2,737 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-885(TS) 2 $2,000 $2,000 $1,784 9/30/2021

UP 2020-886(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-888(SA) 1 $2,500 $2,500 $1,950 9/30/2021

UP 2020-889(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-890(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-891(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-893(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-894(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-895(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-896(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-898(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-899(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-900(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-901(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-903(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-904(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-905(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-906(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-908(LI) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-909(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-910(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-911(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-913(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-914(TS) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-915(LI) 1 $2,000 $2,000 $1,540 9/30/2021

UP 2020-916(FCS) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-918(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-919(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-920(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-921(FCS) 1 $2,500 $2,500 $2,075 9/30/2021

UP 2020-922(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-923(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-924(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-925(LI) 1 $12,000 $12,000 $10,200 9/30/2021

UP 2020-927(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-928(SA) 2 $10,000 $10,000 $7,600 9/30/2021

UP 2020-929(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-930(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-932(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-933(SA) 1 $17,500 $17,500 $12,500 9/30/2021

UP 2020-934(SA) 1 $5,000 $5,000 $3,650 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-935(LI) 2 $3,000 $3,000 $2,280 9/30/2021

UP 2020-937(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-938(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-939(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-940(EP) 1 $2,000 $2,000 $1,784 9/30/2021

UP 2020-942(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-943(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-945(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-947(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-948(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-949(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-951(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-952(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-953(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-954(ROP) 1 $7,500 $7,500 $5,500 9/30/2021

UP 2020-956(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-957(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-959(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-961(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-962(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2020-963(FCS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-964(TS) 2 $5,000 $5,000 $3,800 9/30/2021

UP 2020-966(LI) 1 $2,000 $2,000 $1,540 9/30/2021

UP 2020-967(LI) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-968(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-969(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-971(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-972(SA) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2020-974(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-975(SA) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-976(SA) 1 $2,500 $2,500 $1,800 9/30/2021

UP 2020-977(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-979(LI) 1 $2,000 $2,000 $1,520 9/30/2021

UP 2020-980(EP) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-981(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-982(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-984(LI) 1 $2,500 $2,500 $2,075 9/30/2021

UP 2020-985(SA) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2020-986(FCS) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2020-987(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2020-989(FCS) 1 $2,500 $2,500 $1,900 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2020-990(TS) 1 $2,500 $2,500 $1,950 9/30/2021

UP 2020-991(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-992(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-994(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2020-995(LI) 1 $1,000 $1,000 $892 9/30/2021

UP 2020-996(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2020-997(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-004(SA) 1 $4,000 $4,000 $3,080 9/30/2021

UP 2021-005(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2021-008(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-009(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-013(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-014(ROP) 1 $2,000 $2,000 $1,400 9/30/2021

UP 2021-018(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-019(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-023(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-024(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-028(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-029(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-033(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-034(HS) 1 $2,000 $2,000 $1,660 9/30/2021

UP 2021-038(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2021-039(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-043(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-044(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-048(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-049(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-053(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-054(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-058(ROP) 1 $8,000 $8,000 $5,500 9/30/2021

UP 2021-059(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-064(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-065(FCS) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-069(RW) 1 $2,000 $2,000 $1,540 9/30/2021

UP 2021-070(SA) 1 $10,000 $10,000 $7,700 9/30/2021

UP 2021-074(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-075(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-079(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-080(SA) 1 $2,500 $2,500 $2,200 9/30/2021

UP 2021-084(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-085(SA) 1 $5,000 $5,000 $3,850 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2021-090(TS) 1 $5,000 $5,000 $4,150 9/30/2021

UP 2021-094(SA) 1 $10,000 $10,000 $7,700 9/30/2021

UP 2021-095(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-099(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-100(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-104(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-105(ROP) 1 $5,000 $5,000 $3,500 9/30/2021

UP 2021-109(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-110(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-114(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-115(SA) 1 $10,000 $10,000 $7,700 9/30/2021

UP 2021-119(LI) 1 $1,500 $1,500 $1,155 9/30/2021

UP 2021-120(TS) 1 $2,500 $2,500 $2,075 9/30/2021

UP 2021-124(SA) 1 $2,000 $2,000 $1,540 9/30/2021

UP 2021-125(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-129(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-130(SA) 1 $2,500 $2,500 $2,200 9/30/2021

UP 2021-137(SA) 1 $3,000 $3,000 $2,310 9/30/2021

UP 2021-138(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-142(SA) 1 $10,000 $10,000 $7,700 9/30/2021

UP 2021-143(ROP) 1 $2,000 $2,000 $1,500 9/30/2021

UP 2021-147(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-148(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-152(RW) 1 $2,000 $2,000 $1,540 9/30/2021

UP 2021-153(EP) 1 $1,000 $1,000 $892 9/30/2021

UP 2021-157(FCS) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-158(GC) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2021-162(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-163(TS) 2 $6,000 $6,000 $4,980 9/30/2021

UP 2021-167(FCS) 1 $20,000 $20,000 $15,800 9/30/2021

UP 2021-168(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-172(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-173(FCS) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-176(SA) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-177(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-182(GC) 1 $5,000 $5,000 $3,900 9/30/2021

UP 2021-186(SA) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-187(FCS) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-191(SA) 1 $5,000 $5,000 $3,863 9/30/2021

UP 2021-192(SA) 1 $5,000 $5,000 $3,950 9/30/2021

UP 2021-196(SA) 1 $10,000 $10,000 $7,900 9/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

UP 2021-197(FCS) 1 $2,000 $2,000 $1,540 9/30/2021

UP 2021-201(SA) 1 $2,500 $2,500 $1,975 9/30/2021

UP 2021-202(SA) 1 $5,000 $5,000 $3,950 9/30/2021

UP 2021-206(SA) 1 $5,000 $5,000 $3,950 9/30/2021

UP 2021-207(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-211(ROP) 1 $4,000 $4,000 $2,800 9/30/2021

UP 2021-212(ROP) 1 $7,500 $7,500 $5,400 9/30/2021

UP 2021-214(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-216(SA) 1 $5,000 $5,000 $3,950 9/30/2021

UP 2021-217(TH) 1 $5,000 $5,000 $3,400 9/30/2021

UP 2021-219(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-221(LI) 1 $5,000 $5,000 $3,850 9/30/2021

UP 2021-225(HS) 1 $1,000 $1,000 $908 9/30/2021

UP 2021-227(HS) 1 $2,000 $2,000 $1,660 9/30/2021

UP 2021-229(HS) 1 $4,000 $4,000 $3,320 9/30/2021

UP 2021-232(HS) 1 $2,000 $2,000 $1,660 9/30/2021

UP 2021-234(LI) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-236(SA) 1 $5,000 $5,000 $3,950 9/30/2021

UP 2021-239(SA) 1 $5,000 $5,000 $3,950 9/30/2021

UP 2021-241(SA) 1 $5,000 $5,000 $3,950 9/30/2021

UP 2021-244(GC) 1 $5,000 $5,000 $3,900 9/30/2021

UP 2021-249(GC) 1 $5,000 $5,000 $3,800 9/30/2021

UP 2021-251(HS) 1 $1,000 $1,000 $908 9/30/2021

UP 2021-254(GC) 1 $5,000 $5,000 $3,900 9/30/2021

UP 2021-259(HS) 1 $1,000 $1,000 $908 9/30/2021

UP 2021-261(SA) 1 $2,500 $2,500 $1,975 9/30/2021

UP 2021-264(HS) 1 $2,000 $2,000 $1,660 9/30/2021

UP 2021-269(HS) 1 $1,000 $1,000 $908 9/30/2021

UP 2021-271(EQ) 1 $5,000 $5,000 $3,650 9/30/2021

UP 2021-276(ROP) 1 $9,500 $9,500 $6,840 9/30/2021

UP 2021-277(SI) 1 $2,500 $2,500 $1,900 9/30/2021

UP 2021-281(SA) 1 $7,500 $7,500 $5,925 9/30/2021

UP 2021-282(HS) 1 $1,000 $1,000 $908 9/30/2021

UP 2021-287(FCS) 1 $2,500 $2,500 $1,925 9/30/2021

UP 2021-668(FCS) 1 $2,500 $2,500 $0 9/30/2021

URR 2021-001(SA) 1 $5,000 $5,000 $3,950 3/9/2021

UTAH 2020-001(LI) 1 $2,500 $2,500 $1,925 9/29/2021

UTAH 2020-002(AD) 1 $5,000 $5,000 $3,900 9/29/2021

UTAX 2020-001(TS) 1 $2,500 $2,500 $1,890 3/29/2021

VSOR 2021-001(RW) 1 $3,000 $3,000 $2,000 9/28/2021

WATX 2020-002(ROP) 1 $9,500 $0 $0 9/28/2021 Case Terminated
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

WATX 2020-003(ROP) 1 $7,500 $7,500 $5,000 9/28/2021

WATX 2020-004(TS) 2 $10,000 $10,000 $7,500 9/28/2021

WATX 2020-005(ROP) 1 $9,500 $9,500 $6,750 9/28/2021

WRL 2020-001(TS) 2 $7,500 $7,500 $5,500 5/14/2021

WRL 2020-002(HSR) 1 $1,000 $1,000 $900 5/14/2021

WRL 2020-003(HSR) 1 $2,500 $2,500 $1,800 5/14/2021

WRL 2021-001(HMT) 1 $3,000 $3,000 $2,100 5/14/2021

WSOR 2020-003(SA) 1 $2,500 $2,500 $1,750 9/28/2021

XAAL 2019-001(AR) 1 $5,000 $5,000 $3,000 10/2/2020

XAAL 2020-001(AD) 1 $2,500 $2,500 $1,500 5/21/2021

XAAL 2020-002(AD) 1 $2,500 $2,500 $1,500 5/26/2021

XALV 2019-001(AR) 1 $5,000 $5,000 $3,000 10/2/2020

XALV 2020-001(AD) 1 $2,500 $2,500 $1,500 5/21/2021

XANS 2021-001(HMT) 1 $2,000 $2,000 $1,050 6/10/2021

XANS 2021-002(HMT) 1 $5,000 $5,000 $3,500 6/7/2021

XANS 2021-003(HMT) 1 $2,500 $2,500 $1,375 6/7/2021

XAOS 2020-001(HMT) 1 $5,000 $5,000 $3,400 12/1/2020

XCAI 2020-001(TS) 4 $4,000 $4,000 $3,568 6/29/2021

XCAI 2020-002(TS) 1 $1,000 $1,000 $892 6/29/2021

XCAI 2020-003(HMT) 1 $10,000 $10,000 $9,000 6/24/2021

XCBL 2020-001(HMT) 1 $5,000 $5,000 $3,600 7/13/2021

XCCN 2020-001(RW) 2 $5,000 $5,000 $3,500 7/2/2021

XCDL 2020-001(RW) 1 $1,500 $1,500 $1,500 5/6/2021

XCDL 2021-001(HS) 1 $1,000 $1,000 $1,000 9/17/2021

XCHS 2020-001(HMT) 1 $5,000 $5,000 $5,000 5/17/2021

XCHS 2020-002(HMT) 1 $5,000 $5,000 $3,750 5/17/2021

XCHS 2020-003(HMT) 1 $4,000 $4,000 $3,200 5/17/2021

XCHS 2021-001(HMT) 1 $5,000 $5,000 $4,000 5/27/2021

XCHS 2021-002(HMT) 1 $2,000 $2,000 $1,600 9/1/2021

XCLS 2020-001(ROP) 1 $2,000 $2,000 $2,000 5/28/2021

XCLX 2020-001(HMT) 1 $999 $0 $0 2/3/2021 Case Terminated

XCNT 2021-001(HMT) 1 $10,000 $10,000 $7,500 9/21/2021

XCPT 2018-002(HMT) 1 $5,000 $5,000 $3,750 2/9/2021

XCPT 2018-003(HMT) 1 $5,000 $5,000 $3,750 2/9/2021

XCTK 2019-001(RW) 1 $3,000 $0 $0 10/7/2020 Case Terminated

XCTV 2021-001(HMT) 2 $4,000 $4,000 $4,000 8/23/2021

XCWC 2021-001(RW) 1 $1,500 $1,500 $1,500 9/29/2021

XDBS 2020-001(HS) 1 $1,000 $1,000 $900 11/12/2020

XDEC 2020-001(RW) 1 $4,000 $4,000 $4,000 10/30/2020

XEEL 2021-001(HMT) 1 $2,000 $2,000 $2,000 6/8/2021

XEGC 2021-001(HMT) 1 $2,000 $2,000 $2,000 7/2/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

XELI 2020-001(HMT) 1 $2,000 $2,000 $2,000 7/2/2021

XFEF 2021-001(HMT) 1 $5,000 $5,000 $5,000 6/14/2021

XFEF 2021-002(HMT) 1 $2,000 $2,000 $2,000 6/14/2021

XFMC 2020-001(HMT) 1 $2,000 $2,000 $2,000 11/18/2020

XFMC 2020-002(HMT) 1 $2,000 $2,000 $2,000 5/28/2021

XGAS 2019-001(HMT) 1 $2,500 $2,500 $2,500 5/7/2021

XGMJ 2019-001(HMT) 1 $15,000 $15,000 $8,000 5/27/2021

XICP 2019-001(HMT) 1 $5,000 $5,000 $3,500 7/15/2021

XICP 2020-001(HMT) 1 $5,000 $5,000 $3,500 7/15/2021

XICP 2020-002(HMT) 1 $5,000 $5,000 $3,500 7/15/2021

XING 2020-001(HMT) 1 $5,000 $5,000 $3,000 5/25/2021

XING 2020-002(HMT) 1 $2,000 $2,000 $1,000 5/25/2021

XKHM 2021-001(HMT) 1 $10,000 $10,000 $10,000 8/23/2021

XKHM 2021-002(HMT) 1 $5,000 $5,000 $5,000 9/30/2021

XMKW 2020-001(HMT) 1 $5,000 $5,000 $2,500 10/8/2020

XMKW 2020-002(HMT) 1 $1,000 $1,000 $900 8/31/2021

XMKW 2021-001(HMT) 1 $10,000 $10,000 $7,600 6/24/2021

XNVG 2020-001(HMT) 1 $20,000 $20,000 $5,000 3/9/2021

XPRS 2016-001(RW) 5 $12,500 $7,500 $7,500 2/18/2021 Terminated 

Violations: 2

XSNA 2019-002(HMT) 1 $2,000 $2,000 $2,000 7/15/2021

XSNA 2020-002(HMT) 1 $2,000 $2,000 $2,000 4/7/2021

XSNA 2020-003(HMT) 1 $2,000 $2,000 $2,000 7/15/2021

XSNA 2020-004(HMT) 1 $2,000 $2,000 $2,000 7/15/2021

XTGS 2015-001(RSP) 1 $1,000 $0 $0 7/27/2021 Case Terminated

XTGS 2016-001(ROP) 1 $2,000 $0 $0 7/27/2021 Case Terminated

XTGS 2017-001(ROP) 1 $7,500 $7,500 $5,250 7/27/2021

XTGS 2018-001(AD) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2018-002(AD) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2018-003(EQ) 5 $20,000 $20,000 $14,000 7/27/2021

XTGS 2018-004(SA) 1 $5,000 $5,000 $3,500 7/27/2021

XTGS 2018-005(ROP) 1 $7,500 $7,500 $5,250 7/27/2021

XTGS 2018-006(SA) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2018-007(SA) 3 $10,000 $10,000 $7,000 7/27/2021

XTGS 2018-008(ROP) 1 $9,500 $9,500 $6,650 7/27/2021

XTGS 2019-001(ROP) 1 $7,500 $7,500 $5,250 7/27/2021

XTGS 2019-002(ROP) 1 $5,000 $5,000 $3,500 7/27/2021

XTGS 2019-003(EQ) 1 $1,000 $1,000 $870 7/27/2021

XTGS 2019-004(TS) 1 $5,000 $5,000 $3,500 7/27/2021

XTGS 2019-005(ROP) 1 $9,500 $9,500 $6,650 7/27/2021

XTGS 2019-006(TS) 1 $5,000 $5,000 $3,500 7/27/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

XTGS 2019-007(TS) 1 $5,000 $5,000 $3,500 7/27/2021

XTGS 2019-008(TS) 1 $5,000 $5,000 $3,500 7/27/2021

XTGS 2020-001(AD) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2020-002(AD) 1 $7,500 $7,500 $5,250 7/27/2021

XTGS 2020-003(AD) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2020-004(AD) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2020-005(AD) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2020-006(AD) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2020-007(AD) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2020-008(AD) 1 $15,000 $15,000 $10,500 7/27/2021

XTGS 2020-009(AD) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2020-010(AD) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2020-011(AD) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2020-012(AD) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2020-013(AD) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2020-014(AD) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2020-016(AD) 1 $5,000 $5,000 $3,500 7/27/2021

XTGS 2020-017(AD) 1 $5,000 $5,000 $3,500 7/27/2021

XTGS 2020-018(SA) 1 $5,000 $5,000 $3,500 7/27/2021

XTGS 2020-019(LI) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2020-020(LI) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2021-001(LI) 1 $2,500 $2,500 $1,750 7/27/2021

XTGS 2021-002(HMT) 1 $10,000 $10,000 $7,000 7/27/2021

XTNS 2020-001(RW) 1 $2,000 $2,000 $2,000 3/25/2021

XTQU 2021-001(HMT) 1 $2,000 $2,000 $2,000 7/14/2021

XWAS 2020-001(GC) 1 $2,500 $2,500 $1,900 1/22/2021

XWCD 2020-001(HMT) 1 $5,000 $5,000 $3,250 10/29/2020

XWCD 2021-001(HMT) 1 $2,000 $2,000 $2,000 5/28/2021

XWEM 2020-001(HMT) 1 $2,000 $2,000 $1,700 1/25/2021

XZAC 2020-001(RW) 1 $1,500 $1,500 $1,500 6/10/2021

XZTH 2020-001(HMT) 1 $2,000 $2,000 $2,000 2/11/2021

YSRR 2021-001(GC) 1 $2,500 $2,500 $1,000 8/24/2021

YSRR 2021-002(GC) 1 $2,500 $2,500 $1,000 8/24/2021

YSRR 2021-003(GC) 1 $2,500 $2,500 $1,000 8/24/2021

YSRR 2021-004(TS) 1 $5,000 $5,000 $2,000 8/24/2021

ZAAO 2021-001(HMT) 1 $5,000 $5,000 $3,700 3/22/2021

ZAAO 2021-002(HMT) 1 $5,000 $5,000 $3,600 2/16/2021

ZABD 2020-001(HMT) 1 $30,000 $30,000 $24,600 1/25/2021

ZACH 2020-001(HMT) 1 $2,000 $2,000 $1,300 12/1/2020

ZACH 2021-001(HMT) 1 $10,000 $10,000 $7,800 5/17/2021

ZACH 2021-002(HMT) 1 $5,000 $5,000 $3,500 6/21/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ZACR 2020-002(HMT) 1 $5,000 $5,000 $3,400 4/19/2021

ZACR 2021-001(HMT) 1 $5,000 $5,000 $3,000 2/15/2021

ZACR 2021-002(HMT) 1 $2,000 $2,000 $1,400 6/7/2021

ZACR 2021-003(HMT) 1 $10,000 $10,000 $7,100 7/7/2021

ZADQ 2020-001(HMT) 1 $5,000 $5,000 $5,000 3/25/2021

ZADQ 2020-002(HMT) 1 $5,000 $5,000 $5,000 3/25/2021

ZADQ 2020-003(HMT) 1 $5,000 $5,000 $5,000 3/25/2021

ZADT 2020-001(HMT) 1 $5,000 $5,000 $3,500 8/10/2021

ZAFQ 2020-001(HMT) 1 $20,000 $20,000 $14,600 4/26/2021

ZAFQ 2020-002(HMT) 1 $2,000 $2,000 $1,200 4/26/2021

ZAFQ 2020-003(HMT) 2 $10,000 $10,000 $7,000 4/26/2021

ZAFQ 2020-004(HMT) 2 $9,500 $9,500 $6,460 4/26/2021

ZAG 2020-001(HMT) 1 $5,000 $5,000 $3,600 6/7/2021

ZAG 2021-001(HMT) 1 $2,000 $2,000 $1,200 8/11/2021

ZAGT 2020-001(HMT) 1 $2,500 $2,500 $1,750 4/18/2021

ZAGT 2020-002(HMT) 1 $5,000 $5,000 $4,000 4/18/2021

ZAGT 2020-003(HMT) 1 $5,000 $5,000 $4,000 4/18/2021

ZAGT 2021-002(HMT) 1 $5,000 $5,000 $5,000 7/27/2021

ZAGT 2021-003(HMT) 1 $5,000 $0 $0 9/3/2021 Case Terminated

ZAIN 2021-001(HMT) 1 $2,000 $2,000 $1,300 6/24/2021

ZAIZ 2020-001(HMT) 3 $13,000 $13,000 $993 6/9/2021

ZALC 2020-001(HMT) 1 $10,000 $10,000 $8,600 4/19/2021

ZALC 2021-001(HMT) 1 $2,000 $2,000 $1,200 9/17/2021

ZALN 2020-001(HMT) 1 $2,000 $2,000 $2,000 6/21/2021

ZALN 2021-001(HMT) 1 $10,000 $10,000 $10,000 6/21/2021

ZALN 2021-002(HMT) 1 $10,000 $10,000 $10,000 6/21/2021

ZALQ 2020-001(HMT) 1 $10,000 $10,000 $10,000 7/27/2021

ZALRC 2021-001(HMT) 2 $25,000 $25,000 $22,000 6/2/2021

ZAMC 2020-001(HMT) 1 $5,000 $5,000 $3,500 11/2/2020

ZAMU 2020-001(HMT) 1 $2,000 $2,000 $1,360 4/23/2021

ZAND 2021-001(HMT) 1 $5,000 $5,000 $3,500 9/14/2021

ZANN 2020-001(HMT) 1 $2,000 $2,000 $1,200 11/3/2020

ZANS 2020-001(HMT) 1 $5,000 $5,000 $4,100 1/14/2021

ZANS 2020-002(HMT) 1 $2,000 $2,000 $2,000 1/14/2021

ZANX 2019-002(HMT) 1 $4,000 $4,000 $4,000 2/23/2021

ZAO 2020-001(HMT) 1 $5,000 $0 $0 1/10/2021 Case Terminated

ZAPCH 2020-001(HMT) 1 $2,000 $2,000 $1,300 3/1/2021

ZAPL 2020-001(HMT) 1 $7,500 $7,500 $5,250 3/10/2021

ZAPM 2020-001(HMT) 1 $5,000 $5,000 $3,500 10/7/2020

ZAPM 2020-002(HMT) 1 $10,000 $10,000 $8,100 10/6/2020

ZAPM 2020-003(HMT) 1 $5,000 $5,000 $3,600 10/6/2020
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ZAPM 2021-001(HMT) 2 $7,000 $7,000 $5,180 4/28/2021

ZAPM 2021-002(HMT) 2 $6,000 $6,000 $4,200 4/28/2021

ZARGR 2021-001(HMT) 1 $5,000 $5,000 $3,500 9/16/2021

ZARJ 2020-001(HMT) 1 $8,000 $8,000 $5,600 6/1/2021

ZARK 2021-001(HMT) 1 $2,000 $2,000 $1,350 3/16/2021

ZARK 2021-002(HMT) 1 $5,000 $5,000 $3,350 5/17/2021

ZARK 2021-003(HMT) 1 $15,000 $15,000 $10,650 7/13/2021

ZASY 2020-001(HMT) 1 $5,000 $5,000 $5,000 1/22/2021

ZASY 2020-002(HMT) 1 $5,000 $5,000 $5,000 1/23/2021

ZATP 2021-001(HMT) 1 $6,000 $6,000 $3,780 5/3/2021

ZATP 2021-002(HMT) 1 $2,000 $2,000 $1,360 5/3/2021

ZAUP 2020-003(HMT) 1 $5,000 $5,000 $5,000 2/25/2021

ZAUX 2020-002(HMT) 1 $2,000 $2,000 $2,000 3/21/2021

ZAUX 2020-003(HMT) 1 $5,000 $5,000 $5,000 3/21/2021

ZAUX 2020-004(HMT) 1 $5,000 $5,000 $5,000 3/21/2021

ZAVX 2020-001(HMT) 1 $10,000 $10,000 $7,800 3/22/2021

ZAVX 2021-001(HMT) 1 $5,000 $5,000 $3,500 7/2/2021

ZAVX 2021-002(HMT) 1 $5,000 $5,000 $3,500 7/2/2021

ZAXI 2020-002(HMT) 1 $5,000 $5,000 $3,200 1/29/2021

ZAXI 2020-003(HMT) 1 $5,000 $5,000 $3,000 1/26/2021

ZAXI 2021-001(HMT) 1 $5,000 $5,000 $3,400 3/10/2021

ZAXI 2021-002(HMT) 1 $5,000 $5,000 $3,400 4/22/2021

ZAZG 2020-001(HMT) 1 $2,000 $2,000 $1,400 6/7/2021

ZBPN 2019-001(HMT) 1 $1,000 $1,000 $1,000 2/2/2021

ZBPN 2019-002(HMT) 1 $2,000 $2,000 $2,000 1/7/2021

ZCACT 2021-001(HMT) 1 $5,000 $5,000 $5,000 5/28/2021

ZCAO 2020-001(HMT) 1 $2,000 $2,000 $2,000 6/25/2021

ZCBK 2021-001(HMT) 1 $5,000 $5,000 $3,250 7/12/2021

ZCBL 2019-001(HMT) 1 $1,000 $1,000 $800 3/19/2021

ZCCF 2020-001(HMT) 1 $5,000 $5,000 $5,000 6/24/2021

ZCCF 2020-002(HMT) 1 $5,000 $5,000 $5,000 6/24/2021

ZCCF 2020-003(HMT) 1 $5,000 $5,000 $5,000 6/24/2021

ZCCF 2020-004(HMT) 1 $2,000 $2,000 $2,000 8/11/2021

ZCCF 2021-001(HMT) 1 $2,000 $2,000 $2,000 8/11/2021

ZCCF 2021-002(HMT) 1 $5,000 $5,000 $5,000 8/11/2021

ZCCM 2021-001(HMT) 1 $10,000 $10,000 $10,000 8/24/2021

ZCCW 2020-001(HMT) 1 $4,000 $4,000 $4,000 7/7/2021

ZCDI 2021-001(HMT) 1 $15,000 $15,000 $11,500 4/16/2021

ZCDY 2020-001(HMT) 1 $2,000 $2,000 $2,000 5/6/2021

ZCED 2020-001(HMT) 1 $5,000 $5,000 $4,000 7/13/2021

ZCED 2020-002(HMT) 1 $2,000 $2,000 $1,500 7/13/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ZCEE 2021-001(HMT) 1 $2,500 $2,500 $2,500 8/11/2021

ZCEF 2020-001(HMT) 1 $5,000 $0 $0 4/27/2021 Case Terminated

ZCEF 2020-002(HMT) 1 $5,000 $5,000 $4,000 4/27/2021

ZCEF 2020-003(HMT) 1 $10,000 $10,000 $8,250 4/27/2021

ZCEF 2020-004(HMT) 1 $5,000 $5,000 $4,000 4/27/2021

ZCEF 2020-005(HMT) 1 $10,000 $10,000 $8,000 4/27/2021

ZCELA 2020-001(HMT) 1 $5,000 $5,000 $5,000 3/19/2021

ZCELA 2021-001(HMT) 1 $10,000 $10,000 $10,000 4/28/2021

ZCFC 2017-002(HMT) 1 $40,000 $40,000 $28,000 6/28/2021

ZCFC 2019-001(HMT) 6 $150,500 $55,000 $45,000 7/14/2021 Terminated 

Violations: 3 

Partially 

Terminated 

Violations: 6

ZCFC 2019-002(HMT) 1 $5,000 $5,000 $3,500 7/9/2021

ZCFC 2020-001(HMT) 1 $5,000 $5,000 $4,000 7/9/2021

ZCFC 2020-002(HMT) 1 $6,000 $6,000 $4,800 7/9/2021

ZCFC 2020-003(HMT) 1 $2,000 $2,000 $1,600 7/9/2021

ZCFC 2020-004(HMT) 1 $10,000 $10,000 $7,000 7/9/2021

ZCFC 2020-005(HMT) 1 $999 $999 $800 7/9/2021

ZCFC 2020-006(HMT) 1 $5,000 $5,000 $4,000 7/9/2021

ZCFC 2020-007(HMT) 1 $10,000 $10,000 $8,000 7/9/2021

ZCFX 2018-001(HMT) 1 $2,000 $2,000 $2,000 8/9/2021

ZCFX 2018-002(HMT) 1 $2,000 $2,000 $2,000 8/9/2021

ZCFX 2019-001(HMT) 1 $2,000 $2,000 $2,000 8/9/2021

ZCFX 2019-002(HMT) 1 $2,000 $2,000 $2,000 8/9/2021

ZCFX 2019-003(HMT) 1 $2,000 $2,000 $2,000 8/9/2021

ZCFX 2020-001(HMT) 1 $2,000 $2,000 $2,000 8/9/2021

ZCGR 2020-001(HMT) 1 $3,000 $3,000 $2,250 9/21/2021

ZCHEV 2020-001(HMT) 1 $7,500 $7,500 $7,500 4/28/2021

ZCHEV 2020-002(HMT) 1 $10,000 $10,000 $8,000 4/5/2021

ZCHF 2019-001(HMT) 1 $4,000 $4,000 $4,000 6/25/2021

ZCHF 2019-002(HMT) 1 $4,000 $4,000 $4,000 6/25/2021

ZCHZ 2019-001(HMT) 1 $2,000 $0 $0 9/14/2021 Case Terminated

ZCIZ 2019-001(HMT) 2 $10,000 $10,000 $7,000 4/5/2021

ZCKP 2018-001(HMT) 1 $5,000 $5,000 $5,000 3/19/2021

ZCLCI 2018-001(HMT) 1 $5,000 $4,000 $4,000 9/3/2021 Partially 

Terminated 

Violations: 2

ZCLQ 2019-001(HMT) 1 $20,000 $20,000 $15,000 3/25/2021

ZCLS 2019-001(HMT) 1 $5,000 $5,000 $3,750 3/4/2021

ZCLS 2020-001(HMT) 1 $2,000 $2,000 $2,000 7/14/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ZCLX 2020-001(HMT) 3 $6,000 $6,000 $4,500 3/19/2021

ZCLX 2021-002(HMT) 1 $2,000 $2,000 $1,600 7/7/2021

ZCLX 2021-003(HMT) 1 $10,000 $10,000 $10,000 9/2/2021

ZCM2 2020-001(HMT) 1 $2,000 $2,000 $2,000 5/26/2021

ZCM2 2020-002(HMT) 1 $2,000 $2,000 $2,000 5/26/2021

ZCM2 2020-003(HMT) 1 $2,000 $2,000 $2,000 5/26/2021

ZCMA 2019-001(HMT) 1 $2,500 $2,500 $2,500 8/5/2021

ZCMA 2020-001(HMT) 1 $7,000 $7,000 $7,000 8/5/2021

ZCMA 2020-002(HMT) 1 $2,500 $2,500 $2,500 8/5/2021

ZCMB 2020-001(HMT) 1 $10,000 $10,000 $10,000 3/19/2021

ZCME 2020-001(HMT) 1 $2,000 $2,000 $2,000 8/16/2021

ZCME 2021-001(HMT) 1 $5,000 $5,000 $5,000 8/18/2021

ZCNC 2020-001(HMT) 1 $5,000 $5,000 $3,500 6/25/2021

ZCNL 2020-001(HMT) 1 $2,000 $2,000 $2,000 4/27/2021

ZCNL 2020-002(HMT) 1 $2,000 $2,000 $2,000 4/27/2021

ZCNL 2021-001(HMT) 1 $2,000 $2,000 $2,000 4/28/2021

ZCONL 2016-001(HMT) 1 $5,000 $2,000 $2,000 9/13/2021 Partially 

Terminated 

Violations: 1

ZCONL 2016-002(HMT) 1 $8,000 $8,000 $5,750 10/7/2020

ZCONL 2020-001(HMT) 1 $4,000 $4,000 $4,000 9/13/2021

ZCONL 2021-001(HMT) 1 $2,000 $2,000 $2,000 9/13/2021

ZCOV 2020-001(HMT) 1 $5,000 $5,000 $4,000 10/16/2020

ZCOX 2021-001(HMT) 1 $5,000 $5,000 $5,000 4/27/2021

ZCOY 2020-001(HMT) 1 $2,000 $2,000 $1,700 4/14/2021

ZCOY 2020-002(HMT) 1 $2,000 $2,000 $1,700 4/14/2021

ZCPCL 2021-001(HMT) 1 $5,000 $5,000 $5,000 9/27/2021

ZCPR 2020-001(HMT) 1 $5,000 $5,000 $4,000 4/16/2021

ZCPR 2020-002(HMT) 2 $11,000 $11,000 $8,000 4/16/2021

ZCRB 2016-001(HMT) 1 $4,000 $4,000 $3,400 10/21/2020

ZCRB 2016-002(HMT) 1 $2,000 $2,000 $1,700 10/21/2020

ZCRB 2017-001(HMT) 2 $32,000 $32,000 $25,600 10/21/2020

ZCRB 2017-002(HMT) 2 $14,000 $14,000 $11,200 10/21/2020

ZCRB 2017-003(HMT) 2 $9,000 $9,000 $8,100 10/21/2020

ZCRB 2017-004(HMT) 1 $2,000 $2,000 $2,000 10/21/2020

ZCRB 2019-001(HMT) 2 $19,000 $19,000 $19,000 10/21/2020

ZCRB 2019-002(HMT) 1 $10,000 $10,000 $9,000 10/21/2020

ZCRB 2020-001(HMT) 1 $2,000 $2,000 $1,800 7/14/2021

ZCRB 2020-002(HMT) 1 $2,000 $2,000 $1,800 7/14/2021

ZCRS 2020-001(HMT) 1 $2,000 $2,000 $2,000 3/11/2021

ZCRS 2020-002(HMT) 1 $2,000 $2,000 $2,000 3/11/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ZCRY 2019-001(HMT) 3 $70,000 $70,000 $50,000 2/2/2021

ZCRY 2020-001(HMT) 1 $2,000 $2,000 $1,700 5/17/2021

ZCRY 2021-001(HMT) 1 $5,000 $5,000 $4,250 5/17/2021

ZCRY 2021-002(HMT) 1 $2,500 $2,500 $1,500 9/3/2021

ZCRZ 2020-001(HMT) 1 $10,000 $10,000 $10,000 11/10/2020

ZCRZ 2020-002(HMT) 1 $5,000 $5,000 $5,000 4/28/2021

ZCSI 2020-001(HMT) 4 $17,500 $17,500 $12,000 6/22/2021

ZCSK 2021-001(HMT) 1 $5,000 $5,000 $5,000 8/30/2021

ZCT 2021-001(HMT) 1 $10,000 $10,000 $10,000 4/28/2021

ZCTO 2019-001(HMT) 1 $10,000 $10,000 $10,000 5/26/2021

ZCTO 2020-001(HMT) 2 $9,000 $9,000 $8,000 5/26/2021

ZCTO 2021-001(HMT) 1 $15,000 $15,000 $12,000 5/26/2021

ZCUC 2020-001(HMT) 1 $2,500 $2,500 $2,500 4/28/2021

ZCUI 2021-001(HMT) 1 $5,000 $5,000 $5,000 8/9/2021

ZCXF 2020-001(HMT) 1 $7,500 $7,500 $7,000 9/8/2021

ZCYL 2020-001(HMT) 1 $5,000 $5,000 $5,000 5/26/2021

ZCZX 2020-001(HMT) 1 $5,000 $5,000 $3,750 3/11/2021

ZDAC 2020-001(HMT) 1 $5,000 $5,000 $5,000 5/20/2021

ZDAK 2020-001(HMT) 1 $6,000 $2,000 $2,000 10/30/2020 Partially 

Terminated 

Violations: 1

ZDAK 2020-002(HMT) 1 $2,000 $2,000 $2,000 2/25/2021

ZDANT 2020-001(HMT) 1 $5,000 $5,000 $5,000 5/20/2021

ZDBR 2021-001(HMT) 2 $6,000 $6,000 $3,300 6/10/2021

ZDCM 2021-001(HMT) 1 $5,000 $5,000 $4,000 5/27/2021

ZDCM 2021-002(HMT) 1 $5,000 $5,000 $4,000 5/27/2021

ZDCU 2020-003(HMT) 1 $5,000 $5,000 $5,000 6/7/2021

ZDCU 2020-004(HMT) 1 $5,000 $5,000 $4,000 5/20/2021

ZDCU 2020-005(HMT) 1 $5,000 $2,000 $2,000 5/27/2021 Partially 

Terminated 

Violations: 1

ZDCU 2021-002(HMT) 1 $5,000 $5,000 $4,000 7/1/2021

ZDCUC 2021-001(HMT) 1 $2,000 $2,000 $1,600 9/28/2021

ZDET 2021-001(HMT) 1 $10,000 $10,000 $8,000 8/18/2021

ZDGZ 2020-002(HMT) 1 $2,000 $2,000 $2,000 4/29/2021

ZDKI 2020-001(HMT) 1 $2,000 $2,000 $2,000 3/19/2021

ZDPM 2021-001(HMT) 1 $10,000 $10,000 $8,500 9/20/2021

ZDPM 2021-002(HMT) 1 $7,500 $7,500 $6,000 9/20/2021

ZDSQ 2021-001(HMT) 1 $20,000 $20,000 $18,000 9/2/2021

ZDUP 2021-001(HMT) 1 $5,000 $0 $0 7/15/2021 Case Terminated

ZDYI 2020-001(HMT) 1 $8,000 $8,000 $8,000 2/25/2021

ZDYI 2020-002(HMT) 1 $15,000 $15,000 $15,000 5/17/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ZDYI 2020-003(HMT) 1 $5,000 $5,000 $5,000 5/17/2021

ZDYI 2021-001(HMT) 1 $5,000 $5,000 $5,000 6/9/2021

ZDYI 2021-002(HMT) 1 $5,000 $5,000 $5,000 7/26/2021

ZEACH 2020-006(HMT) 1 $5,000 $5,000 $3,500 2/27/2021

ZEACH 2021-001(HMT) 1 $10,000 $10,000 $7,900 4/19/2021

ZEACH 2021-002(HMT) 1 $10,000 $10,000 $8,100 9/13/2021

ZEACH 2021-003(HMT) 1 $2,000 $2,000 $1,400 9/13/2021

ZEDC 2020-001(HMT) 1 $4,000 $4,000 $2,800 6/9/2021

ZEDC 2021-001(HMT) 1 $2,000 $2,000 $1,400 6/9/2021

ZEEN 2020-001(HMT) 1 $2,000 $2,000 $1,400 6/16/2021

ZELEM 2020-001(HMT) 2 $10,000 $10,000 $10,000 5/5/2021

ZELEM 2021-001(HMT) 1 $5,000 $5,000 $5,000 5/5/2021

ZEMCC 2020-001(HMT) 1 $5,000 $5,000 $3,500 4/19/2021

ZEMCC 2021-001(HMT) 1 $10,000 $10,000 $7,700 4/19/2021

ZEMER 2020-001(HMT) 1 $7,500 $7,500 $3,750 4/27/2021

ZEMER 2020-002(HMT) 1 $10,000 $10,000 $7,900 4/27/2021

ZEMER 2021-001(HMT) 1 $10,000 $10,000 $7,325 4/27/2021

ZEMR 2020-001(HMT) 1 $10,000 $10,000 $10,000 6/24/2021

ZEMR 2021-001(HMT) 1 $5,000 $5,000 $5,000 6/24/2021

ZEMR 2021-002(HMT) 1 $5,000 $5,000 $5,000 6/24/2021

ZEMR 2021-003(HMT) 1 $3,000 $3,000 $3,000 7/27/2021

ZENK 2021-001(HMT) 1 $5,000 $5,000 $5,000 6/21/2021

ZEOB 2020-003(HMT) 2 $7,000 $7,000 $5,100 3/18/2021

ZEOB 2021-001(HMT) 2 $4,000 $4,000 $2,800 4/19/2021

ZEOB 2021-002(HMT) 1 $2,500 $2,500 $1,750 4/29/2021

ZEOB 2021-003(HMT) 1 $2,000 $2,000 $1,400 8/11/2021

ZEOB 2021-004(HMT) 1 $2,000 $2,000 $1,440 8/11/2021

ZEPC 2021-001(HMT) 2 $5,000 $5,000 $3,500 7/27/2021

ZEPZ 2020-002(HMT) 1 $10,000 $10,000 $8,500 2/8/2021

ZEPZ 2020-003(HMT) 1 $5,000 $5,000 $3,500 2/8/2021

ZEPZ 2020-004(HMT) 1 $5,000 $5,000 $4,100 2/18/2021

ZEPZ 2020-005(HMT) 1 $10,000 $10,000 $8,500 2/8/2021

ZEQU 2020-002(HMT) 2 $5,000 $5,000 $3,500 1/26/2021

ZEQU 2020-003(HMT) 2 $5,000 $0 $0 1/21/2021 Case Terminated

ZESR 2020-001(HMT) 1 $10,000 $10,000 $7,600 3/18/2021

ZESR 2020-002(HMT) 1 $10,000 $10,000 $7,600 3/18/2021

ZESR 2020-003(HMT) 1 $10,000 $10,000 $7,600 3/18/2021

ZESR 2021-001(HMT) 1 $5,000 $5,000 $3,500 7/7/2021

ZETP 2020-001(HMT) 1 $2,000 $2,000 $2,000 8/9/2021

ZEVD 2021-001(HMT) 1 $2,000 $2,000 $1,400 5/17/2021

ZEVN 2020-001(HMT) 1 $7,500 $0 $0 2/2/2021 Case Terminated
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ZEWW 2020-001(HMT) 1 $2,000 $2,000 $2,000 12/17/2020

ZEWW 2021-001(HMT) 1 $10,000 $10,000 $7,500 6/14/2021

ZEXM 2021-001(HMT) 1 $2,000 $2,000 $1,360 5/3/2021

ZFGC 2020-001(HMT) 1 $5,000 $5,000 $4,000 10/5/2020

ZFHR 2004-001(HMT) 1 $10,000 $0 $0 3/10/2021 Case Terminated

ZFHR 2020-003(HMT) 1 $5,000 $5,000 $5,000 11/9/2020

ZFHR 2020-004(HMT) 1 $5,000 $5,000 $5,000 11/9/2020

ZFHR 2020-005(HMT) 1 $10,000 $10,000 $10,000 11/9/2020

ZFHR 2020-006(HMT) 1 $5,000 $5,000 $5,000 11/9/2020

ZFHR 2020-007(HMT) 1 $5,000 $5,000 $5,000 11/9/2020

ZFHR 2021-002(HMT) 1 $10,000 $10,000 $10,000 8/2/2021

ZFIT 2020-001(HMT) 1 $2,000 $2,000 $2,000 10/26/2020

ZFIT 2020-002(HMT) 1 $2,000 $2,000 $2,000 10/26/2020

ZFIZ 2020-001(HMT) 1 $2,000 $2,000 $2,000 12/10/2020

ZFLS 2021-001(HMT) 1 $2,000 $2,000 $2,000 9/1/2021

ZFPY 2021-001(HMT) 2 $6,000 $6,000 $6,000 6/14/2021

ZFRQ 2021-001(HMT) 1 $5,000 $5,000 $4,000 9/29/2021

ZFUT 2020-001(HMT) 1 $999 $2,000 $2,000 2/5/2021

ZGBL 2019-002(HMT) 1 $5,000 $5,000 $3,500 4/29/2021

ZGBL 2019-003(HMT) 1 $5,000 $5,000 $3,500 4/29/2021

ZGCL 2019-001(HMT) 1 $5,000 $5,000 $3,000 5/25/2021

ZGCL 2019-002(HMT) 1 $10,000 $10,000 $7,250 5/26/2021

ZGCL 2020-001(HMT) 1 $10,000 $10,000 $6,000 5/25/2021

ZGEG 2019-001(HMT) 1 $30,000 $30,000 $30,000 5/21/2021

ZGEG 2020-001(HMT) 1 $5,000 $5,000 $5,000 5/21/2021

ZGEPA 2020-001(HMT) 1 $5,000 $5,000 $3,000 5/25/2021

ZGEPA 2020-004(HMT) 1 $5,000 $5,000 $5,000 5/25/2021

ZGFL 2019-001(HMT) 1 $5,000 $5,000 $3,750 4/20/2021

ZGIL 2019-003(HMT) 1 $5,000 $5,000 $3,800 5/7/2021

ZGIL 2020-001(HMT) 1 $5,000 $5,000 $3,800 5/6/2021

ZGLO 2018-001(HMT) 1 $10,000 $10,000 $7,000 4/21/2021

ZGPF 2020-002(HMT) 1 $5,000 $5,000 $5,000 4/5/2021

ZGPG 2020-001(HMT) 1 $5,000 $5,000 $3,500 5/7/2021

ZGPX 2019-001(HMT) 1 $7,500 $7,500 $7,500 5/7/2021

ZGPZ 2019-001(HMT) 1 $2,000 $2,000 $1,200 3/15/2021

ZGSA 2020-001(HMT) 1 $5,000 $5,000 $5,000 2/11/2021

ZGSA 2021-001(HMT) 1 $5,000 $5,000 $5,000 2/11/2021

ZGSA 2021-002(HMT) 1 $10,000 $10,000 $10,000 3/5/2021

ZGSZ 2019-004(HMT) 1 $5,000 $5,000 $5,000 4/23/2021

ZGSZ 2019-008(HMT) 2 $10,000 $10,000 $10,000 4/23/2021

ZGSZ 2019-009(HMT) 1 $10,000 $10,000 $10,000 4/23/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ZGSZ 2020-001(HMT) 1 $5,000 $5,000 $5,000 4/23/2021

ZGXA 2019-001(HMT) 1 $10,000 $10,000 $6,500 5/27/2021

ZGXA 2019-002(HMT) 1 $7,500 $7,500 $4,900 5/27/2021

ZGXA 2020-001(HMT) 1 $5,000 $5,000 $3,350 5/27/2021

ZIBS 2017-001(HMT) 1 $2,000 $2,000 $1,500 5/26/2021

ZIBS 2018-001(HMT) 2 $7,000 $7,000 $5,250 5/26/2021

ZICP 2021-001(HMT) 1 $2,000 $2,000 $2,000 8/12/2021

ZICP 2021-002(HMT) 1 $5,000 $5,000 $5,000 8/12/2021

ZIES 2021-001(HMT) 1 $5,000 $5,000 $5,000 9/27/2021

ZIES 2021-002(HMT) 1 $5,000 $5,000 $5,000 9/27/2021

ZIFF 2020-001(HMT) 1 $2,000 $2,000 $2,000 4/20/2021

ZIFF 2021-001(HMT) 1 $5,000 $5,000 $5,000 4/20/2021

ZIFT 2020-001(HMT) 1 $2,000 $2,000 $2,000 9/1/2021

ZIJT 2021-001(HMT) 1 $2,000 $2,000 $2,000 7/2/2021

ZIMA 2020-001(HMT) 1 $2,000 $2,000 $1,200 6/1/2021

ZIMA 2020-002(HMT) 1 $2,000 $2,000 $1,200 6/1/2021

ZIMA 2020-003(HMT) 1 $2,000 $2,000 $1,200 8/18/2021

ZIMA 2021-001(HMT) 1 $2,000 $2,000 $1,200 8/18/2021

ZIMO 2020-001(HMT) 1 $10,000 $10,000 $8,200 10/19/2020

ZIMO 2021-001(HMT) 1 $5,000 $5,000 $5,000 8/24/2021

ZIMO 2021-002(HMT) 1 $10,000 $10,000 $10,000 4/7/2021

ZIMO 2021-003(HMT) 1 $5,000 $5,000 $5,000 7/2/2021

ZINS 2019-005(EQ) 1 $2,500 $2,500 $1,375 6/29/2021

ZINS 2019-006(CC) 1 $2,500 $2,500 $1,375 6/29/2021

ZINS 2019-008(EQ) 1 $2,500 $2,500 $1,375 6/29/2021

ZINS 2019-009(ROP) 1 $9,500 $9,500 $5,225 6/29/2021

ZINS 2020-001(AD) 1 $2,500 $2,500 $1,375 6/29/2021

ZINS 2020-002(AD) 1 $2,500 $2,500 $1,375 6/29/2021

ZINS 2020-003(AD) 1 $2,500 $2,500 $1,375 6/29/2021

ZINS 2020-004(AD) 1 $2,500 $2,500 $1,375 6/29/2021

ZINTT 2021-001(HMT) 1 $2,000 $2,000 $1,600 9/28/2021

ZIOD 2020-001(HMT) 1 $6,000 $6,000 $6,000 10/27/2020

ZIOD 2020-002(HMT) 2 $9,000 $9,000 $9,000 10/19/2020

ZIOD 2020-003(HMT) 1 $5,000 $5,000 $5,000 10/27/2020

ZIOD 2020-004(HMT) 1 $15,000 $15,000 $11,100 10/19/2020

ZIOD 2020-005(HMT) 1 $5,000 $5,000 $3,700 10/19/2020

ZIP 2020-005(HMT) 1 $5,000 $5,000 $3,750 6/8/2021

ZIP 2020-006(HMT) 1 $2,000 $2,000 $1,500 6/8/2021

ZIP 2020-007(HMT) 1 $4,000 $4,000 $3,000 6/8/2021

ZIP 2020-008(HMT) 1 $2,000 $2,000 $1,500 6/8/2021

ZIP 2020-009(HMT) 1 $5,000 $5,000 $3,750 8/23/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ZIP 2020-010(HMT) 1 $2,000 $2,000 $1,500 8/30/2021

ZIP 2021-001(HMT) 1 $2,000 $2,000 $1,500 8/30/2021

ZIP 2021-002(HMT) 2 $4,000 $4,000 $3,000 8/30/2021

ZIP 2021-003(HMT) 2 $4,000 $4,000 $3,200 8/23/2021

ZIP 2021-004(HMT) 1 $2,000 $2,000 $1,500 8/30/2021

ZIP 2021-005(HMT) 1 $2,000 $2,000 $1,500 8/30/2021

ZIP 2021-006(HMT) 1 $2,000 $2,000 $1,500 8/30/2021

ZIP 2021-007(HMT) 2 $14,000 $14,000 $10,500 8/30/2021

ZIP 2021-008(HMT) 1 $5,000 $5,000 $3,750 8/30/2021

ZIP 2021-009(HMT) 1 $2,000 $2,000 $1,500 8/30/2021

ZIP 2021-010(HMT) 1 $5,000 $5,000 $3,750 8/30/2021

ZIPA 2021-001(HMT) 1 $10,000 $5,000 $5,000 8/30/2021 Partially 

Terminated 

Violations: 1

ZIPI 2021-001(HMT) 2 $5,000 $5,000 $5,000 9/26/2021

ZIPI 2021-002(HMT) 2 $5,000 $5,000 $5,000 9/27/2021

ZIRO 2020-002(HMT) 1 $10,000 $10,000 $5,000 3/3/2021

ZIRV 2021-001(HMT) 1 $2,000 $2,000 $1,400 6/29/2021

ZITT 2020-001(HMT) 1 $5,000 $5,000 $3,750 2/8/2021

ZITT 2020-002(HMT) 1 $5,000 $5,000 $3,750 2/8/2021

ZITT 2020-003(HMT) 1 $5,000 $5,000 $3,750 2/8/2021

ZITT 2020-004(HMT) 1 $2,000 $2,000 $1,500 2/8/2021

ZITT 2020-005(HMT) 1 $5,000 $5,000 $3,750 7/14/2021

ZITT 2020-006(HMT) 1 $5,000 $5,000 $3,750 7/14/2021

ZITT 2020-007(HMT) 1 $5,000 $5,000 $2,500 7/14/2021

ZITT 2020-008(HMT) 1 $5,000 $5,000 $3,750 7/14/2021

ZITT 2021-001(HMT) 1 $12,000 $12,000 $9,000 7/14/2021

ZITT 2021-002(HMT) 1 $10,000 $10,000 $7,500 7/14/2021

ZITT 2021-003(HMT) 1 $10,000 $10,000 $7,500 7/14/2021

ZIVE 2020-001(HMT) 1 $5,000 $5,000 $5,000 9/27/2021

ZIVE 2020-002(HMT) 1 $5,000 $5,000 $5,000 9/27/2021

ZIVE 2021-001(HMT) 1 $2,500 $2,500 $2,500 9/27/2021

ZIVS 2021-001(HMT) 1 $7,500 $7,500 $7,500 8/30/2021

ZIWI 2021-001(HMT) 1 $2,000 $2,000 $2,000 8/18/2021

ZJIT 2020-001(HMT) 1 $2,500 $2,500 $2,500 3/11/2021

ZJIT 2020-002(HMT) 1 $5,000 $5,000 $3,300 5/21/2021

ZJMA 2021-001(HMT) 1 $2,000 $2,000 $2,000 8/9/2021

ZJMA 2021-002(HMT) 1 $2,000 $2,000 $2,000 8/9/2021

ZJRS 2021-002(HMT) 1 $7,500 $7,500 $7,500 9/7/2021

ZKDM 2020-001(HMT) 1 $6,000 $6,000 $4,500 11/12/2020

ZKDM 2020-002(HMT) 1 $5,000 $5,000 $3,500 3/16/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ZKDM 2021-001(HMT) 1 $10,000 $10,000 $8,500 9/9/2021

ZKING 2020-001(HMT) 1 $4,000 $4,000 $4,000 7/14/2021

ZKMB 2020-001(HMT) 1 $2,000 $2,000 $1,500 8/19/2021

ZKMB 2021-003(HMT) 1 $5,000 $5,000 $3,500 9/10/2021

ZKML 2020-001(HMT) 1 $4,000 $4,000 $2,800 10/14/2020

ZKML 2020-002(HMT) 2 $4,000 $4,000 $2,500 3/16/2021

ZKML 2020-003(HMT) 1 $2,000 $2,000 $1,400 3/16/2021

ZKMQ 2020-001(HMT) 1 $10,000 $10,000 $8,500 4/15/2021

ZKMQ 2020-003(HMT) 1 $10,000 $10,000 $7,500 9/28/2021

ZKMQ 2021-001(HMT) 1 $10,000 $10,000 $8,500 8/9/2021

ZKMQ 2021-002(HMT) 1 $10,000 $10,000 $7,500 9/28/2021

ZKNC 2020-002(HMT) 1 $7,500 $7,500 $7,500 5/5/2021

ZKRA 2020-001(HMT) 1 $2,000 $2,000 $1,500 3/19/2021

ZKRA 2020-002(HMT) 1 $2,000 $2,000 $1,500 3/19/2021

ZKRA 2020-003(HMT) 1 $2,000 $2,000 $1,500 3/19/2021

ZKYE 2021-001(HMT) 1 $10,000 $10,000 $10,000 6/8/2021

ZLUC 2007-001(HMT) 1 $5,000 $0 $0 5/24/2021 Case Terminated

ZMEL 2020-001(HMT) 1 $2,000 $2,000 $2,000 9/15/2021

ZMIE 2021-001(HMT) 1 $5,000 $5,000 $3,800 9/29/2021

ZMIO 2020-001(HMT) 1 $2,000 $2,000 $2,000 6/17/2021

ZMNP 2020-003(HMT) 1 $2,000 $2,000 $1,560 10/19/2020

ZMNP 2020-004(HMT) 1 $5,000 $5,000 $3,950 10/19/2020

ZMNS 2020-001(HMT) 1 $2,000 $2,000 $1,600 5/13/2021

ZMQE 2020-002(HMT) 1 $5,000 $5,000 $5,000 6/9/2021

ZMWE 2020-001(HMT) 1 $10,000 $10,000 $7,000 8/18/2021

ZNAL 2020-001(HMT) 1 $15,000 $15,000 $12,000 5/11/2021

ZNDV 2018-001(HMT) 2 $20,000 $20,000 $17,000 2/22/2021

ZNDV 2018-002(HMT) 1 $5,000 $5,000 $4,000 2/22/2021

ZNDV 2018-003(HMT) 1 $10,000 $10,000 $8,500 2/22/2021

ZNDV 2019-001(HMT) 4 $9,500 $9,500 $7,125 2/22/2021

ZNDV 2019-002(HMT) 1 $4,000 $4,000 $3,000 2/22/2021

ZNOS 2020-001(HMT) 1 $5,000 $5,000 $3,500 5/10/2021

ZNOS 2020-002(HMT) 1 $10,000 $10,000 $8,000 5/10/2021

ZNUS 2020-001(HMT) 1 $6,000 $6,000 $6,000 2/18/2021

ZNUS 2020-002(HMT) 1 $4,000 $4,000 $4,000 2/18/2021

ZNUS 2020-003(HMT) 1 $2,000 $2,000 $2,000 2/18/2021

ZNUS 2020-004(HMT) 1 $5,000 $5,000 $4,000 5/7/2021

ZNYN 2019-001(HMT) 1 $7,500 $7,500 $5,250 5/24/2021

ZNYN 2019-002(HMT) 1 $5,000 $5,000 $3,500 5/24/2021

ZNYN 2019-003(HMT) 1 $5,000 $0 $0 5/17/2021 Case Terminated

ZOLI 2019-009(HMT) 1 $10,000 $10,000 $10,000 7/9/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ZOLI 2019-010(HMT) 1 $5,000 $5,000 $5,000 7/9/2021

ZOLI 2019-011(HMT) 1 $5,000 $5,000 $5,000 7/9/2021

ZOLI 2020-001(HMT) 1 $2,000 $2,000 $2,000 7/9/2021

ZOLI 2020-002(HMT) 1 $5,000 $5,000 $5,000 7/9/2021

ZOLI 2020-003(HMT) 1 $15,000 $15,000 $15,000 7/9/2021

ZOTT 2019-001(HMT) 1 $5,000 $5,000 $5,000 7/9/2021

ZOTT 2019-002(HMT) 1 $5,000 $5,000 $5,000 7/9/2021

ZOTT 2019-003(HMT) 1 $5,000 $5,000 $5,000 7/9/2021

ZOTT 2019-004(HMT) 1 $5,000 $5,000 $5,000 7/9/2021

ZOTT 2019-005(HMT) 1 $10,000 $10,000 $10,000 7/9/2021

ZOTT 2019-006(HMT) 1 $5,000 $5,000 $5,000 7/9/2021

ZOTT 2019-007(HMT) 1 $5,000 $5,000 $5,000 7/9/2021

ZOTT 2019-008(HMT) 1 $5,000 $5,000 $5,000 7/9/2021

ZOTT 2020-001(HMT) 1 $5,000 $5,000 $5,000 7/9/2021

ZOTT 2020-002(HMT) 1 $5,000 $5,000 $5,000 7/9/2021

ZPBA 2020-001(HMT) 1 $10,000 $10,000 $7,850 6/9/2021

ZPBD 2021-001(HMT) 1 $5,000 $5,000 $3,850 6/2/2021

ZPBF 2015-001(HMT) 2 $21,000 $18,000 $13,000 11/10/2020 Partially 

Terminated 

Violations: 1

ZPBF 2016-001(HMT) 1 $5,000 $5,000 $3,500 11/10/2020

ZPBF 2017-001(HMT) 1 $5,000 $5,000 $3,500 11/10/2020

ZPBF 2018-001(HMT) 1 $5,000 $5,000 $3,500 11/10/2020

ZPBF 2020-001(HMT) 1 $10,000 $7,500 $6,500 11/10/2020 Partially 

Terminated 

Violations: 1

ZPBH 2021-001(HMT) 1 $5,000 $5,000 $3,900 9/29/2021

ZPBK 2021-001(HMT) 1 $10,000 $10,000 $8,000 6/7/2021

ZPEA 2020-001(SA) 1 $5,000 $0 $0 3/2/2021 Case Terminated

ZPLD 2020-001(HMT) 2 $4,000 $4,000 $4,000 5/12/2021

ZPLP 2019-002(HMT) 1 $5,000 $5,000 $5,000 5/12/2021

ZPLS 2019-003(HMT) 1 $5,000 $5,000 $4,000 4/29/2021

ZPLS 2020-001(HMT) 1 $2,000 $2,000 $2,000 4/29/2021

ZPMS 2019-004(HMT) 1 $5,000 $5,000 $4,250 4/29/2021

ZPMS 2019-005(HMT) 1 $2,500 $2,500 $1,875 4/30/2021

ZPMS 2020-001(HMT) 1 $5,000 $5,000 $4,250 4/30/2021

ZPMS 2020-002(HMT) 1 $20,000 $20,000 $10,000 4/30/2021

ZPSC 2020-001(HMT) 1 $5,000 $5,000 $5,000 5/5/2021

ZPSC 2020-002(HMT) 1 $10,000 $10,000 $10,000 1/25/2021

ZPSC 2020-003(HMT) 1 $2,000 $2,000 $2,000 5/27/2021

ZPSC 2020-004(HMT) 1 $5,000 $5,000 $5,000 5/28/2021

ZPSC 2020-005(HMT) 1 $5,000 $5,000 $5,000 5/27/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ZPSC 2020-006(HMT) 1 $1,000 $1,000 $1,000 5/27/2021

ZQCR 2020-001(HMT) 1 $5,000 $5,000 $3,500 11/13/2020

ZRAY 2020-001(HMT) 1 $4,000 $4,000 $3,000 2/5/2021

ZREG 2021-001(HMT) 1 $2,000 $2,000 $1,500 3/25/2021

ZREG 2021-002(HMT) 2 $7,000 $7,000 $7,000 6/7/2021

ZRES 2016-001(HMT) 1 $10,000 $10,000 $950 11/20/2020

ZRES 2017-001(HMT) 2 $20,000 $20,000 $950 11/20/2020

ZRES 2018-004(HMT) 1 $10,000 $10,000 $5,000 11/20/2020

ZRES 2020-001(HMT) 1 $2,500 $2,500 $2,000 11/20/2020

ZRES 2020-002(HMT) 1 $10,000 $10,000 $2,500 3/5/2021

ZRES 2021-001(HMT) 1 $7,500 $7,500 $5,000 9/8/2021

ZRLG 2018-002(HMT) 1 $5,000 $5,000 $3,800 9/29/2021

ZRLG 2020-001(HMT) 3 $19,500 $19,500 $15,210 9/29/2021

ZRLZ 2020-001(HMT) 1 $2,000 $2,000 $1,350 11/18/2020

ZRLZ 2021-001(HMT) 1 $5,000 $5,000 $3,000 5/14/2021

ZRRQ 2020-001(HMT) 1 $2,000 $2,000 $1,500 10/22/2020

ZRRQ 2021-001(HMT) 1 $2,000 $2,000 $1,000 6/1/2021

ZRSER 2021-001(HMT) 1 $2,000 $2,000 $2,000 7/2/2021

ZRSH 2020-001(HMT) 1 $2,000 $2,000 $1,350 11/18/2020

ZRSNL 2020-001(HMT) 1 $5,000 $5,000 $3,750 1/4/2021

ZRSO 2020-001(HMT) 1 $4,000 $4,000 $4,000 1/7/2021

ZRSS 2020-001(HMT) 1 $16,000 $16,000 $13,500 1/19/2021

ZSASN 2020-001(HMT) 1 $5,000 $5,000 $5,000 3/22/2021

ZSASN 2020-003(HMT) 1 $10,000 $10,000 $10,000 5/3/2021

ZSCC 2019-001(HMT) 2 $11,500 $11,500 $11,500 5/24/2021

ZSCC 2019-002(HMT) 1 $5,000 $5,000 $5,000 5/24/2021

ZSCC 2019-003(HMT) 1 $10,000 $10,000 $0 5/24/2021

ZSCC 2020-001(HMT) 1 $10,000 $10,000 $10,000 5/24/2021

ZSCC 2020-002(HMT) 1 $10,000 $10,000 $10,000 5/24/2021

ZSEU 2020-001(HMT) 1 $10,000 $10,000 $7,250 2/18/2021

ZSHEL 2019-001(HMT) 1 $10,000 $10,000 $10,000 5/24/2021

ZSHEL 2020-001(HMT) 1 $10,000 $10,000 $10,000 5/24/2021

ZSHEL 2020-002(HMT) 1 $5,000 $5,000 $5,000 5/24/2021

ZSHEL 2020-003(HMT) 1 $15,000 $15,000 $10,500 5/24/2021

ZSHL 2019-001(HMT) 1 $5,000 $5,000 $3,000 5/24/2021

ZSHL 2020-001(HMT) 1 $2,000 $2,000 $2,000 5/24/2021

ZSHL 2020-002(HMT) 1 $2,000 $2,000 $2,000 5/24/2021

ZSKI 2018-003(HMT) 1 $5,000 $5,000 $3,400 5/14/2021

ZSKI 2020-001(HMT) 1 $5,000 $5,000 $3,250 5/14/2021

ZSKI 2020-002(HMT) 1 $2,000 $2,000 $1,400 5/14/2021

ZSKI 2020-003(HMT) 1 $10,000 $10,000 $6,800 5/14/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ZSKI 2020-004(HMT) 1 $5,000 $5,000 $3,400 5/14/2021

ZSND 2019-001(HMT) 1 $4,000 $4,000 $4,000 2/23/2021

ZSOC 2019-001(HMT) 1 $4,000 $4,000 $4,000 5/24/2021

ZSOC 2020-001(HMT) 1 $5,000 $5,000 $5,000 5/24/2021

ZSOC 2020-002(HMT) 1 $6,000 $6,000 $6,000 5/24/2021

ZSOLI 2020-001(HMT) 1 $2,000 $2,000 $1,340 5/3/2021

ZSOLI 2021-001(HMT) 2 $7,500 $7,500 $5,325 8/23/2021

ZSRE 2020-002(HMT) 1 $5,000 $5,000 $3,500 2/3/2021

ZSSCO 2018-002(HMT) 1 $5,000 $5,000 $3,500 4/23/2021

ZSSCO 2019-001(HMT) 1 $20,000 $20,000 $15,000 4/23/2021

ZSSCO 2019-002(HMT) 1 $4,000 $4,000 $2,850 4/23/2021

ZSSCO 2019-003(HMT) 1 $5,000 $5,000 $3,500 4/23/2021

ZSSCO 2019-004(HMT) 1 $10,000 $10,000 $7,200 4/23/2021

ZSSCO 2019-005(HMT) 1 $4,000 $4,000 $2,750 4/23/2021

ZSSCO 2019-006(HMT) 1 $10,000 $10,000 $7,500 4/23/2021

ZSSCO 2019-007(HMT) 2 $10,000 $10,000 $7,200 4/23/2021

ZSSP 2021-001(HMT) 1 $2,000 $2,000 $2,000 6/3/2021

ZSTQ 2021-001(HMT) 1 $4,000 $4,000 $4,000 7/2/2021

ZSTQ 2021-002(HMT) 1 $10,000 $10,000 $10,000 6/10/2021

ZSYM 2020-001(HMT) 1 $2,000 $2,000 $2,000 3/25/2021

ZTERM 2020-001(HMT) 1 $2,000 $2,000 $1,400 2/12/2021

ZTERM 2020-002(HMT) 2 $9,000 $9,000 $5,500 2/9/2021

ZTES 2016-001(HMT) 1 $5,000 $0 $0 1/14/2021 Case Terminated

ZTFF 2021-001(HMT) 1 $7,500 $7,500 $5,800 8/11/2021

ZTGM 2017-002(HMT) 1 $15,000 $0 $0 12/8/2020 Case Terminated

ZTGT 2020-001(HMT) 1 $5,000 $5,000 $3,250 5/28/2021

ZTKB 2020-001(HMT) 1 $2,000 $2,000 $2,000 5/28/2021

ZTKB 2020-002(HMT) 1 $2,000 $2,000 $2,000 11/23/2020

ZTKB 2020-003(HMT) 1 $2,000 $2,000 $2,000 11/23/2020

ZTKB 2020-004(HMT) 1 $2,000 $2,000 $2,000 1/8/2021

ZTKB 2020-005(HMT) 1 $2,000 $2,000 $2,000 5/28/2021

ZTME 2020-003(HMT) 1 $2,000 $2,000 $2,000 1/6/2021

ZTMS 2020-001(HMT) 1 $10,000 $10,000 $7,000 4/9/2021

ZTMS 2020-002(HMT) 1 $10,000 $10,000 $7,000 4/9/2021

ZTMT 2020-003(HMT) 1 $1,000 $1,000 $1,000 1/27/2021

ZTMT 2021-002(HMT) 1 $2,000 $2,000 $2,000 9/15/2021

ZTOE 2020-001(HMT) 1 $2,000 $2,000 $1,200 2/10/2021

ZTRG 2021-001(HMT) 1 $5,000 $5,000 $3,100 5/18/2021

ZTRG 2021-002(HMT) 1 $10,000 $10,000 $6,750 9/30/2021

ZTRSP 2018-003(HMT) 1 $5,000 $5,000 $3,250 3/30/2021

ZTRSP 2019-001(HMT) 1 $5,000 $5,000 $3,500 3/30/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ZUCL 2020-001(HMT) 1 $5,000 $5,000 $3,900 12/21/2020

ZUCL 2021-001(HMT) 1 $2,000 $2,000 $1,600 5/4/2021

ZUEL 2009-001(HMT) 1 $5,000 $0 $0 10/15/2020 Case Terminated

ZUGR 2021-001(TS) 2 $10,000 $10,000 $10,000 7/22/2021

ZUIL 2020-001(HMT) 1 $5,000 $5,000 $3,800 4/30/2021

ZULC 2020-002(HMT) 1 $2,000 $2,000 $1,580 10/15/2020

ZULC 2020-003(HMT) 2 $11,000 $11,000 $8,292 10/15/2020

ZUNIV 2020-006(HMT) 1 $2,000 $2,000 $1,600 1/25/2021

ZUNIV 2020-007(HMT) 1 $2,000 $2,000 $1,600 2/25/2021

ZUNIV 2020-008(HMT) 1 $4,000 $4,000 $3,000 3/17/2021

ZUNIV 2021-001(HMT) 1 $2,000 $2,000 $1,600 7/21/2021

ZUNIV 2021-002(HMT) 1 $5,000 $5,000 $3,900 7/21/2021

ZUPI 2021-001(HMT) 1 $5,000 $5,000 $5,000 8/26/2021

ZUPS 2020-003(HMT) 1 $5,000 $5,000 $3,800 3/16/2021

ZUPS 2021-001(HMT) 1 $7,500 $0 $0 6/21/2021 Case Terminated

ZUPT 2021-001(HMT) 1 $4,000 $4,000 $3,100 3/16/2021

ZUPT 2021-002(HMT) 2 $9,000 $9,000 $9,000 4/22/2021

ZUSA 2021-001(HMT) 2 $10,000 $10,000 $10,000 5/27/2021

ZUSN 2020-001(HMT) 2 $15,000 $15,000 $10,800 3/9/2021

ZUSOR 2020-001(HMT) 1 $2,000 $2,000 $2,000 4/8/2021

ZUSOR 2021-001(HMT) 1 $5,000 $5,000 $2,500 5/25/2021

ZUSOR 2021-002(HMT) 1 $5,000 $5,000 $2,500 5/25/2021

ZUTC 2021-001(HMT) 1 $10,000 $10,000 $10,000 3/19/2021

ZUTI 2008-001(HMT) 5 $71,500 $0 $0 10/15/2020 Case Terminated

ZVALE 2015-001(HMT) 1 $10,000 $10,000 $5,500 5/27/2021

ZVALE 2015-002(HMT) 1 $6,000 $6,000 $3,300 5/27/2021

ZVALE 2017-001(HMT) 1 $2,000 $2,000 $1,300 5/27/2021

ZVALM 2013-002(HMT) 1 $2,000 $2,000 $1,100 5/27/2021

ZVALM 2015-001(HMT) 1 $2,000 $2,000 $1,100 5/27/2021

ZVALM 2018-004(HMT) 1 $5,000 $5,000 $3,000 5/27/2021

ZVALM 2018-005(HMT) 1 $7,500 $7,500 $3,750 5/27/2021

ZVALM 2019-001(HMT) 1 $10,000 $10,000 $6,250 5/27/2021

ZVALM 2019-003(HMT) 2 $10,000 $10,000 $7,500 5/27/2021

ZVCP 2020-004(HMT) 1 $10,000 $10,000 $6,000 7/23/2021

ZVRG 2021-001(HMT) 1 $2,000 $2,000 $2,000 8/19/2021

ZVTD 2015-001(HMT) 4 $20,000 $20,000 $11,000 5/27/2021

ZVTZ 2019-002(HMT) 1 $10,000 $10,000 $10,000 1/4/2021

ZWAO 2020-001(HMT) 1 $2,000 $2,000 $1,400 9/28/2021

ZWATC 2021-001(HMT) 1 $5,000 $5,000 $3,500 9/28/2021

ZWCZ 2021-001(HMT) 1 $2,000 $2,000 $1,450 9/24/2021

ZWND 2021-001(HMT) 1 $2,000 $2,000 $1,700 3/24/2021
Federal Railroad Administration

Safety Cases Closed in FY 2021

FRA No.

No. of 

Violations POCA PRCA

Settlement

Amount

Settlement

Date Comments

ZWND 2021-002(HMT) 1 $4,000 $4,000 $3,300 5/3/2021

ZWOC 2020-001(HMT) 1 $2,000 $2,000 $2,000 11/23/2020

ZWPO 2020-001(HMT) 1 $5,000 $5,000 $3,750 2/10/2021

ZWRE 2020-001(HMT) 2 $11,500 $11,500 $8,850 11/17/2020

ZWRK 2020-002(HMT) 2 $7,000 $5,000 $5,000 3/3/2021 Terminated 

Violations: 1

ZWRK 2021-001(HMT) 1 $5,000 $5,000 $3,500 9/24/2021

ZWRL 2021-001(HMT) 1 $10,000 $10,000 $6,800 9/24/2021

ZWTI 2019-001(HMT) 1 $4,000 $4,000 $4,000 4/26/2021

ZWTN 2020-002(HMT) 1 $6,000 $6,000 $4,000 9/28/2021

ZYMM 2020-001(HMT) 4 $11,500 $7,500 $5,700 9/28/2021 Terminated 

Violations: 1

ZZAC 2021-001(HMT) 1 $2,000 $2,000 $1,200 8/10/2021

ZZPR 2020-001(HMT) 1 $2,500 $2,500 $1,750 2/17/2021

 Total 3,993 $17,293,842 $16,446,845 12,371,183 $ 
100

Codes Respondent Names

AA Ann Arbor Railroad

AB Akron Barberton Cluster Railway Co.

ABS Alabama Southern Railroad

ACWR Aberdeen, Carolina And Western Railroad

AGR Alabama & Gulf Coast Railway Llc.

AKMD Arkansas Midland Railroad

ALE Alabama Export Railroad

ALM Arkansas Louisiana & Mississippi Railroad

ALS The Alton And Southern Railway Company

AM Arkansas And Missouri Railroad Company

ARR Alaska Railroad Corporation

ARS Arkansas Southern Railroad

ASRY Ashland Railway Inc.

ATK National Railroad Passenger Corporation

AZER Arizona Eastern Railway

BAR Bangor And Aroostook Railroad

BAYL Bay Line Railroad

BB Buckingham Branch Railroad Company

BHRR Birmingham Terminal Railway, Llc

BLF Brightline

BLU Blue Ridge Southern Railroad, Llc

BM Boston And Maine Corporation

BNSF BNSF Railway Company

BNSO BNSF Suburban Operations

BPRR Buffalo & Pittsburgh Railroad, Inc.

CAGY Columbus & Greenville Railway

CAMD Camden & Southern Railroad

CANX Camden & Southern Railroad

CATQ Carry Transit

CBR Coos Bay Rail Line 

CCHA Columbus & Chattahoochee Railroad, Inc.

CCRL Cleveland & Cuyahoga Railway, Llc

CCT Central California Traction Company

CDOT Connecticut Department Of Transportation

CFI CF Industries Sales, LLC

CFNR California Northern Railroad Co.

CFRC Central Florida Rail Corridor

CLNA Carolina Coastal Railway, Inc.

CN Canadian National Railway Company
101

Codes Respondent Names

CNZR Central New England Railroad

COEJ Coenergy, LLC

COSR Connecticut Southern Railroad, Inc.

CP Canadian Pacific Railway

CRKZ Cooper Creek Chemical Corporation

CRL Chicago Rail Link

CRRX Canon City Royal Gorge Railroad

CRSH Consolidated Rail Corporation

CRSM Consolidated Rail Corporation

CSX CSX Transportation Inc.

CTIZ Chemtall Incorporation

CWW CWW, Llc

DGNO Dallas, Garland And Northeastern Railroad, Inc.

DPQ Dexco Polymers

DR Dardanelle & Russellville Railroad

DREI Decatur And Eastern Illinois Railroad

EIRR Eastern Idaho Railroad, Llc

ELS Escanaba And Lake Superior Railroad Co.

EMRY Eastern Maine Railway

EVWR Evansville Western Railroad, Inc.

FEC Florida East Coast Railway Llc

FGA Florida Gulf & Atlantic Railroad Llc

FP Fordyce & Princeton Railroad Company

GC Georgia Central Railway

GDLK Grand Elk Railroad, Llc

GLCT Global Container Terminals

GRNW Great Northwest Railroad, LLC

GRW Gary Railway Company

GS Georgia Southern Railway Company

GSM Great Smokey Mountain Railway

GWR Great Western Railway Of Colorado, Llc

HRT Hartwell Railroad Company

IAIS Iowa Interstate Railroad, LLC

IARR Iowa River Railroad Inc

IATR Iowa Traction Railway Company

IHB Indiana Harbor Belt Railroad Company

IHTR Iron Horse Terminals

IMRR Illinois & Midland Railroad, Inc.

INPR Idaho Northern And Pacific Railroad

INRD The Indiana Rail Road Company

IORY Indiana & Ohio Railway Company
102

Codes Respondent Names

IR Illinois Railway, Llc

IRTV Inter-Rail Transportation, Inc.

ITB Illinois Terminal Belt

JDSZ J.D. Streett & Company, Inc.

KCS The Kansas City Southern Railway Company

KCT Kansas City Terminal Railway Company

KFR Kettle Falls International Railway, Llc.

KNWA Kanawha River Railroad

KRR Kiamichi Railroad Co., Llc.

KYLE KYLE Railroad Co.

LAJ Los Angeles Junction Railway Company

LBWR Lubbock & Western Railway, Llc

LCHD Lake Charles Harbor District

LI Long Island Railroad

LRWY Lehigh Railway, Llc

LRY LRY Llc

LS Longview Switching Company

LXVR Luxapalila Valley Railroad, Inc.

MEC Maine Central Railroad Company

MNA Missouri & Northern Arkansas Railroad Co., Inc.

MOTV Motive Rail

MRL Montana Rail Link

MSE Mississippi Export Railroad Company

NECX Nebraska Central Railroad

NICD Northern Indiana Commuter Transportation District

NYNJ New York New Jersey Rail LLC

PAS Pan Am Southern Llc.

PDRR Pee Dee River Railroad

PNR Panhandle Northern

PNWR Portland And Western Railroad Inc.

POCA Port Of Catoosa Terminal Rr

POHC The Pittsburgh & Ohio Central Railroad Co.

PSAP Puget Sound & Pacific Railroad

PTO Portland Terminal Railroad Company

PW Providence And Worcester Rr Company

RJCC R. J. Corman Railroad Company/Central Kentucky Lines

RPRC Richmond Pacific Railroad Corp.

RRCV Respondek Railroad Corporation

RSR Rochester And Southern Railroad, Inc.

RYIZ Runyon Industries
103

Codes Respondent Names

SB South Buffalo Railway Company

SCAX Southern California Regional Rail Authority

SKOL South Kansas And Oklahoma Railroad Company

SLWC Stillwater Central Railroad Company, Llc

SOU Norfolk Southern Railway Company

SRN Sabine River & Northern Railroad Company

ST Springfield Terminal Railway Company

STMA St. Maries River Railroad

SUOC Superior Oil Company, Inc.

SW Southwestern Railroad, Inc.

TEVR Tavares, Eutis & Gulf Railroad

TGCZ Tugalo Gas Company Inc.

TM Texas Mexican Railway Company

TMBL Tacoma Municipal Belt Line Railway

TN Texas & Northern Railway Company

TPW Toldeo, Peoria & Western Railway Corp.

TSWS Terminal Switching Services

TTXJ TTX Company

TXN Texas New Mexico Railway, Llc.

TXOR Texas Oklahoma Railroad

UP Union Pacific Railroad Company

URR Union Railroad Company

UTAH UTAH Railway Company

VSOR Vicksburg Southern Railroad

WATX Watco Switching

WRL WRL, LLC

WSOR Wisconsin & Southern Railroad

XAAL Aaw- Alliance

XALV Aaw Las Vegas

XANS Ascensus Specialties

XAOS Asphalt Operating Services of Chicago

XATN Appalachian Tank Car Services

XBCO Brandt Consolidated

XCAI Cargill, Inc.

XCBL Clean Harbors Of Baltimore, Inc.

XCCN Cleco Corporation

XCDL CDL Electric Company

XCHS CHS, Inc.

XCLS Cemex

XCLX CLX Logistics
104

Codes Respondent Names

XCNT CTS (Cogent Technical Services)

XCPT Center Point Terminal Company

XCTK Complete Track Works

XCTV Contrans Vrac Inc.

XCWC Choctaw Construction Services LLC

XDBS Diamondback Signal

XDEC Ducci Electrical Contractors Inc.

XEEL Estes Express Lines

XEGC Evergreen Packaging LLC

XELI Elite Comfort Solutions

XFEF Fedex Freight, Inc.

XFMC Freeport-Mcmoran Inc.

XGAS Gerdau Ameristeel Whitby

XGMJ Gerdau Macsteeel Jackson

XICP Illinois Corn Processing, LLC

XING Ingredion Incorporated

XKHM Koch Methanol, LLC

XMKW Markwest Hydrocarbon, L.L.C.

XNVG Nuevo Gas

XPRS Progress Rail Services Corporation

XSNA Sazerac North America

XTGS Trans-Global Solutions, Inc.

XTNS TN Track Services, Inc.

XTQU Tarquin Acid LLC

XWAS Washington State DOT

XWCD West Coast Transloading LLC

XWEM Western Emulsions, Inc.

XZAC ZA Construction

XZTH Zenith Energy Terminals

YSRR Youngstown & Southeastern Railroad

ZAAO Aoc Llc

ZABD Aberdeen Energy, Llc

ZACH Ashta Chemicals, Inc.

ZACR Adm Corn Processing

ZADQ Alberta Distillers Limited

ZAFQ Afton Chemical Corporation

ZAG Ash Grove Cement Company

ZAGT Amerigas Propane L.P.

ZAIN Arclin

 S ZALC Asarco Llc

ZALN Alon, Usa, Lp
105

Codes Respondent Names

ZALQ Airgas, An Air Liquide Company

ZALRC Alaron Corp.

ZAMC Archer Daniels Midland Co.

ZAND The Andersons, Inc.

ZANN The Andersons

ZANS Agrogen S.A. De C.V.

ZANX Allnex

ZAO Apex Oil Company, Inc.

ZAPCH Apache Nitrogen Products, Inc.

ZAPL American President Lines, Ltd.

ZAPM Ascend Performance Materials Llc

ZARGR American Refining Group, Inc.

ZARJ Arrow Material Services

ZARK Arkema, Inc.

ZASY Americas Styrenics

ZATP Allen's Transport Ltd.

ZAUP Austin Powder Company

ZAUX Aux Sable Liquid Products, Inc.

ZAXI Axiall Llc

ZAZG Agroindustrial Zaragosa S.A. De C.V.

ZCACT Celanese Acetate

ZCAO Cando Rail Services Ltd.

ZCBK C&C Bulk Liquid Transfer, Inc.

ZCBL Carbide Industries, LLC

ZCCF Consumer Co-Op Refiners

ZCCM Cargill-Corn Milling Division

ZCCW BP Amoco Chemical Company

ZCDI Church & Dwight Co., Inc.

ZCDY Cody Group Inc.

ZCEE Centennial Energy 

ZCEF Chief Ethanol Fuels

ZCELA Celanese

ZCFC Chemours Co. Fc, LLC

ZCFX CN CargoFlo

ZCGR Casa Grande Plant Food Company

ZCHEV Chevron Products Company

ZCHF Chemical South Transport

ZCHZ Clean Harbors Deer Park LLC

ZCIZ Crystal Packaging Inc.

ZCKP Cherokee Pharmaceuticals

ZCLCI Celanese Canada Inc.
106

Codes Respondent Names

ZCLQ Corn LP

ZCLS Crowley Liner Services Inc.

ZCLX Chemtrade Logistics

ZCM2 CAM2 International, LLC

ZCMA CMA CGM

ZCMB Climax Molybdenum

ZCME Calumet Montana Refining, LLC

ZCNC Cherokee Nitrogen

ZCNL Canal Terminal Company

ZCONL

ZCOV

Covestro Llc.

Continental Carbon Company

ZCOX Clorox Products Manufacturing Company

ZCOY Coastal Energy Corporation

ZCPCL Chevron Phillips Chemical Company LP

ZCPR

ZCRB

Citgo Petroleum Corp.

Conrad & Bischoff

ZCRS Carson Oil

ZCRY Chemtrade Refinery Services Inc.

ZCRZ Cornerstone Chemical Company

ZCSI C & S Chemical Company

ZCSK Carbonfree Chemicals

ZCT Colonial Terminals

ZCTO Central Transport

ZCUC Carlisle Construction Materials, LLC

ZCUI Chevron Usa, Inc.

ZCXF CN CargoFlo

ZCYL Cymetech, LLC

ZCZX CAI, Inc.

ZDAC Dana Container Inc.

ZDAK Dak Americas LLC

ZDANT Dana Transport Inc.

ZDBR Dixon Bros. Inc.

ZDCM Dover Chemical Corp.

ZDCU The Dow Chemical Company

ZDCUC Dow Chemical Canada Inc.

ZDET Didion Ethanol

ZDGZ Dakota Gasification Co.

ZDKI D/K Environmental

ZDPM DCP

ZDSQ Dupont Specialty Products USA, LLC.

ZDUP E.I. Dupont De Nemours And Company
107

Codes Respondent Names

ZDYI Dyno Nobel, Inc.

ZEACH Eastman Chemical Company

ZEDC El Dorado Chemical Company

ZEEN Eco Energy

ZELEM Elementis Chromium Inc.

ZEMCC Exxonmobil Corporation

ZEMER Emerald Services, Inc.

ZEMR Exxonmobil Oil Corporation

ZENK Enlink Midstream

ZEOB Ecolab, Inc.

ZEPC Enterprise Products Operating Llc

ZEPZ Enterprise Products Operating Llc

ZEQU Equistar Chemicals Lp

ZESR Eco Services Operations Corp.

ZETP Energy Transfer Partners

ZEVD Evonik Corporation

ZEVN Evans Delivery Company Inc.

ZEWW Erco Worldwide

ZEXM Exxonmobil Corporation

ZFGC Ferrell Gas, Inc.

ZFHR Flint Hills Resources

ZFIT Fortron Industries

ZFIZ Franklin International

ZFLS Frontier Logistical Services

ZFPY Flow Polymers Inc.

ZFRQ Poet Biorefining-Gowrie

ZFUT Futamura

ZGBL Global Companies Llc

ZGCL Geocycle Llc

ZGEG Genesis Energy, L.P.

ZGEPA Georgia Pacific Company

ZGFL Gavilon Fertilizer, Llc.

ZGIL Giles Chemical

ZGLO Glo-Gas Service

ZGPF Georgia-Pacific Chemicals Llc.

ZGPG Green Plains Trade Group Llc

ZGPX Georgia-Pacific Foley Cellulose Llc 

ZGPZ Georgia Ports Authority

ZGSA Genesis Alkali

ZGSZ Sgs North America, Inc., Petroleum Service Corp.

ZGXA Gardner Asphalt Corporation

ZIBS International Bulk Services

ZICP Ineos Composites US LLC

ZIES Ineos Olefins & Polymers USA
108

Codes Respondent Names

ZIFF International Flavors & Fragrances

ZIFT Inland Fuel Terminals, Inc.

ZIJT INEOS JOLIET LLC

ZIMA Interplastic Corporation

ZIMO Imperial Oil Limited

ZINS Its Technologies & Logistics, Llc

ZINTT International Matex Tank Terminals

ZIOD Imperial Oil Chemical Div.

ZIP International Paper Company

ZIPA ICL Industrial Products America Inc.

ZIPI Ineos Phenol, Inc.

ZIRO Irving Oil Company

ZIRV Ironville Rail and Transfer, LLC

ZITT Intercontinental Terminals Company

ZIVE Indorama Ventures

ZIVS

ZIWI

Invista S.A.R.L.

International Waxes, Inc.

ZJIT Jit Terminals, Inc.

ZJMA Johns Manville

ZJRS J. R. Simplot Company

ZKDM Kinder Morgan Energy Partners, L.P.

ZKING Kingsford Manufacturing Company

ZKMB Kinder Morgan Bulk Terminals, Inc.

ZKML Kinder Morgan Liquids Terminals, LLC

ZKMQ Kinder Morgan

ZKNC Koch Nitrogen Company

ZKRA Kraton Corporation

ZKYE Keyera Corp.

ZLUC Linde - Union Carbide

ZMEL Monroe Energy Llc.

ZMIE Poet Biorefining-Laddonia

ZMIO Imperial Oil Limited

ZMNP Marathon Petroleum Company

ZMNS Magnum Solvent, Inc.

ZMQE Marquis Energy, Llc

ZMWE Midwest Renewable Energy, Llc

ZNAL Nalco Company

ZNDV Andeavor

ZNOS NorFalco, Inc.

ZNUS Nustar Terminals Operations Partnership L.P.
109

Codes Respondent Names

ZOLI Olin Corporation

ZOTT Oiltanking Texas City L.P.

ZPBA Poet Biorefining-Alexandria

ZPBD Poet Biorefining-Chancellor

ZPBF Pbf Energy

ZPBH Poet Biorefining-Hudson

ZPBK Poet Biorefining-Lake Crystal

ZPEA Poet Ethanol Products-Atlantic

ZPLD Pl Developments

ZPLP Parallel Products

ZPLS Plains Lpg Services Lp

ZPMS Plains Midstream Canada, Llc

ZPSC Petroleum Service Corporation

ZQCR Quality Carriers

ZRAY Rayonier Advanced Materials, Inc.

ZREG Renewable Energy Group

ZRES Rescar, Inc.

ZRLG Rail Link

ZRLZ Rsi Leasing, Inc.

ZRRQ Road & Rail Services, Inc.

ZRSER Rail Services, Inc.

ZRSH Rsi Logistics, Inc.

ZRSNL Resinall Corp.

ZRSO Rail Solutions Llc

ZRSS Rail Serve

ZSASN Sasol Chemicals North America

ZCSS Shell Chemical Lp

ZSEU Suncor Energy (U.S.A.) Inc.

ZSHEL

ZSHL

Shell Chemicals Canada

Shell Canada Products

ZSKI Safety-Kleen Systems, Inc.

ZSND SeaPort Sound Terminal LLC

ZSOC Shell Oil Company

ZSOLI Solutia, Inc.

ZSRE Suncor Energy Products, Inc.

ZSSCO Savage Services Corporation

ZSSP Southern States Chemical

ZSTQ Stepan Company

ZSYM Symrise

ZTERM Tesoro Refining And Marketing Company

ZTES Tesoro Refining & Marketing Company LLC

ZTFF TForce Freight

ZTGM Tesoro Gp Midstream Llc

ZTGT Targa Transportation LLC

ZTKB Tokai Carbon CB Ltd.

ZTME Tidewater Midstream & Infrastructure

ZTMS Targa Midstream Services

ZTMT Transmontaigne Product Services, Inc.

ZTOE Total Specialties USA Inc.
110

Codes Respondent Names

ZTRG Toledo Refining Company Llc

ZTRSP Tropical Shipping USA, LLC

ZUCL Univar Canada Ltd.

ZUEL Utica Energy Llc.

ZUGR USD Group LLC

ZUIL Infineum USA L.P.

ZULC Usalco

ZUMQ Us Magnesium Llc

ZUNIV Univar Solutions Inc.

ZUPI USS-POSCO Industries

ZUPS United Parcel Service, Inc.

ZUPT UPS Freight

ZUSA Airgas USA

ZUSN US Nitrogen

ZUSOR U.S. Oil And Refining Company

ZUTC Union Tank Car Company

ZUTI United Transportation Service, Inc.

ZVALE Valero Energy Corp.

ZVALM Valero Marketing And Supply Company

ZVCP Vantage Corn Processors LLC

ZVRG Veolia North America Regeneration Services

ZVTD Valero Terminaling And Distribution Company

ZVTZ Vopak Terminal Deer Park

ZWAO Watco Terminal And Port Services

ZWATC Watco Companies Llc

ZWCZ WestRock Charleston Kraft, Llc

ZWND Windstar LPG Inc.

ZWOC Whitaker Oil Company

ZWPO Westpoint Transportation, Inc.

ZWRE Western Refining Company

ZWRK WestRock Mill Company

ZWRL Westrock CP, Llc

ZWTI Wascan Terminals Inc.

ZWTN Watco Transloading, Llc.

ZYMM Yang Ming Marine Lines

ZZAR The Andersons, Inc.

ZZAC Zaclon, Inc.

ZZPR Prestone Products