Federal Railroad Administration - Violation Tracker · BNSF Railway Company 2. Canadian National Railway/Grand Trunk Corporation 3. Canadian Pacific Railway/Soo Line Railroad Company

Federal Railroad Administration

Fiscal Year 2013

Enforcement Report

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Table of Contents

I. Introduction

II. Summary of Inspections and Audits Performed and of Enforcement Actions Recommended in FY 2013 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 System Safety 8. Track

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 Individual 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 (Amtrak) 7. Norfolk Southern Railway Company 8. Union Pacific Railroad Company

III. Civil Penalty Assessment and Settlement Summaries in FY 2013

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 2013 2. For Probable Class II Railroads in Aggregate in FY 2013 3. For Probable Class III Railroads in Aggregate in FY 2013 4. For Hazmat Shippers in Aggregate in FY 2013 5. For Contractors in Aggregate in FY 2013

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

E. Breakdown of Settlements and Final Assessments in Summary 2

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1. For Each Class I Railroad Individually in FY 2013 2. For Probable Class II Railroads in Aggregate in FY 2013 3. For Probable Class III Railroads in Aggregate in FY 2013 4. For Hazmat Shippers in Aggregate in FY 2013 5. For Contractors in Aggregate in FY 2013

IV. Enforcement Actions against Individuals in FY 2013

A. Civil Penalty Cases against Individuals in Aggregate B. Other Enforcement Actions against Individuals in Aggregate

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

Accidents or Incidents

VI. Summary and Analysis of Operating Crew Certification Cases A. Locomotive Engineer Review Board and Operating Crew Review Board 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 2013”

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Federal Railroad Administration Fiscal Year 2013 Enforcement Report

I. INTRODUCTION

The Federal Railroad Administration (FRA) has for at least the past 28 years compiled an annual civil penalty report that summarized the disposition of all instances in which FRA settled a claim for a civil penalty for violations of Federal railroad safety and hazardous materials (hazmat) statutes, regulations, and orders or in which FRA otherwise closed a case to collect a civil penalty for such a violation.1 By law, FRA is authorized to endeavor to enter into negotiated settlements with railroads and other entities subject to its safety jurisdiction, in order to reach agreement on the resolution of claims for civil penalties imposed for failures to comply with specific requirements designed to promote and ensure the safety of the Nation’s freight and passenger railroad operations.2 FRA is also authorized to issue orders assessing civil penalties for violations of the hazardous materials statutes, regulations, and orders.3 In April 2010, FRA increased the amount of information readily available about the agency’s safety enforcement activities and also increased the accessibility of this information to interested parties by posting its first expanded enforcement report pursuant to 49 U.S.C. § 20120 on FRA’s Web site (http://www.fra.dot.gov).4 FRA intends to make this type of safety enforcement information available each year by December 31 for the preceding fiscal year (FY), October 1 through September 30. The following information is included in this year’s report, which focuses on activity during FY 2013:

• A summary of all rail safety and hazmat compliance inspections and audits by FRA or State inspectors and enforcement actions taken by FRA;

• A summary of FRA civil penalty enforcement actions sorted by type of alleged violation and type of respondent, including railroads, shippers of hazmat (hazmat shippers), contractors, and individuals;

• A discussion of the relationship between inspections and enforcement actions, and the number and rate of reportable accidents and incidents, and railroad safety;

• An analysis of locomotive engineer certification cases brought before FRA; and • A line-item listing of all civil penalty cases closed by FRA (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) and chapter I, subchapter A, Hazardous Materials and Oil Transportation, and subchapter C, Hazardous Materials Regulations; 49 U.S.C. § 103; and 49 C.F.R. 1.89. 2 49 U.S.C. ch. 213, and 31 U.S.C. § 3711. 3 49 U.S.C. ch. 51; 49 C.F.R. 1.89; 49 C.F.R. part 209. 4 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. These sections are codified at 49 U.S.C. §§ 20120 and 103, note, respectively.

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II. SUMMARY OF INSPECTIONS AND AUDITS PERFORMED AND OF ENFORCEMENT ACTIONS RECOMMENDED

IN FY 2013

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: 69,377 Defects: 280,858 Units: 2,986,468 Number of Observations: 285,706 Number of Reports with a Recommended Violation: 3,546 Number of Recommended Violation Defects: 7,577 Number of Inspection Days: 52,788

2. Railroads Only

Number of Inspection Reports: 63,852 Defects: 266,510 Units: 2,928,657 Number of Observations: 268,502 Number of Reports with a Recommended Violation: 2,962 Number of Recommended Violation Defects: 6,137 Number of Inspection Days: 50,071

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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 Reports Regulations 414

2. Grade Crossing Signal System Safety Violation Type Number of Recommended Violations

Grade Crossing Signal Safety 128

3. Hazardous Materials

Violation Type Number of Recommended Violations

Hazardous Materials Regulations 1,744

4. Industrial Hygiene Violation Type Number of Recommended Violations

Occupational Noise Exposure 1

5. Motive Power and Equipment Violation Type Number of Recommended Violations

Freight Car Safety Standards 681 Locomotive Safety Standards 554

Passenger Equipment Safety Standards 43

Passenger Train Emergency Preparedness 0

Rear End Marking Devices 2

Safety Appliance Statutes and Regulations 1,405

Safety Glazing Standards 2

Steam Locomotive Inspection and Maintenance 1

All 2,688

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6. Railroad Operating Practices Violation Type Number of Recommended Violations

Alcohol and Drug Use 49 Conductor Qualifications 14 Engineer Qualifications 87

Hours of Service Laws and Regulations 648

Railroad Communications 104

Railroad Operating Practices 630

Railroad Operating Rules 33

Railroad Safety Enforcement Procedures 35

Train Horn/Quiet Zone 3

All 1,603

7. Signal System Safety Violation Type Number of Recommended Violations

Signal Inspection Regulations 135

8. Track Violation Type Number of Recommended Violations

Bridge Worker Safety Standards 1 Roadway Worker Protection 87 Track Safety Standards 946

All 1,034

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C. FRA AND STATE INSPECTIONS OF RAILROADS, SORTED BY RAILROAD TYPE

1. Class I Railroads

Number of Inspection Reports: 47,393 Defects: 198,315 Units: 2,362,675 Number of Observations: 202,535 Number of Reports with a Recommended Violation: 2,472 Number of Recommended Violation Defects: 5,254 Number of Inspection Days5: 38,017

2. Probable Class II Railroads6

Number of Inspection Reports: 2,296 Defects: 12,913 Units: 135,656 Number of Observations: 9,968 Number of Reports with a Recommended Violation: 76 Number of Recommended Violation Defects: 140 Number of Inspection Days: 1,905

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 of the individual Class I railroads’ inspection days cited in II.D.1-8 of this report. This difference is 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 probable Class II and probable Class III railroads. 6 FRA has identified seven of the eight Class I railroads based on their filings of information for calendar year 2012—the latest year available(regarding their annual operating revenues) with the Surface Transportation Board (STB). See STB Web site (http://www.stb.dot.gov) under “All Economic Data” and then “Annual Report Financial Data.” FRA has identified the eighth Class I railroad, the National Railroad Passenger Corp. (Amtrak) based on FRA research into other data. 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.). As a general rule, Class II and III railroads are not required to report their annual operating revenues; therefore, FRA has identified probable Class II railroads and probable 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.; Iowa Interstate Railroad, Ltd.; Montana Rail Link; Montreal, Maine and Atlantic Railway, Ltd.; Portland & Western Railroad, Inc.; Springfield Terminal Railway Co. and other regional railroads of Boston & Maine Corp., Maine Central Railroad Co., and Portland Terminal Co. (all held by Pan Am Railways, Inc.); Wheeling & Lake Erie Railway Co.; and Wisconsin & Southern Railroad Co. It should be noted that switching and terminal railroads are, by definition, classified as Class III railroads, without regard to their annual operating revenues. 49 C.F.R. 1201.1-1(d).

http://www.stb.dot.gov/

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3. Probable Class III Railroads


D. INSPECTIONS AND RECOMMENDED ENFORCEMENT ACTIONS, SORTED BY INDIVIDUAL CLASS I RAILROAD

1. BNSF Railway Company

Number of Inspection Reports: 8,642 Defects: 37,260 Units: 434,062 Number of Observations: 35,623 Number of Reports with a Recommended Violation: 584 Number of Recommended Violation Defects: 1,169 Number of Inspection Days: 7,402

2. Canadian National Railway/Grand Trunk Corporation


3. Canadian Pacific Railway/Soo Line Railroad Company


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4. CSX Transportation, Inc.


5. The Kansas City Southern Railway Company


6. National Railroad Passenger Corporation (Amtrak)

7. Norfolk Southern Railway Company



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8. Union Pacific Railroad Company

Number of Inspection Reports: 12,807 Defects: 51,946 Units: 615,804 Number of Observations: 53,874 Number of Reports with a Recommended Violation: 807 Number of Recommended Violation Defects: 1,411 Number of Inspection Days: 10,670

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III. CIVIL PENALTY ASSESSMENT AND SETTLEMENT SUMMARIES IN FY 2013

A. IN GENERAL7 Summary 1 Assessment and Settlement Summary 1, below, reflects—

• the number of violations for which civil penalties were initially assessed and violation reports were transmitted to respondents (under demand letters or, in cases under the hazmat laws, notices of probable violation) during FY 2013;

• the number of violation reports for which enforcement was declined during legal review

in FY 2013;

• the initial amount of civil penalties assessed for violations during FY 2013 (i.e., the amount of the civil penalty specified in FRA’s demand letter or, for hazmat cases, a notice of probable violation that was dated sometime in FY 2013 and transmitted to a respondent) regardless of whether or not the cases were closed during FY 2013;

• the initial amount of the civil penalties assessed (which is the “potential collectible amount” or “POCA,” as listed in FRA’s traditional civil penalty report in Attachment A) in all cases that were settled or otherwise closed (e.g., by FRA’s issuance of an order assessing a civil penalty in a hazmat case or by the respondent’s paying of the civil penalty in full without entering into a settlement agreement with FRA) during FY 2013; and

• the final amount of the settlement (or the final amount of the civil penalties assessed)

during FY 2013.8

Summary 1 provides a broad overview of penalties initially assessed during FY 2013, the initial penalty assessment for cases closed during FY 2013, and the amount of the settlement or the final assessment of civil penalty, with an emphasis on the initial assessment of civil penalties. FRA has transitioned to a paperless enforcement system for most of the major railroads, and under that system, in order to enhance the readability of the cases on the computer screen, a case is comprised of only violation report, and not multiple reports as in the past.

7 The grand totals exclude civil penalties against individuals, which are addressed at IV.A. of this report. 8 If the settlement amount for a case includes part of a dollar, the settlement amount for the case is rounded to the nearest whole dollar in this report.

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Summary 2 To provide more transparency, Assessment and Settlement Summary 2, below, reflects initial assessment information only for those cases closed during FY 2013. All numbers in Summary 2 reflect the initial assessments that resulted in FY 2013 settlements even though the initial assessments may have occurred in a prior fiscal year. This summary provides the reader with (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 Attachment A describes as the “provable collectible amount” or “PRCA”) and the final assessment or settlement amount. Caveat: The number of violation reports contained in a single case ranges from one to five or more, depending on a number of factors, and a single report may allege one or more violations. The number of cases with civil penalties initially assessed or settled (or finally assessed) during a specific period does not provide a platform for realistic comparison, although the information is provided, as required by the statute, in Assessment and Summary 2. 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 Total number of cases with civil penalties initially assessed in FY 2013: 3,602 Total number of violations with civil penalties initially assessed in FY 2013: 5,441 Total number of violation reports declined during legal review in FY 2013: 367 Total initial amount of civil penalties assessed (POCA) for violations in cases transmitted in FY 2013: $20,527,499 Total initial amount of civil penalties assessed (POCA) for violations in cases finally assessed or settled in FY 2013: $22,382,999 Total final civil penalty assessment or settlement in FY 2013: $13,919,119

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C. BREAKDOWN OF INITIAL ASSESSMENTS IN SUMMARY 1 1. For Each Class I Railroad Individually in FY 2013

BNSF RAILWAY COMPANY

Number of cases with civil penalties initially assessed: 398 Number of violations with civil penalties initially assessed: 696 Number of violation reports declined during legal review: 19

Initial amount of civil penalty assessed: $2,500,000

CANADIAN NATIONAL RAILWAY/GRAND TRUNK CORPORATION

Number of cases with civil penalties initially assessed: 168 Number of violations with civil penalties initially assessed: 285 Number of violation reports declined during legal review: 22 Initial amount of civil penalty assessed: $796,000 CANADIAN PACIFIC RAILWAY/SOO LINE RAILROAD COMPANY

Number of cases with civil penalties initially assessed: 72 Number of violations with civil penalties initially assessed: 136 Number of violation reports declined during legal review: 8

Initial amount of civil penalty assessed: $509,000

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CSX TRANSPORTATION, INC.

Number of cases with civil penalties initially assessed: 389

Number of violations with civil penalties initially assessed: 511

Number of violation reports declined during legal review: 34


THE KANSAS CITY SOUTHERN RAILWAY COMPANY





NATIONAL RAILROAD PASSENGER CORPORATION (AMTRAK)





NORFOLK SOUTHERN RAILWAY COMPANY





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UNION PACIFIC RAILROAD COMPANY

Number of cases with civil penalties initially assessed: 1,069

Number of violations with civil penalties initially assessed: 1,459



2. For Probable Class II Railroads in Aggregate in FY 2013

Number of cases with civil penalties initially assessed: 61 Number of violations with civil penalties initially assessed: 121 Number of violation reports declined during legal review: 4 Initial amount of civil penalty assessed: $361,000

3. For Probable Class III Railroads in Aggregate in FY 2013

Number of cases with civil penalties initially assessed: 420 Number of violations with civil penalties initially assessed: 729 Number of violation reports declined during legal review: 46 Initial amount of civil penalty assessed: $2,877,500

4. For Hazmat Shippers in Aggregate in FY 2013

Number of cases with civil penalties initially assessed: 528 Number of violations with civil penalties initially assessed: 831 Number of violation reports declined during legal review: 24 Initial amount of civil penalty assessed: $3,786,999

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5. For Contractors in Aggregate in Fiscal Year 2013

Number of cases with civil penalties initially assessed: 63 Number of violations with civil penalties initially assessed: 83 Number of violation reports declined during legal review: 9 Initial amount of civil penalty assessed: $334,000

D. SUMMARY 2—MORE DETAILED SUMMARY OF SETTLEMENTS AND FINAL ASSESSMENTS OF CIVIL PENALTIES

Total number of cases closed in FY 2013: 3,152 Total number of violations in cases closed in FY 2013: 6,124 Total initial amount of civil penalty assessed for cases closed (POCA): $22,382,999 Total final amount of civil penalty assessed or settlement for cases closed: $13,919,119 Amount terminated (generally due to legal defenses presented during settlement negotiations): $2,050,000 Amount of revised assessment after terminations (PRCA): $20,332,999 Difference between initial civil penalty assessment (POCA) and final assessment or settlement amount for cases closed: $8,463,880 Difference between revised assessment (PRCA) and final assessment or settlement amount for cases closed: $6,413,880

E. BREAKDOWN OF SETTLEMENTS AND FINAL ASSESSMENTS IN SUMMARY 2

1. For Each Class I Railroad Individually in FY 2013


Number of cases closed: 370 Number of violations in cases closed: 1,037

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Initial amount of civil penalty assessed for cases closed (POCA): $3,552,500 Final amount of civil penalty assessed or settlement for cases closed: $2,292,010 Amount terminated (generally due to legal defenses presented during settlement negotiations): $36,000 Amount of revised assessment after terminations (PRCA): $3,516,500 Difference between initial civil penalty assessment (POCA) and final assessment or settlement amount for cases closed: $1,260,490 Difference between revised assessment (PRCA) and final assessment or settlement amount for cases closed: $1,224,490 CANADIAN NATIONAL RAILWAY/GRAND TRUNK CORPORATION

Number of cases closed: 116 Number of violations in cases closed: 241 Initial amount of civil penalty assessed for cases closed (POCA): $693,500 Final amount of civil penalty assessed or settlement for cases closed: $460,305 Amount terminated (generally due to legal defenses presented during settlement negotiations): $13,000 Amount of revised assessment after terminations (PRCA): $680,500 Difference between initial civil penalty assessment (POCA) and final assessment or settlement amount for cases closed: $233,195 Difference between revised assessment (PRCA) and final assessment or settlement amount for cases closed: $220,195 CANADIAN PACIFIC RAILWAY/SOO LINE RAILROAD COMPANY Number of cases closed: 105 Number of violations in cases closed: 208

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Initial amount of civil penalty assessed for cases closed (POCA): $616,000 Final amount of civil penalty assessed or settlement for cases closed: $410,950 Amount terminated (generally due to legal defenses presented during settlement negotiations): $23,500 Amount of revised assessment after terminations (PRCA): $592,500 Difference between initial civil penalty assessment (POCA) and final assessment or settlement amount for cases closed: $205,050 Difference between revised assessment (PRCA) and final assessment or settlement amount for cases closed: $181,550 CSX TRANSPORTATION, INC. Number of cases closed: 313 Number of violations in cases closed: 610 Initial amount of civil penalty assessed for cases closed (POCA): $1,882,500 Final amount of civil penalty assessed or settlement for cases closed: $1,182,970 Amount terminated (generally due to legal defenses presented during settlement negotiations): $80,500 Amount of revised assessment after terminations (PRCA): $1,802,000 Difference between initial civil penalty assessment (POCA) and final assessment or settlement amount for cases closed: $699,530 Difference between revised assessment (PRCA) and final assessment or settlement amount for cases closed: $619,030 THE KANSAS CITY SOUTHERN RAILWAY COMPANY Number of cases closed: 73 Number of violations in cases closed: 129

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Initial amount of civil penalty assessed for cases closed (POCA): $475,500 Final amount of civil penalty assessed or settlement for cases closed: $305,340 Amount terminated (generally due to legal defenses presented during settlement negotiations): $11,500 Amount of revised assessment after terminations (PRCA): $464,000 Difference between initial civil penalty assessment (POCA) and final assessment or settlement amount for cases closed: $170,160 Difference between revised assessment (PRCA) and final assessment or settlement amount for cases closed: $158,660 NATIONAL RAILROAD PASSENGER CORPORATION (AMTRAK) Number of cases closed: 78 Number of violations in cases closed: 92 Initial amount of civil penalty assessed for cases closed (POCA): $308,500 Final amount of civil penalty assessed or settlement for cases closed: $215,600 Amount terminated (generally due to legal defenses presented during settlement negotiations): $0 Amount of revised assessment after terminations (PRCA): $308,500 Difference between initial civil penalty assessment (POCA) and final assessment or settlement amount for cases closed: $92,900 Difference between revised assessment (PRCA) and final assessment or settlement amount for cases closed: $92,900

NORFOLK SOUTHERN RAILWAY COMPANY Number of cases closed: 250 Number of violations in cases closed: 428

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Initial amount of civil penalty assessed for cases closed (POCA): $1,565,000 Final amount of civil penalty assessed or settlement for cases closed: $993,060 Amount terminated (generally due to legal defenses presented during settlement negotiations): $34,500 Amount of revised assessment after terminations (PRCA): $1,530,500 Difference between initial civil penalty assessment (POCA) and final assessment or settlement amount for cases closed: $571,940 Difference between revised assessment (PRCA) and final assessment or settlement amount for cases closed: $537,440

UNION PACIFIC RAILROAD COMPANY Number of cases closed: 531 Number of violations in cases closed: 1,123 Initial amount of civil penalty assessed for cases closed (POCA): $4,218,500 Final amount of civil penalty assessed or settlement for cases closed: $2,787,700 Amount terminated (generally due to legal defenses presented during settlement negotiations): $270,000 Amount of revised assessment after terminations (PRCA): $3,948,500 Difference between initial civil penalty assessment (POCA) and final assessment or settlement amount for cases closed: $1,430,800 Difference between revised assessment (PRCA) and final assessment or settlement amount for cases closed: $1,160,800

2. For Probable Class II Railroads in Aggregate in FY 2013

Number of cases closed: 32 Number of violations in cases closed: 53

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Initial amount of civil penalty assessed for cases closed (POCA): $129,000 Final amount of civil penalty assessed or settlement for cases closed: $95,050 Amount terminated (generally due to legal defenses presented during settlement negotiations): $0 Amount of revised assessment after terminations (PRCA): $129,000 Difference between initial civil penalty assessment (POCA) and final assessment or settlement amount for cases closed: $33,950 Difference between revised assessment (PRCA) and final assessment or settlement amount for cases closed: $33,950

3. For Probable Class III Railroads in Aggregate in FY 2013

Number of cases closed: 538 Number of violations in cases closed: 999 Initial amount of civil penalty assessed for cases closed (POCA): $3,379,500 Final amount of civil penalty assessed or settlement for cases closed: $1,704,865 Amount terminated (generally due to legal defenses presented during settlement negotiations): $671,500 Amount of revised assessment after terminations (PRCA): $2,708,000 Difference between initial civil penalty assessment (POCA) and final settlement amount for cases closed: $1,674,635 Difference between revised assessment (PRCA) and final assessment or settlement amount for cases closed: $1,003,135

4. For Hazmat Shippers in Aggregate in FY 2013

Number of cases closed: 690 Number of violations in cases closed: 1,126 Initial amount of civil penalty assessed for cases closed (POCA): $5,218,999

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Final amount of civil penalty assessed or settlement for cases closed: $3,271,994 Amount terminated (generally due to legal defenses presented during settlement negotiations): $839,000 Amount of revised assessment after terminations (PRCA): $4,379,999 Difference between initial civil penalty assessment (POCA) and final assessment or settlement amount for cases closed: $1,947,005 Difference between revised assessment (PRCA) and final assessment or settlement amount for cases closed: $1,108,005

5. For Contractors in Aggregate in FY 2013

Number of cases closed: 51 Number of violations in cases closed: 72 Initial amount of civil penalty assessed for cases closed (POCA): $327,000 Final amount of civil penalty assessed or settlement for cases closed: $199,275 Amount terminated (generally due to legal defenses presented during settlement negotiations): $54,000 Amount of revised assessment after terminations (PRCA): $273,000 Difference between initial civil penalty assessment (POCA) and final assessment or settlement amount for cases closed: $127,725 Difference between revised assessment (PRCA) and final assessment or settlement amount for cases closed: $73,725

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IV. ENFORCEMENT ACTIONS AGAINST INDIVIDUALS

A. CIVIL PENALTY CASES AGAINST INDIVIDUALS IN AGGREGATE Total number of civil penalty cases initially assessed in FY 2013: 1 Total number of violations with civil penalties initially assessed in FY 2013: 1 Total initial amount of civil penalty assessed in FY 2013: $3,000 Number of civil penalty cases closed in FY 2013: 1 Total number of violations in cases closed in FY 2013: 1 Total initial amount of civil penalty assessed for cases closed in FY 2013: $3,000

Total final amount of civil penalty assessed (or settlement) for cases closed in FY 2013: $2,500 Amount terminated (generally due to legal defenses presented during settlement negotiations) for cases closed in FY 2013: $0

Amount of revised assessment (PRCA) after terminations: $3,000 Difference between revised civil penalty assessment (PRCA) and final civil penalty assessment for cases closed in FY 2013: $500 Difference between initial amount of civil penalty assessed (POCA) and final settlement amount for a violation in a case closed in FY 2013 $500

B. OTHER ENFORCEMENT ACTIONS AGAINST INDIVIDUALS IN

AGGREGATE Number of notices of proposed disqualification issued and served in FY 2013: 1 Number of proposed disqualification cases closed in FY 2013: 1 Number of warning letters issued by Office of

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Chief Counsel in FY 2013: 3

Number of warning letters issued by regional offices of FRA Office of Railroad Safety (regional warning letters) in FY 2013: 22

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V. DISCUSSION OF RAILROAD SAFETY—THE RELATIONSHIP OF INSPECTIONS, ENFORCEMENT, AND ACCIDENTS OR

INCIDENTS

A report to Congress on “The Federal Railroad Administration’s Use of Civil Penalties in the Federal Railroad Safety Program” was attached to FRA’s first enforcement report under 49 U.S.C. § 20120 and is referenced here because it addresses FRA’s approach to achieving industry compliance with the Federal railroad safety laws and the hazmat safety laws and their implementing regulations and the place of civil penalties in that process. This report was submitted to Congress on July 16, 2009, in response to a Congressional mandate that FRA hire an independent consultant to evaluate FRA’s use of penalties as an enforcement mechanism. The report concludes that FRA’s use of the statutory authority to compromise civil penalty assessments serves the purpose of compliance by ensuring that the enforcement process is proportional in those cases in which penalties are assessed. As FRA pointed out in that enforcement report, the agency has long sought to ascertain whether safety enforcement measures in general or the imposition of civil penalties in particular is measurably correlated with specific safety performance improvements. Previously, FRA has found that the available data permit some measurement of safety improvements in a functional area covered by an entire rule or an entire safety program; however, the data cannot be used to determine whether detectable safety improvements are directly attributable to discrete civil penalties. 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 the levying of civil penalties does yield observable improvements in safety practices and compliance with the law. It is important to note that civil penalties are by no means FRA’s only enforcement tool. Thus while FRA cannot precisely quantify the impact of civil penalties, we do carefully monitor railroad reactions and responses to enforcement activity, and adjust the intensity and duration of focused oversight as necessary. FRA does compile and analyze a vast amount of data derived from reports filed with FRA by the regulated railroads. The report to Congress found that data used to identify and track safety trends are typically developed separately from regulatory provisions that ameliorate the conditions that lead to particular accident causes and that have civil penalties associated with them. Results of this research have found no meaningful correlation between specific cause codes and use of a civil penalty to enforce a specific regulatory provision, making statistically valid and reliable comparisons exceedingly difficult and scientifically suspect or perilous. In addition, examining FRA’s civil penalty enforcement in a vacuum, not considering the numerous other factors influencing positive safety outcomes, such as railroad management and individual rail worker behavior and activity, is not possible. FRA’s regulatory regime must be considered as a whole instead of as its component parts. Specific regulatory provisions can, at times, complement one another in minimizing or preventing conditions that contribute to an accident. But the complexity of the regulatory scheme may conceal the magnitude of any one regulatory provision’s contribution to the positive safety outcome.

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As stated in the report,

One 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. Nevertheless, each subject FRA regulates shows a response pattern generally similar to the graph shown below for train accident rates, which reflects the strongly positive effects of FRA’s railroad safety program, including civil penalty enforcement, even though the data shown do not permit one to draw statistically valid conclusions about the precise effects of civil penalties, or other measures, in isolation. This dramatic improvement in railroad safety over the past 30 years suggests that FRA would be well advised to continue in the future to pursue the various measures and strategies that have guided its safety program in the past. As the results of this study suggest, it is the cumulative impact of these measures, one supporting and amplifying the other, that makes the difference.

Id., p. 41.

Train Accident Rate

0 2 4 6 8

10 12 14 16

Trai

n A

ccid

ents

per

Mill

ion

Trai

n

Mile

s

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VI. SUMMARY AND ANALYSIS OF OPERATING CREW CERTIFICATION CASES9

A. LOCOMOTIVE ENGINEER AND OPERATING CREW REVIEW BOARD (LERB/OCRB) Petitions for relief filed with the LERB/OCRB in FY 2013: 69 [23 Conductor + 46 Locomotive Engineer] Decisions issued by the LERB/OCRB in FY 2013: 46 [5 Conductor + 41 Locomotive Engineer] Average length of time for decision in FY 2013: 152 days from the date petition filed10

(138 days from the date of the railroad’s response to the appeal to the date a decision was issued11)

B. ADMINISTRATIVE HEARINGS Number of pending cases before the Administrative Hearing Officer (AHO) as of October 1, 2012: 1 Number of requests for review by the AHO received during FY 2013: 3 Number of cases closed by the AHO during FY 201312: 2

Number of pending AHO cases as of October 1, 2013: 3 Average length of time for decision or other disposition: 8 months 9 FRA has a single body that reviews railroad decisions under 49 CFR parts 240 and 242 for locomotive engineers and conductors, which has two different facets operating under two different names depending on the type of case. Currently the “Locomotive Engineer Review Board” (LERB) reviews petitions for initial review of railroad decisions to deny or revoke certifications concerning only locomotive engineers, while the “Operating Crew Review Board” (OCRB) reviews petitions for initial review of railroad decisions to deny or revoke certifications concerning only conductors. FRA intends to merge the two review boards so that both crew members will have their petitions reviewed solely by the OCRB, and thus intends to sunset the name “Locomotive Engineer Review Board.” 10 This excludes any delay caused by the issuance of an interim order where one or more of the parties initially provided incomplete information. 11 Id. 12 This number includes decisions and all cases disposed of by stipulation or dismissal.

26

C. APPEALS TO THE ADMINISTRATOR Appeals to the Administrator from the AHO decisions filed in FY 2013: 1 Number of Appeals Pending during FY 2013: 2 (as of October 1, 2012, there was 1 case pending) Decisions issued by the Administrator during FY 2013: 2 Average length of time for decision issued in FY 2013: 125.5 days (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 2013: 1 Number of hearing-request cases completed in FY 2013: 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 2013: 0 Number of cases referred to the Attorney General for criminal enforcement in FY 2013: 0

IX. NUMBER AND SUBJECT MATTER OF COMPLIANCE ORDERS, EMERGENCY ORDERS, OR PRECURSOR AGREEMENTS

In light of the July 6, 2013, derailment in Lac-Mégantic, Quebec, Canada, FRA’s Administrator issued Emergency Order No. 28 (Order) on August 2, 2013, which requires railroads to undertake a number of immediate actions to ensure that certain unattended trains or vehicles13 in the United States are properly secured against unintended movement and that certain trains or vehicles are not left unattended unless certain conditions are met. The Order also includes communication requirements. The Order was published in the Federal Register on August 7. See Volume 78 of the Federal Register, page 48128 (78 Fed. Reg. 48128). The Order prohibits railroads from leaving trains or vehicles transporting certain hazardous materials unattended unless the railroad develops, adopts, and complies with a plan that outlines specific locations and circumstances

13 A vehicle, as defined in 49 U.S.C. § 20301, “means a car, locomotive, tender, or similar vehicle.”

27

where such trains or vehicles may be left unattended and providing sufficient safety justification for any such allowance. Additionally, railroads that develop and adopt plans allowing the identified trains and vehicles to be left unattended are required to develop processes for the securement of those trains or vehicles on mainline track or mainline siding outside of a yard or terminal, containing minimum mandated securement and communication requirements. Further, railroads are required to review and verify, and adjust, as necessary, existing procedures and processes related to the number of hand brakes to be set on all unattended trains and vehicles and ensure the means of verifying that number is appropriate; implement operating rules and practices requiring the discussion of securement for any job that will impact or require the securement of any train or vehicle in the course of the work being performed; and develop procedures to ensure that a qualified railroad employee inspects all equipment that any emergency responder has been on, under, or between, for proper securement, before the train or vehicle is left unattended.

APPENDIX A “Railroad Safety Civil Penalty Cases Closed during Fiscal Year 2013”

1

FRR

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 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 StatesCode, chapters 51 and 201-213.

The Civil Penalty Process

In aid of their efforts to promote safety compliance, inspectors employed by FRA and participating States submit reports alleging violations of Federal safety laws and regulations to the Safety Law Division of the Office of Chief Counsel. This Division 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 under 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 decides to simply pay the full amount of the initial assessment,negotiations are held, during which the respondent presents defenses or arguments in 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 is included in 49 CFR Part 209, Appendix A. Where settlement cannot be reached, cases are referred to the Department of Justice for litigation. The Attorney General, with FRA's active participation, brings suit in the appropriate Federal court.

HMT cases are normally concluded by issuance of an order of assessment predicated on a finding of a knowing violation. Where an HMT case cannot be resolved informally, a respondent is entitled to a formal hearing on FRA's allegations before a hearing officer designated by the Chief Counsel and then to an appeal to the Administrator of FRA prior to judicial litigation.

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Federal Railroad AdministrationOFFICE OF CHIEF COUNSEL

Safety Law Division

RAILROAD SAFETY CIVIL PENALTY CASES CLOSED DURING FISCAL YEAR 2013

This report summarizes the disposition of all civil penalty cases on which the Federal Railroad Administration (FRA) reached an agreement to collect, or issued an order requiring the payment of, a civil penalty during fiscal year 2013 under the Federal railroad safety statutes and regulations or in whichFRA otherwise closed such a civil penalty case during fiscal year 2013. Cases were closed under most of these statutes by agreements of settlement, and under the hazardous materials transportation laws (HMT) generally by final orders of assessment. Total penalty settlements and final assessments against companies, summarized in this report, were as follows:

Railroad safety statutes (except HMT) $9,582,945

HMT $4,336,174

Total Civil Penalties $13,919,119

FRA collected $ 2,500 civil penalty settlements or final assessments from individuals for alleged violations of the railroad safety laws.

12-13-13

FRA ordinarily closes the vast majority of its civil penalty cases without need for litigation, which is 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.

Thomas J. Herrmann Assistant Chief Counsel for Safety

2

3

Abbreviations 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:

Railroads and other respondents are identified 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. ". Hazardous materials and emergency order cases involving shippers are identified by a respondent code beginning with the letter "Z". Cases involving contractors are identified 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 on which FRA concluded it would probably be able to sustain its burden of proof if the case were litigated. PRCA is equal to POCA, therefore, except in two situations. First, if FRA concluded that one or more of the violations initially alleged could likely not be sustained, such violations are considered terminated. Second, if FRA decided that the violation could be sustained but that the initial penalty assessment for the violation was incorrect, the penalty amount is corrected, and the violation is described as "partially terminated." Cases against individuals (who are liable forcivil 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.

12-13-13

AD

AR

BW

EO

EP

EQ

FCS

GC

GS

HMT

HS

HSR

LI

LIS

PEP

PEQ

ROP

ROR

RSP

RW

SA

SI

TH

TS

ALCOHOL AND DRUG USE REGULATIONS

ACCIDENT REPORTS REGULATIONS

BRIDGE WORKER SAFETY STANDARDS

FRA EMERGENCY ORDER NO. 24/26

RAILROAD SAFETY ENFORCEMENT PROCEDURES

ENGINEER QUALIFICATIONS REGULATIONS

FREIGHT CAR SAFETY STANDARDS

GRADE CROSSING SIGNAL SAFETY REGULATIONS

SAFETY GLAZING STANDARDS

HAZARDOUS MATERIALS REGULATIONS

HOURS OF SERVICE LAWS

HOURS OF SERVICE RECORD KEEPING REGULATIONS

LOCOMOTIVE SAFETY STANDARDS AND STATUTES

STEAM LOCOMOTIIVE SAFETY STANDARDS AND STATUTES

PASSENGER TRAIN EMERGENCY PREPAREDNESS REGULATIONS

PASSENGER EQUIPMENT SAFETY STANDARDS

RAILROAD OPERATING PRACTICES

RAILROAD OPERATING RULES

RAILROAD COMMUNICATIONS REGULATIONS

ROADWAY WORKER PROTECTION REGULATIONS

SAFETY APPLIANCE STATUTES AND REGULATIONS

SIGNAL INSPECTION REGULATIONS AND STATUTES

TRAIN HORN/QUIET ZONE

TRACK SAFETY STANDARDS

4

INDPEN 2012-2

FRA No.

$3,000

Initial Penalty Demanded

$2,500

Settlement Amount

04/18/2013

Settlement Date

FRA Civil Penalty Cases against IndividualsClosed in Fiscal Year 2013

12-13-13

Total $3,000 $2,500

5

AA 2012-1(GC)AA 2012-2(AD)ABS 2012-2(ROP)AERC 2012-1(TS)AGR 2012-2(LI)AGR 2012-4(SA)AGR 2012-5(SA)AGR 2012-6(HMT)ALS 2011-1(ROP)ALS 2012-5(ROP)ALS 2013-1(ROP)ALS 2013-2(SA)ALS 2013-3(SA)ALS 2013-4(LI)ALS 2013-5(LI)AM 2012-1(ROP)AO 2012-1(ROP)AOK 2013-1(AD)ARR 2012-3(TS)ARR 2012-4(TS)ARR 2012-5(TS)ARR 2012-6(TS)ARR 2012-7(AR)ARR 2012-8(TS)ATK 2010-53(AR)ATK 2011-7(AR)ATK 2011-8(AR)ATK 2011-10(AR)ATK 2011-11(AR)ATK 2011-12(AR)ATK 2011-13(AR)ATK 2011-14(AR)ATK 2011-16(AR)ATK 2011-18(AR)ATK 2011-19(AR)ATK 2011-25(AR)ATK 2011-26(AR)ATK 2011-28(AR)ATK 2011-29(AR)ATK 2011-30(AR)ATK 2011-31(AR)ATK 2011-33(AR)ATK 2011-34(AR)ATK 2011-36(AR)ATK 2011-37(AR)ATK 2011-41(AR)ATK 2011-46(AR)ATK 2011-47(AR)ATK 2011-50(AR)

FRA No.

10/09/201201/25/201309/27/201302/11/201309/30/201309/30/201309/30/201309/30/201311/01/201202/26/201305/15/201305/22/201306/07/201305/28/201305/22/201307/29/201311/15/201209/19/201301/22/201301/22/201301/22/201301/22/201301/22/201301/22/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/2013

SettlementDate Comments

1131131111111111117273121111111111111111111111111

No. ofViolations

$5,000 $5,000 $11,500 $2,500 $1,500 $15,000 $2,500 $5,000 $5,000 $7,500 $7,500 $2,500 $5,000 $1,000 $1,000 $2,000 $5,000 $2,500 $7,000 $2,000 $7,000 $3,000 $1,000 $2,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500

PRCA

$2,500 $2,600 $7,500 $2,500 $1,020 $10,200 $1,725 $3,400 $3,000 $5,200 $0 $2,500 $0 $1,000 $1,000 $1,500 $5,000 $0 $4,550 $1,300 $4,550 $1,950 $650 $1,300 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750

SettlementAmount

Federal Railroad Administration Safety Cases Closed in FY 2013

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POCA

$5,000 $5,000 $11,500 $2,500 $1,500 $15,000 $2,500 $5,000 $5,000 $7,500 $0 $2,500 $0 $1,000 $1,000 $2,000 $5,000 $0 $7,000 $2,000 $7,000 $3,000 $1,000 $2,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500

Case Terminated.

Case Terminated.

Case Terminated.

6

ATK 2011-53(AR)ATK 2011-60(AR)ATK 2011-64(AR)ATK 2011-65(AR)ATK 2011-71(AR)ATK 2011-72(AR)ATK 2011-77(AR)ATK 2011-95(AR)ATK 2011-101(AR)ATK 2011-104(AR)ATK 2012-9(PEQ)ATK 2012-10(SI)ATK 2012-11(AR)ATK 2012-12(AR)ATK 2012-13(SA)ATK 2012-14(HSR)ATK 2012-15(HSR)ATK 2012-16(SA)ATK 2012-17(ROP)ATK 2012-18(PEQ)ATK 2012-19(LI)ATK 2012-20(PEQ)ATK 2012-21(ROP)ATK 2012-22(SI)ATK 2012-23(AR)ATK 2012-24(PEQ)ATK 2012-25(ROP)ATK 2012-26(SI)ATK 2012-27(ROP)ATK 2012-28(RSP)ATK 2012-29(RSP)ATK 2012-30(RSP)ATK 2012-31(RSP)ATK 2012-32(HS)ATK 2012-33(HSR)ATK 2012-34(HSR)ATK 2012-35(ROP)ATK 2012-36(SI)ATK 2012-37(LI)ATK 2013-1(LI)ATK 2013-2(AR)ATK 2013-3(AR)ATK 2013-4(AR)ATK 2013-5(AR)ATK 2013-6(PEQ)ATK 2013-7(HS)ATK 2013-8(AR)ATK 2013-9(AR)ATK 2013-10(AR)

FRA No.

08/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/201308/28/2013


1111111111211112122211111214211111132111111112111

No. ofViolations

$2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $10,000 $5,000 $2,500 $2,500 $5,000 $2,000 $1,000 $10,000 $15,000 $10,000 $2,500 $5,000 $9,500 $5,000 $2,500 $10,000 $9,500 $4,000 $19,000 $2,500 $9,500 $9,500 $1,000 $1,000 $1,000 $3,000 $19,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,000 $2,500 $2,500 $2,500

PRCA

$1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $6,900 $3,400 $1,750 $1,750 $3,250 $1,400 $650 $7,000 $10,600 $6,900 $1,725 $3,500 $6,800 $3,300 $1,750 $7,000 $6,800 $2,800 $13,200 $1,700 $6,700 $6,700 $700 $700 $650 $2,100 $13,400 $3,600 $1,725 $1,750 $1,750 $1,750 $1,750 $1,750 $1,700 $1,400 $1,750 $1,750 $1,750

SettlementAmount


12-13-13

POCA

$2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $10,000 $5,000 $2,500 $2,500 $5,000 $2,000 $1,000 $10,000 $15,000 $10,000 $2,500 $5,000 $9,500 $5,000 $2,500 $10,000 $9,500 $4,000 $19,000 $2,500 $9,500 $9,500 $1,000 $1,000 $1,000 $3,000 $19,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,000 $2,500 $2,500 $2,500

7

ATK 2013-11(AR)ATK 2013-12(AR)ATK 2013-13(PEQ)ATK 2013-14(AR)AUT 2012-1(RSP)AVR 2012-1(SA)AWRR 2013-1(ROP)AWRR 2013-2(SA)AWRR 2013-3(SA)BAYL 2012-1(AD)BAYL 2012-2(AD)BAYL 2012-3(SA)BB 2011-3(TS)BB 2012-1(TS)BDRV 2013-1(EQ)BHWY 2010-1(GC)BHWY 2010-2(HSR)BHWY 2010-3(EP)BLR 2011-1(ROP)BLR 2011-2(SA)BLR 2012-1(ROP)

BLR 2012-2(ROP)BLR 2012-3(ROP)BLR 2012-4(SA)BLR 2012-5(SA)BM 2012-2(GC)BM 2012-3(RW)BNSF 2009-85(ROR)BNSF 2011-200(SA)BNSF 2011-335(ROP)BNSF 2011-341(FCS)BNSF 2011-357(LI)BNSF 2011-377(TS)BNSF 2011-383(SA)BNSF 2011-409(TS)BNSF 2011-427(TS)BNSF 2011-431(TS)BNSF 2011-436(SA)BNSF 2012-8(LI)BNSF 2012-14(AR)BNSF 2012-16(AR)BNSF 2012-18(SA)BNSF 2012-23(AR)BNSF 2012-25(HMT)BNSF 2012-26(LI)BNSF 2012-29(SA)BNSF 2012-33(LI)BNSF 2012-35(SA)BNSF 2012-41(SA)

FRA No.

08/28/201308/28/201308/28/201308/28/201301/08/201301/06/201309/27/201309/27/201309/27/201304/08/201304/08/201305/09/201304/30/201304/30/201308/26/201304/26/201304/26/201304/26/201305/21/201305/21/201305/21/2013

05/21/201305/21/201305/21/201305/21/201309/27/201309/27/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


111111233211821412112

1122111411455223814111191113141

No. ofViolations

$2,500 $2,500 $5,000 $2,500 $9,500 $5,000 $15,000 $10,000 $10,000 $5,000 $2,500 $5,000 $20,000 $7,500 $1,000 $8,500 $1,000 $2,000 $7,500 $2,500 $15,000

$9,500 $7,500 $10,000 $5,000 $1,000 $3,000 $2,500 $17,500 $12,500 $5,000 $8,500 $91,000 $5,000 $22,000 $47,500 $29,000 $5,000 $2,500 $2,500 $1,000 $42,500 $2,500 $3,000 $2,500 $15,000 $2,500 $20,000 $2,500

PRCA

$1,750 $1,750 $3,550 $1,750 $5,000 $5,000 $9,250 $6,750 $6,750 $4,000 $2,000 $4,000 $13,200 $5,000 $1,000 $3,800 $650 $1,300 $650 $2,000 $1,300

$2,500 $2,000 $1,300 $1,300 $750 $2,350 $1,425 $11,200 $8,750 $3,235 $5,485 $58,900 $3,350 $14,100 $31,350 $19,450 $3,300 $1,600 $1,500 $650 $27,300 $1,575 $2,000 $1,700 $9,750 $1,565 $13,200 $1,600

SettlementAmount


12-13-13

POCA

$2,500 $2,500 $5,000 $2,500 $9,500 $5,000 $15,000 $10,000 $10,000 $5,000 $2,500 $5,000 $20,000 $7,500 $1,000 $8,500 $1,000 $2,000 $7,500 $2,500 $4,000

$9,500 $7,500 $10,000 $5,000 $1,000 $3,000 $2,500 $17,500 $12,500 $5,000 $8,500 $91,000 $5,000 $22,000 $47,500 $29,000 $5,000 $2,500 $2,500 $1,000 $42,500 $2,500 $3,000 $2,500 $15,000 $2,500 $20,000 $2,500

Partially Terminated Violation(s): 1, 2.

8

BNSF 2012-43(HMT)BNSF 2012-45(HMT)BNSF 2012-47(HSR)BNSF 2012-48(LI)BNSF 2012-52(SA)BNSF 2012-56(LI)BNSF 2012-57(TS)BNSF 2012-58(TS)BNSF 2012-59(HS)BNSF 2012-60(HSR)BNSF 2012-64(RW)BNSF 2012-66(GC)BNSF 2012-68(TS)BNSF 2012-69(AR)BNSF 2012-70(HMT)BNSF 2012-71(TS)BNSF 2012-72(SI)BNSF 2012-73(TS)BNSF 2012-74(SA)BNSF 2012-76(TS)BNSF 2012-78(LI)BNSF 2012-79(ROP)BNSF 2012-80(ROP)BNSF 2012-81(FCS)BNSF 2012-82(SA)BNSF 2012-83(SA)BNSF 2012-84(ROP)BNSF 2012-85(FCS)BNSF 2012-86(ROP)BNSF 2012-87(TS)BNSF 2012-88(HMT)BNSF 2012-89(RW)BNSF 2012-90(ROP)BNSF 2012-91(SA)BNSF 2012-92(SA)BNSF 2012-93(SA)BNSF 2012-94(HSR)BNSF 2012-95(TS)BNSF 2012-96(TS)BNSF 2012-97(TS)BNSF 2012-98(TS)BNSF 2012-99(TS)BNSF 2012-100(TS)BNSF 2012-101(TS)BNSF 2012-102(TS)BNSF 2012-103(HS)BNSF 2012-104(SA)BNSF 2012-105(LI)BNSF 2012-106(TS)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


42113192131171121331153251125121141121819111012101114

No. ofViolations

$23,000 $5,000 $1,000 $2,500 $12,500 $2,500 $19,500 $5,000 $1,000 $3,000 $3,000 $5,000 $11,000 $1,000 $2,500 $5,000 $5,000 $7,500 $15,000 $2,500 $2,500 $36,000 $24,500 $10,000 $17,500 $5,000 $5,000 $7,500 $37,500 $5,000 $4,500 $2,500 $7,500 $20,000 $5,000 $2,500 $2,000 $49,500 $39,500 $5,000 $5,000 $21,000 $2,500 $7,500 $23,000 $1,000 $5,000 $2,500 $15,000

PRCA

$15,250 $3,325 $650 $1,700 $8,200 $1,600 $12,725 $3,300 $650 $1,950 $2,000 $3,300 $7,200 $675 $1,575 $3,300 $3,450 $4,900 $9,800 $1,700 $1,600 $23,500 $15,900 $6,400 $11,300 $3,300 $3,275 $3,265 $23,750 $3,400 $1,600 $1,650 $4,875 $12,900 $3,200 $1,625 $1,300 $32,725 $26,050 $3,300 $3,300 $13,700 $1,650 $4,850 $15,180 $650 $3,200 $1,700 $9,975

SettlementAmount


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POCA

$23,000 $5,000 $1,000 $2,500 $12,500 $2,500 $19,500 $5,000 $1,000 $3,000 $3,000 $5,000 $11,000 $1,000 $2,500 $5,000 $5,000 $7,500 $15,000 $2,500 $2,500 $36,000 $24,500 $10,000 $17,500 $5,000 $5,000 $5,000 $37,500 $5,000 $2,500 $2,500 $7,500 $20,000 $5,000 $2,500 $2,000 $49,500 $39,500 $5,000 $5,000 $21,000 $2,500 $7,500 $23,000 $1,000 $5,000 $2,500 $15,000

Terminated Violation(s): 2.


9

BNSF 2012-107(TS)BNSF 2012-108(FCS)BNSF 2012-109(HS)BNSF 2012-110(HS)BNSF 2012-111(HS)BNSF 2012-112(HS)BNSF 2012-114(HS)BNSF 2012-115(HS)BNSF 2012-116(HS)BNSF 2012-117(HS)BNSF 2012-119(AR)BNSF 2012-120(AR)BNSF 2012-121(FCS)BNSF 2012-122(ROP)

BNSF 2012-123(SA)BNSF 2012-124(SA)BNSF 2012-125(SA)BNSF 2012-126(LI)BNSF 2012-127(SA)BNSF 2012-128(HMT)BNSF 2012-129(TS)BNSF 2012-130(TS)BNSF 2012-131(ROP)BNSF 2012-132(SI)BNSF 2012-133(SA)BNSF 2012-147(SA)BNSF 2012-148(SA)BNSF 2012-150(FCS)BNSF 2012-151(ROP)BNSF 2012-152(FCS)BNSF 2012-153(ROP)BNSF 2012-154(SA)BNSF 2012-155(SA)BNSF 2012-156(ROP)BNSF 2012-157(ROP)BNSF 2012-158(SA)BNSF 2012-160(TS)BNSF 2012-161(TS)BNSF 2012-162(TS)BNSF 2012-163(TS)BNSF 2012-164(TS)BNSF 2012-165(TS)BNSF 2012-166(HSR)BNSF 2012-167(FCS)BNSF 2012-168(SA)BNSF 2012-169(TS)BNSF 2012-170(TS)BNSF 2012-171(TS)BNSF 2012-172(TS)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


11111111111115

1111111261114213212211421251210217436

No. ofViolations

$5,000 $5,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $2,500 $2,500 $41,500

$2,500 $2,500 $5,000 $2,500 $5,000 $2,000 $12,000 $17,000 $9,500 $5,000 $5,000 $20,000 $6,000 $5,000 $22,500 $5,000 $7,500 $7,500 $10,000 $9,500 $7,500 $20,000 $7,500 $2,500 $5,000 $5,000 $2,500 $5,000 $10,000 $5,000 $2,500 $21,000 $12,500 $6,000 $9,000

PRCA

$3,400 $3,175 $650 $650 $650 $650 $650 $650 $650 $650 $650 $1,600 $1,605 $24,150

$1,575 $1,600 $3,205 $1,700 $3,205 $1,325 $7,980 $11,215 $6,200 $3,425 $3,300 $13,100 $3,950 $3,225 $14,500 $3,275 $4,775 $4,875 $6,500 $6,175 $5,050 $12,900 $4,950 $1,600 $3,200 $3,300 $1,650 $3,250 $6,500 $3,300 $1,615 $13,875 $8,100 $3,925 $5,850

SettlementAmount


12-13-13

POCA

$5,000 $5,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $2,500 $2,500 $36,000

$2,500 $2,500 $5,000 $2,500 $5,000 $2,000 $12,000 $17,000 $9,500 $5,000 $5,000 $20,000 $6,000 $5,000 $22,500 $5,000 $7,500 $7,500 $10,000 $9,500 $7,500 $20,000 $7,500 $2,500 $5,000 $5,000 $2,500 $5,000 $10,000 $5,000 $2,500 $21,000 $12,500 $6,000 $9,000

Partially Terminated Violation(s): 4.

10

BNSF 2012-173(TS)BNSF 2012-175(GC)BNSF 2012-176(AD)BNSF 2012-177(TS)BNSF 2012-178(TS)BNSF 2012-179(ROP)BNSF 2012-180(SI)BNSF 2012-181(TS)BNSF 2012-182(HMT)BNSF 2012-183(FCS)BNSF 2012-184(SA)BNSF 2012-185(SA)BNSF 2012-186(ROP)BNSF 2012-187(FCS)BNSF 2012-188(SI)BNSF 2012-189(TS)BNSF 2012-190(TS)BNSF 2012-191(HMT)BNSF 2012-192(LI)BNSF 2012-193(SA)BNSF 2012-194(SA)BNSF 2012-195(SA)BNSF 2012-196(ROP)

BNSF 2012-197(HSR)BNSF 2012-198(ROP)BNSF 2012-199(FCS)BNSF 2012-200(SA)BNSF 2012-201(SA)BNSF 2012-202(SA)BNSF 2012-203(SA)BNSF 2012-205(EQ)BNSF 2012-206(SA)BNSF 2012-207(EP)BNSF 2012-208(LI)BNSF 2012-209(RW)BNSF 2012-210(ROR)BNSF 2012-211(ROP)BNSF 2012-213(TS)BNSF 2012-214(TS)BNSF 2012-215(TS)BNSF 2012-216(HS)BNSF 2012-217(SA)BNSF 2012-218(ROP)BNSF 2012-219(SA)BNSF 2012-220(SA)BNSF 2012-221(TS)BNSF 2012-222(TS)BNSF 2012-223(TS)BNSF 2012-224(TS)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


103111213115451111114813

142556312261229104254322422

No. ofViolations

$11,500 $15,000 $2,500 $1,000 $5,000 $19,000 $2,500 $5,500 $2,500 $2,500 $20,000 $20,000 $27,000 $5,000 $5,000 $7,000 $1,000 $6,000 $2,500 $20,000 $37,500 $5,000 $22,500

$1,000 $24,500 $5,000 $12,500 $20,000 $25,000 $12,500 $2,000 $7,500 $2,000 $14,000 $1,500 $19,000 $17,000 $19,500 $26,500 $5,500 $2,000 $20,000 $21,000 $12,500 $10,000 $5,000 $10,500 $5,000 $5,000

PRCA

$7,550 $10,150 $1,575 $650 $3,300 $12,450 $1,700 $3,650 $1,600 $1,600 $12,920 $9,800 $17,500 $3,265 $3,100 $4,775 $650 $3,900 $1,700 $12,955 $24,050 $3,200 $11,250

$650 $15,900 $3,300 $8,150 $12,975 $16,400 $8,125 $1,350 $4,925 $1,300 $9,175 $995 $11,000 $11,000 $12,870 $17,525 $3,650 $1,300 $13,000 $13,425 $8,150 $6,550 $3,300 $6,950 $3,200 $3,250

SettlementAmount


12-13-13

POCA

$11,500 $15,000 $2,500 $1,000 $5,000 $19,000 $2,500 $5,500 $2,500 $2,500 $20,000 $15,000 $27,000 $5,000 $5,000 $7,000 $1,000 $6,000 $2,500 $20,000 $37,500 $5,000 $17,000

$1,000 $24,500 $5,000 $12,500 $20,000 $25,000 $12,500 $2,000 $7,500 $2,000 $14,000 $1,500 $19,000 $17,000 $19,500 $26,500 $5,500 $2,000 $20,000 $21,000 $12,500 $10,000 $5,000 $10,500 $5,000 $5,000



11

BNSF 2012-225(TS)BNSF 2012-226(HMT)BNSF 2012-227(FCS)BNSF 2012-228(FCS)BNSF 2012-229(ROP)BNSF 2012-230(ROP)BNSF 2012-231(SA)BNSF 2012-232(SA)BNSF 2012-233(SA)BNSF 2012-234(SA)BNSF 2012-235(RSP)BNSF 2012-236(TS)BNSF 2012-237(TS)BNSF 2012-238(SA)BNSF 2012-239(TS)BNSF 2012-240(LI)BNSF 2012-241(ROP)BNSF 2012-242(ROP)BNSF 2012-243(ROP)BNSF 2012-244(SA)BNSF 2012-245(SA)BNSF 2012-247(HMT)BNSF 2012-248(HS)

BNSF 2012-249(TS)BNSF 2012-250(SA)BNSF 2012-251(TS)BNSF 2012-252(TS)BNSF 2012-253(RW)BNSF 2012-254(RW)BNSF 2012-255(ROP)BNSF 2012-256(SA)BNSF 2012-257(LI)BNSF 2012-258(GC)BNSF 2012-259(HMT)BNSF 2012-260(TS)BNSF 2012-261(TS)BNSF 2012-262(SA)BNSF 2012-263(SA)BNSF 2012-264(SI)BNSF 2012-265(TS)BNSF 2012-266(FCS)BNSF 2012-267(FCS)BNSF 2012-268(HMT)BNSF 2012-269(HMT)BNSF 2012-270(HMT)BNSF 2012-271(HMT)BNSF 2012-272(LI)BNSF 2012-273(EQ)BNSF 2012-275(HMT)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


43135352241431325534332

41112111113114117311211154

No. ofViolations

$5,500 $14,000 $2,500 $10,000 $29,500 $15,000 $25,000 $10,000 $7,500 $12,500 $1,000 $15,000 $7,000 $5,000 $7,500 $5,000 $39,500 $32,000 $12,000 $20,000 $12,500 $7,000 $2,000

$10,000 $2,500 $1,000 $2,500 $2,500 $2,000 $7,500 $5,000 $2,500 $1,000 $4,000 $2,500 $2,500 $12,500 $2,500 $5,000 $7,000 $12,500 $5,000 $4,000 $7,000 $7,500 $2,000 $2,500 $10,000 $7,000

PRCA

$3,600 $9,500 $1,675 $6,450 $18,850 $9,400 $16,075 $6,425 $4,950 $8,150 $680 $9,800 $4,600 $3,200 $4,775 $3,215 $25,650 $20,150 $7,700 $12,835 $8,125 $4,650 $650

$6,400 $1,625 $650 $1,650 $1,680 $1,400 $4,975 $3,250 $1,675 $710 $2,600 $1,625 $1,625 $8,175 $1,630 $3,385 $4,600 $8,100 $3,265 $2,600 $4,575 $4,835 $1,300 $1,600 $6,575 $4,570

SettlementAmount


12-13-13

POCA

$5,500 $14,000 $2,500 $10,000 $29,500 $15,000 $25,000 $10,000 $7,500 $12,500 $1,000 $15,000 $7,000 $5,000 $7,500 $5,000 $39,500 $32,000 $12,000 $20,000 $12,500 $7,000 $1,000

$10,000 $2,500 $1,000 $2,500 $2,500 $2,000 $7,500 $5,000 $2,500 $1,000 $4,000 $2,500 $2,500 $12,500 $2,500 $5,000 $7,000 $12,500 $5,000 $4,000 $7,000 $7,500 $2,000 $2,500 $10,000 $7,000


12

BNSF 2012-276(FCS)BNSF 2012-277(ROP)BNSF 2012-278(GC)BNSF 2012-279(HMT)BNSF 2012-280(SA)BNSF 2012-281(SA)BNSF 2012-282(SA)BNSF 2012-283(FCS)BNSF 2012-284(ROP)BNSF 2012-285(SI)BNSF 2012-286(SA)BNSF 2012-287(SA)BNSF 2012-288(SA)BNSF 2012-289(ROP)BNSF 2012-290(ROP)BNSF 2012-291(ROR)BNSF 2012-292(TS)BNSF 2012-293(RW)BNSF 2012-294(TS)BNSF 2012-295(EP)BNSF 2012-296(TS)BNSF 2012-297(TS)BNSF 2012-298(HMT)BNSF 2012-299(EP)BNSF 2012-300(GC)BNSF 2012-302(ROP)BNSF 2012-303(RW)BNSF 2012-304(TS)BNSF 2012-305(TS)BNSF 2012-306(HMT)BNSF 2012-307(SA)BNSF 2012-308(SA)BNSF 2012-309(TS)BNSF 2012-310(TS)BNSF 2012-311(ROP)BNSF 2012-312(SI)BNSF 2012-313(ROP)BNSF 2012-314(SA)BNSF 2012-315(TS)BNSF 2012-316(GC)BNSF 2012-317(RW)BNSF 2012-318(EP)BNSF 2012-319(TS)BNSF 2012-320(SA)BNSF 2012-321(ROP)BNSF 2012-322(ROP)BNSF 2012-323(ROR)BNSF 2012-324(EP)BNSF 2012-325(GC)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


151211311142345114151321731110512114211321211122111

No. ofViolations

$5,000 $38,500 $2,500 $5,500 $5,000 $5,000 $12,500 $2,500 $7,500 $5,000 $20,000 $10,000 $7,500 $19,500 $37,500 $2,500 $22,500 $1,000 $15,000 $1,000 $3,000 $5,000 $8,000 $7,000 $15,000 $7,500 $5,000 $13,000 $15,000 $2,000 $10,000 $5,000 $2,500 $10,000 $15,000 $5,000 $5,000 $7,500 $7,500 $5,000 $7,000 $1,000 $2,500 $2,500 $15,000 $15,000 $9,500 $1,000 $5,000

PRCA

$3,265 $24,500 $1,700 $3,600 $3,250 $3,250 $8,075 $1,600 $4,875 $3,450 $13,050 $6,525 $4,875 $12,750 $24,500 $1,600 $14,650 $680 $9,850 $650 $1,950 $3,300 $5,300 $4,550 $10,275 $4,875 $3,275 $8,925 $9,600 $1,300 $6,600 $3,225 $1,625 $7,000 $9,850 $3,425 $3,225 $4,825 $4,975 $3,400 $4,900 $650 $1,700 $1,650 $10,100 $9,575 $6,250 $650 $3,375

SettlementAmount


12-13-13

POCA

$5,000 $38,500 $2,500 $5,500 $5,000 $5,000 $12,500 $2,500 $7,500 $5,000 $20,000 $10,000 $7,500 $19,500 $37,500 $2,500 $22,500 $1,000 $15,000 $1,000 $3,000 $5,000 $8,000 $7,000 $15,000 $7,500 $5,000 $13,000 $15,000 $2,000 $10,000 $5,000 $2,500 $10,000 $15,000 $5,000 $5,000 $7,500 $7,500 $5,000 $7,000 $1,000 $2,500 $2,500 $15,000 $15,000 $9,500 $1,000 $5,000

13

BNSF 2012-326(LI)BNSF 2012-327(LI)BNSF 2012-328(SA)BNSF 2012-329(SA)BNSF 2012-330(RSP)BNSF 2012-331(HMT)BNSF 2012-332(TS)BNSF 2012-333(SI)BNSF 2012-334(HMT)BNSF 2012-335(TS)BNSF 2012-336(GC)BNSF 2012-337(SA)BNSF 2012-338(SI)BNSF 2012-339(SI)BNSF 2012-340(ROP)BNSF 2012-341(ROP)BNSF 2012-342(HSR)BNSF 2012-343(SA)BNSF 2012-344(HMT)BNSF 2012-346(TS)BNSF 2012-347(TS)BNSF 2012-348(TS)BNSF 2012-350(FCS)BNSF 2012-351(ROP)BNSF 2012-352(ROP)BNSF 2012-353(ROP)BNSF 2012-354(ROP)BNSF 2012-355(SA)BNSF 2012-356(FCS)BNSF 2012-357(SA)BNSF 2012-358(ROP)BNSF 2012-359(ROP)BNSF 2012-360(ROP)BNSF 2012-361(SA)BNSF 2012-362(SA)BNSF 2012-363(SA)BNSF 2012-364(SA)BNSF 2012-365(GC)BNSF 2012-366(GC)BNSF 2012-367(SI)BNSF 2012-368(ROP)BNSF 2012-369(GC)BNSF 2012-370(GC)BNSF 2012-373(TS)BNSF 2012-374(TS)BNSF 2012-375(LI)BNSF 2013-1(TS)BNSF 2013-2(ROP)BNSF 2013-3(SI)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


12112151121411512111323552142355355131111111111011

No. ofViolations

$2,500 $5,000 $5,000 $2,500 $2,000 $7,000 $9,500 $2,500 $5,000 $2,000 $5,000 $20,000 $2,500 $5,000 $34,500 $7,500 $2,000 $2,500 $2,000 $2,500 $15,000 $2,000 $15,000 $23,500 $21,500 $15,000 $2,000 $20,000 $10,000 $15,000 $23,000 $34,000 $17,000 $25,000 $12,500 $5,000 $7,500 $5,000 $5,000 $5,000 $7,500 $5,000 $5,000 $5,000 $2,500 $1,000 $10,000 $5,000 $2,500

PRCA

$1,600 $3,205 $3,200 $1,650 $1,375 $4,900 $6,450 $1,700 $0 $1,300 $3,380 $13,150 $1,715 $2,825 $22,500 $4,925 $1,300 $1,650 $1,095 $1,650 $9,900 $1,425 $9,675 $15,175 $13,700 $9,675 $1,275 $13,100 $6,450 $9,850 $14,800 $21,875 $10,850 $16,325 $8,135 $3,275 $4,725 $3,380 $3,375 $3,450 $4,875 $3,400 $3,375 $3,300 $1,600 $650 $6,500 $3,250 $1,700

SettlementAmount


12-13-13

POCA

$2,500 $5,000 $5,000 $2,500 $2,000 $7,000 $9,500 $2,500 $0 $2,000 $5,000 $20,000 $2,500 $5,000 $34,500 $7,500 $2,000 $2,500 $2,000 $2,500 $15,000 $2,000 $15,000 $23,500 $21,500 $15,000 $2,000 $20,000 $10,000 $15,000 $23,000 $34,000 $17,000 $25,000 $12,500 $5,000 $7,500 $5,000 $5,000 $5,000 $7,500 $5,000 $5,000 $5,000 $2,500 $1,000 $10,000 $5,000 $2,500

Case Terminated.

14

BNSF 2013-4(SA)BNSF 2013-5(EQ)BNSF 2013-6(EQ)BNSF 2013-7(EQ)BNSF 2013-8(LI)BNSF 2013-9(LI)BNSF 2013-10(SA)BNSF 2013-11(SA)BNSF 2013-12(SA)BNSF 2013-13(SA)BNSF 2013-14(SA)BNSF 2013-15(SA)BNSF 2013-16(TS)BNSF 2013-17(AR)BNSF 2013-18(SA)BNSF 2013-19(SA)BNSF 2013-20(SA)BNSF 2013-21(SA)BNSF 2013-22(SA)BNSF 2013-23(SA)BNSF 2013-24(LI)BNSF 2013-25(EP)BNSF 2013-26(GC)BNSF 2013-27(EP)BNSF 2013-29(TS)BNSF 2013-30(ROP)BNSF 2013-31(ROP)BNSF 2013-32(ROP)BNSF 2013-33(ROP)BNSF 2013-34(ROP)BNSF 2013-35(ROP)BNSF 2013-36(ROP)BNSF 2013-37(ROP)BNSF 2013-38(ROP)BNSF 2013-43(SA)BNSF 2013-44(ROP)BNSF 2013-45(SA)BNSF 2013-47(GC)BNSF 2013-48(HSR)BNSF 2013-49(SA)BNSF 2013-50(HS)BNSF 2013-52(SA)BNSF 2013-53(SA)BNSF 2013-54(ROP)BNSF 2013-55(TS)BNSF 2013-57(FCS)BNSF 2013-58(FCS)BNSF 2013-59(FCS)BNSF 2013-60(SA)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


11111111111131515514211115454142111221132153101113

No. ofViolations

$2,500 $1,000 $2,500 $2,500 $1,500 $1,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $8,500 $2,500 $25,000 $5,000 $22,500 $17,500 $2,500 $15,000 $5,000 $1,000 $5,000 $1,000 $2,500 $37,500 $24,500 $26,500 $36,000 $9,500 $24,500 $12,500 $7,500 $7,500 $5,000 $17,000 $7,500 $1,000 $1,000 $12,500 $2,000 $5,000 $20,000 $24,500 $16,000 $5,000 $2,500 $2,500 $10,000

PRCA

$1,600 $690 $1,675 $1,675 $850 $650 $3,250 $3,250 $3,300 $3,300 $3,300 $3,300 $5,575 $1,550 $16,300 $3,300 $14,500 $11,400 $1,625 $9,600 $3,250 $650 $3,380 $650 $1,750 $24,150 $15,950 $17,050 $17,500 $6,125 $15,700 $8,000 $4,850 $4,825 $3,300 $9,750 $4,950 $715 $650 $8,150 $1,300 $3,300 $12,600 $15,800 $11,080 $3,275 $1,650 $1,650 $6,550

SettlementAmount


12-13-13

POCA

$2,500 $1,000 $2,500 $2,500 $1,500 $1,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $8,500 $2,500 $25,000 $5,000 $22,500 $17,500 $2,500 $15,000 $5,000 $1,000 $5,000 $1,000 $2,500 $37,500 $24,500 $26,500 $26,500 $9,500 $24,500 $12,500 $7,500 $7,500 $5,000 $17,000 $7,500 $1,000 $1,000 $12,500 $2,000 $5,000 $20,000 $24,500 $16,000 $5,000 $2,500 $2,500 $10,000


15

BNSF 2013-61(SA)BNSF 2013-62(TS)BNSF 2013-63(HS)BNSF 2013-66(ROP)BNSF 2013-70(HS)BPRR 2011-1(SI)BPRR 2011-2(SA)BPRR 2012-1(ROP)BPRR 2012-2(ROP)BPRR 2012-3(SI)BPRR 2012-4(TS)BRC 2012-1(SA)BRC 2012-2(SA)BRC 2012-3(HMT)BRC 2012-4(SA)BRC 2012-5(SA)BRS 2012-1(SA)BRS 2013-1(LI)CAGY 2007-1(TS)CAGY 2010-1(SA)CAGY 2011-1(GC)CAGY 2012-1(SA)CAGY 2013-1(HMT)CC 2012-1(TS)CCPN 2012-1(AD)CCPN 2013-1(SA)CCPN 2013-2(ROP)CCPN 2013-3(TS)CCPN 2013-4(EQ)CCRR 2012-1(EQ)CEOH 2006-1(TS)CEOH 2012-1(SA)CFNR 2012-1(ROP)CFRC 2012-1(GC)CFRC 2012-2(GC)CFRC 2012-3(GC)CFRC 2013-3(ROP)CFRC 2013-4(ROP)CGIV 2013-1(EQ)CHAT 2006-1(TS)CHAT 2006-2(SA)CIC 2007-1(GC)CIC 2008-1(HMT)CIC 2008-2(GC)CIC 2012-1(GC)CIC 2013-1(ROP)CIND 2012-1(LI)CIND 2013-1(SI)CN 2011-120(RW)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201304/02/201304/02/201304/04/201304/02/201304/02/201309/30/201304/16/201304/16/201304/16/201304/16/201304/16/201309/27/201309/27/201305/28/201305/28/201305/28/201305/29/201305/28/201308/29/201308/12/201308/12/201308/12/201308/12/201308/12/201303/07/201305/28/201305/28/201309/30/201312/14/201212/14/201212/14/201207/11/201309/25/201309/16/201305/28/201305/28/201306/13/201306/13/201306/13/201306/13/201305/23/201309/30/201309/30/201308/29/2013


31111111111511211311111141113112121111112112211111

No. ofViolations

$12,500 $2,500 $1,000 $7,500 $1,000 $2,500 $5,000 $9,500 $9,500 $5,000 $30,000 $2,500 $5,000 $10,000 $5,000 $5,000 $7,500 $2,500 $5,000 $5,000 $2,500 $5,000 $6,000 $17,500 $2,500 $2,500 $9,500 $12,500 $2,500 $5,000 $2,000 $5,000 $9,000 $2,500 $5,000 $5,000 $7,500 $7,500 $1,000 $2,000 $5,000 $1,000 $10,000 $6,000 $5,000 $5,000 $2,500 $1,000 $3,000

PRCA

$8,100 $1,625 $650 $4,875 $650 $1,750 $4,000 $6,650 $6,650 $4,000 $15,000 $1,600 $3,200 $6,400 $3,200 $3,200 $4,500 $1,750 $2,500 $3,600 $1,800 $3,500 $4,200 $11,875 $1,800 $1,750 $6,650 $8,750 $1,800 $3,500 $1,100 $2,400 $6,300 $2,500 $5,000 $5,000 $7,500 $7,500 $1,000 $1,100 $2,400 $550 $6,500 $3,800 $3,600 $3,600 $1,725 $750 $2,070

SettlementAmount


12-13-13

POCA

$12,500 $2,500 $1,000 $7,500 $1,000 $2,500 $5,000 $9,500 $9,500 $5,000 $30,000 $2,500 $5,000 $10,000 $5,000 $5,000 $7,500 $2,500 $5,000 $5,000 $2,500 $5,000 $6,000 $17,500 $2,500 $2,500 $9,500 $12,500 $2,500 $5,000 $2,000 $5,000 $9,000 $2,500 $5,000 $5,000 $7,500 $7,500 $1,000 $2,000 $5,000 $1,000 $10,000 $6,000 $5,000 $5,000 $2,500 $1,000 $3,000

16

CN 2012-1(HMT)CN 2012-2(HMT)CN 2012-3(LI)CN 2012-4(SA)CN 2012-5(TS)CN 2012-6(ROP)

CN 2012-7(SA)CN 2012-8(SA)CN 2012-9(ROP)CN 2012-10(HS)CN 2012-11(HS)CN 2012-12(HS)CN 2012-13(HS)CN 2012-14(SA)CN 2012-15(FCS)CN 2012-16(FCS)CN 2012-17(HMT)CN 2012-18(TS)CN 2012-19(HSR)CN 2012-20(FCS)CN 2012-21(SA)CN 2012-22(FCS)CN 2012-23(SA)CN 2012-24(LI)CN 2012-25(HMT)CN 2012-26(SA)CN 2012-27(LI)CN 2012-28(HS)CN 2012-29(HS)CN 2012-30(SA)CN 2012-31(LI)CN 2012-32(SI)CN 2012-33(SA)CN 2012-34(LI)CN 2012-35(FCS)CN 2012-36(SA)CN 2012-37(HMT)CN 2012-38(SI)CN 2012-39(SA)CN 2012-40(LI)CN 2012-41(ROP)CN 2012-42(SA)CN 2012-43(GC)CN 2012-45(SI)CN 2012-46(FCS)CN 2012-47(SI)CN 2012-48(HMT)CN 2012-49(FCS)CN 2012-50(SA)

FRA No.

08/29/201308/29/201308/29/201308/29/201308/29/201308/29/2013

08/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/2013


121122

1115531554314112211211122311211111111111413

No. ofViolations

$5,000 $8,000 $2,500 $2,500 $3,500 $12,500

$5,000 $5,000 $5,000 $5,000 $5,000 $3,000 $1,000 $22,500 $12,000 $12,500 $12,500 $1,000 $4,000 $2,500 $2,500 $7,500 $7,500 $2,500 $4,000 $10,000 $2,500 $1,000 $1,000 $7,500 $5,000 $7,000 $5,000 $2,500 $5,000 $5,000 $5,000 $2,500 $5,000 $2,500 $7,500 $5,000 $1,000 $1,000 $2,500 $1,000 $20,000 $2,500 $15,000

PRCA

$3,450 $5,600 $1,700 $1,675 $2,295 $5,400

$3,400 $3,350 $3,400 $3,450 $3,450 $2,070 $690 $15,325 $7,935 $8,200 $8,820 $690 $2,720 $1,650 $1,700 $4,875 $5,150 $1,700 $2,800 $6,750 $1,625 $690 $690 $5,025 $3,250 $4,860 $3,400 $1,625 $3,250 $3,350 $3,450 $1,750 $3,400 $1,650 $5,100 $3,400 $700 $700 $1,625 $700 $13,600 $1,625 $10,200

SettlementAmount


12-13-13

POCA

$5,000 $8,000 $2,500 $2,500 $3,500 $7,000

$5,000 $5,000 $5,000 $5,000 $5,000 $3,000 $1,000 $22,500 $12,000 $12,500 $12,500 $1,000 $4,000 $2,500 $2,500 $7,500 $7,500 $2,500 $4,000 $10,000 $2,500 $1,000 $1,000 $7,500 $5,000 $7,000 $5,000 $2,500 $5,000 $5,000 $5,000 $2,500 $5,000 $2,500 $7,500 $5,000 $1,000 $1,000 $2,500 $1,000 $20,000 $2,500 $15,000


17

CN 2012-51(SA)CN 2012-52(LI)CN 2012-53(ROP)

CN 2012-54(TS)CN 2012-55(ROP)CN 2012-56(SA)CN 2012-57(ROP)CN 2012-58(FCS)CN 2012-60(TS)CN 2012-61(SA)CN 2012-62(FCS)CN 2012-63(TS)CN 2012-64(HMT)CN 2012-65(TS)CN 2012-66(LI)CN 2012-67(EQ)CN 2012-68(HMT)CN 2012-69(ROP)CN 2012-70(SA)CN 2012-71(LI)CN 2012-72(LI)CN 2012-73(TS)CN 2012-74(GC)CN 2012-75(SA)CN 2012-76(HMT)CN 2012-77(FCS)CN 2012-78(ROP)CN 2012-79(TS)CN 2012-80(SA)CN 2012-81(SI)CN 2012-82(ROP)CN 2012-83(ROP)CN 2012-84(SA)CN 2012-85(SA)CN 2012-86(RSP)CN 2012-87(TS)CN 2012-88(HS)CN 2012-89(SA)CN 2012-90(FCS)CN 2012-91(ROP)CN 2012-92(LI)CN 2012-93(EQ)CN 2012-94(GC)CN 2012-95(LI)CN 2012-96(ROP)CN 2012-97(ROP)CN 2012-98(FCS)CN 2012-99(ROP)CN 2012-100(SA)

FRA No.

08/29/201308/29/201308/29/2013

08/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/2013


421

11131141411212115149113114111111213111111111112

No. ofViolations

$10,000 $5,000 $7,500

$2,500 $9,500 $2,500 $28,500 $2,500 $5,000 $10,000 $2,500 $4,000 $2,000 $2,500 $4,000 $1,000 $8,000 $2,000 $5,000 $6,500 $2,500 $53,000 $5,000 $5,000 $24,000 $5,000 $7,500 $8,500 $2,500 $1,000 $9,500 $7,500 $5,000 $2,500 $11,000 $2,500 $3,000 $5,000 $2,500 $2,000 $1,000 $5,000 $5,000 $2,500 $7,500 $5,000 $5,000 $7,500 $5,000

PRCA

$6,400 $3,250 $2,000

$1,700 $6,650 $1,675 $19,095 $1,575 $3,350 $6,500 $1,675 $2,720 $1,400 $1,700 $2,615 $680 $5,720 $1,360 $3,400 $4,370 $1,625 $34,450 $3,500 $3,400 $16,800 $3,300 $5,175 $4,950 $1,700 $690 $6,460 $5,250 $3,350 $1,675 $7,480 $1,700 $2,090 $3,350 $1,625 $1,340 $0 $3,250 $3,500 $1,675 $5,025 $3,250 $3,300 $5,025 $3,200

SettlementAmount


12-13-13

POCA

$10,000 $5,000 $2,000

$2,500 $9,500 $2,500 $28,500 $2,500 $5,000 $10,000 $2,500 $4,000 $2,000 $2,500 $4,000 $1,000 $8,000 $2,000 $5,000 $6,500 $2,500 $53,000 $5,000 $5,000 $24,000 $5,000 $7,500 $7,500 $2,500 $1,000 $9,500 $7,500 $5,000 $2,500 $11,000 $2,500 $3,000 $5,000 $2,500 $2,000 $0 $5,000 $5,000 $2,500 $7,500 $5,000 $5,000 $7,500 $5,000



Case Terminated.

18

CN 2012-101(ROP)CN 2012-102(HMT)CN 2012-103(SA)CN 2012-104(ROP)CN 2012-105(SA)CN 2012-106(GC)CN 2012-107(LI)CN 2012-108(HS)CN 2012-109(HS)CNYK 2012-1(GC)CORP 2012-1(SI)CORP 2012-2(HSR)CP 2008-15(SA)CP 2008-16(FCS)CP 2008-18(HMT)CP 2009-26(TS)CP 2011-52(AR)CP 2011-58(AR)CP 2011-61(AR)CP 2011-66(AR)CP 2011-68(AR)CP 2011-78(AR)CP 2011-86(AR)CP 2011-87(AR)CP 2011-88(HS)CP 2011-89(HMT)CP 2012-1(HS)CP 2012-2(HS)CP 2012-3(HS)CP 2012-4(HS)CP 2012-5(HS)CP 2012-6(HS)CP 2012-7(FCS)CP 2012-8(SA)CP 2012-9(LI)CP 2012-10(SA)CP 2012-11(HS)CP 2012-12(HS)CP 2012-13(HS)CP 2012-14(HS)CP 2012-15(HS)CP 2012-16(HS)CP 2012-17(HS)CP 2012-18(HS)CP 2012-19(HS)CP 2012-20(HS)CP 2012-21(HS)CP 2012-22(HS)CP 2012-23(HS)

FRA No.

08/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201310/03/201209/30/201309/30/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/2013


1112111411132211211111511352553531111111111111111

No. ofViolations

$7,500 $1,000 $5,000 $7,000 $5,000 $5,000 $2,500 $4,000 $1,000 $5,000 $1,000 $3,000 $10,000 $6,000 $7,500 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $12,500 $2,500 $1,000 $3,000 $5,000 $2,000 $5,000 $5,000 $3,000 $5,000 $7,500 $5,000 $2,500 $5,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000

PRCA

$5,100 $680 $3,350 $4,740 $3,400 $3,500 $1,675 $2,760 $670 $3,750 $750 $2,100 $0 $0 $0 $2,750 $3,500 $1,750 $1,750 $1,750 $1,750 $1,750 $8,750 $1,750 $700 $2,100 $3,500 $1,400 $3,500 $3,500 $2,100 $3,500 $5,250 $3,500 $1,750 $3,600 $700 $700 $700 $700 $700 $700 $700 $700 $700 $700 $700 $700 $700

SettlementAmount


12-13-13

POCA

$7,500 $1,000 $5,000 $7,000 $5,000 $5,000 $2,500 $4,000 $1,000 $5,000 $1,000 $3,000 $0 $0 $0 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $12,500 $2,500 $1,000 $3,000 $5,000 $2,000 $5,000 $5,000 $3,000 $5,000 $7,500 $5,000 $2,500 $5,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000

Case Terminated.Case Terminated.Case Terminated.

19

CP 2012-24(HS)CP 2012-25(SA)CP 2012-26(HS)CP 2012-27(HS)CP 2012-28(HS)CP 2012-29(HS)CP 2012-30(HS)CP 2012-31(HS)CP 2012-32(HS)CP 2012-33(HS)CP 2012-34(HMT)CP 2012-35(SA)CP 2012-36(FCS)CP 2012-37(FCS)CP 2012-38(SA)CP 2012-39(SA)CP 2012-40(LI)CP 2012-41(SA)CP 2012-42(HSR)CP 2012-43(SA)CP 2012-44(FCS)CP 2012-45(HSR)CP 2012-46(HS)CP 2012-47(TS)CP 2012-48(LI)CP 2012-49(HSR)CP 2012-50(HMT)CP 2012-51(FCS)CP 2012-52(HSR)CP 2012-53(HMT)CP 2012-54(HS)CP 2012-55(HMT)CP 2012-56(ROP)CP 2012-57(FCS)CP 2012-58(HSR)CP 2012-59(SA)CP 2012-60(FCS)CP 2012-61(TS)CP 2012-62(HS)CP 2012-63(HS)CP 2013-1(FCS)CP 2013-2(FCS)CP 2013-3(ROP)CP 2013-4(SA)CP 2013-5(SA)CP 2013-6(SA)CP 2013-7(SA)CP 2013-8(HSR)CP 2013-9(AR)

FRA No.

09/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/2013


12111111111111321111112112401511111232184111111111

No. ofViolations

$1,000 $5,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $5,000 $2,500 $2,500 $5,000 $12,500 $10,000 $2,500 $5,000 $2,500 $2,500 $5,000 $1,000 $2,000 $5,000 $1,000 $2,000 $200,000 $2,500 $5,000 $6,000 $1,000 $5,000 $9,500 $5,000 $2,000 $12,500 $10,000 $5,000 $8,000 $4,000 $2,500 $2,500 $9,500 $2,500 $5,000 $5,000 $10,000 $1,000 $2,500

PRCA

$700 $3,750 $700 $700 $700 $700 $700 $700 $700 $700 $3,300 $1,750 $1,750 $3,500 $8,500 $7,000 $1,750 $3,500 $1,750 $1,750 $3,500 $700 $1,400 $3,500 $700 $1,400 $140,000 $1,750 $3,500 $4,000 $700 $3,000 $6,700 $3,500 $1,400 $7,500 $6,700 $3,800 $5,300 $2,800 $1,750 $1,750 $6,700 $1,750 $3,300 $3,300 $7,000 $700 $1,750

SettlementAmount


12-13-13

POCA

$1,000 $5,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $5,000 $2,500 $2,500 $5,000 $12,500 $10,000 $2,500 $5,000 $2,500 $2,500 $5,000 $1,000 $2,000 $5,000 $1,000 $2,000 $200,000 $2,500 $5,000 $6,000 $1,000 $5,000 $9,500 $5,000 $2,000 $12,500 $10,000 $5,000 $8,000 $4,000 $2,500 $2,500 $9,500 $2,500 $5,000 $5,000 $10,000 $1,000 $2,500

20

CP 2013-10(HMT)CP 2013-11(SA)CP 2013-12(RW)CP 2013-13(FCS)CP 2013-14(SI)CP 2013-15(HMT)CP 2013-16(ROP)CPDR 2013-1(TS)CRSH 2012-1(SA)CRSH 2012-2(HMT)CRSH 2012-4(GC)CRSH 2012-5(ROP)CRSH 2012-6(SA)CRSH 2012-7(ROP)CRSH 2012-8(ROP)CRSH 2012-9(HMT)CRSH 2012-10(SA)CRSH 2013-1(SA)CRSH 2013-2(ROP)CRSH 2013-3(SA)CSX 2008-267(HMT)CSX 2009-5(SA)CSX 2009-50(HMT)CSX 2009-89(SA)CSX 2009-180(ROP)CSX 2009-239(SA)CSX 2010-44(LI)CSX 2010-87(SA)CSX 2010-182(SI)CSX 2010-271(AR)CSX 2010-356(SA)CSX 2010-388(HMT)CSX 2011-97(HSR)CSX 2011-276(LI)CSX 2011-364(HS)CSX 2012-8(HSR)CSX 2012-12(SA)CSX 2012-16(SA)CSX 2012-24(LI)CSX 2012-26(SA)CSX 2012-30(GC)CSX 2012-38(SA)CSX 2012-39(SA)CSX 2012-42(SA)CSX 2012-46(SA)CSX 2012-48(HSR)CSX 2012-50(TS)CSX 2012-52(SA)CSX 2012-53(AR)

FRA No.

09/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/30/201307/16/201307/16/201307/16/201307/16/201307/16/201307/16/201307/16/201307/16/201307/16/201307/16/201307/16/201307/16/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/2013


3111121211124111131533623413113111541411234123142

No. ofViolations

$9,000 $2,500 $3,000 $2,500 $1,000 $9,500 $9,500 $3,000 $5,000 $3,000 $5,000 $19,000 $20,000 $9,500 $9,500 $5,000 $5,000 $15,000 $9,500 $25,000 $12,500 $12,500 $18,000 $7,500 $15,000 $12,500 $2,500 $10,000 $2,500 $2,500 $15,000 $5,000 $1,000 $1,500 $5,000 $4,000 $2,500 $10,000 $1,000 $5,000 $10,000 $7,500 $10,000 $2,500 $5,000 $6,000 $1,000 $15,000 $5,000

PRCA

$6,300 $1,750 $2,250 $1,750 $700 $6,500 $6,800 $2,100 $4,250 $3,000 $4,000 $12,350 $13,000 $6,175 $8,075 $4,500 $4,250 $9,750 $6,175 $18,250 $0 $7,800 $11,650 $4,825 $9,600 $8,100 $1,675 $6,500 $1,725 $1,675 $9,800 $3,250 $650 $1,025 $3,400 $2,675 $1,650 $6,300 $680 $3,200 $6,950 $4,800 $6,650 $1,600 $3,175 $3,975 $675 $9,450 $1,750

SettlementAmount


12-13-13

POCA

$9,000 $2,500 $3,000 $2,500 $1,000 $9,500 $9,500 $3,000 $5,000 $3,000 $5,000 $19,000 $20,000 $9,500 $9,500 $5,000 $5,000 $15,000 $9,500 $25,000 $0 $12,500 $18,000 $7,500 $15,000 $12,500 $2,500 $10,000 $2,500 $2,500 $15,000 $5,000 $1,000 $1,500 $5,000 $4,000 $2,500 $10,000 $1,000 $5,000 $10,000 $7,500 $10,000 $2,500 $5,000 $6,000 $1,000 $15,000 $2,500

Case Terminated.


21

CSX 2012-56(RW)CSX 2012-57(EP)CSX 2012-58(LI)CSX 2012-60(SA)CSX 2012-61(FCS)CSX 2012-65(HS)CSX 2012-66(LI)CSX 2012-67(HSR)CSX 2012-68(HSR)CSX 2012-70(SA)CSX 2012-71(SA)CSX 2012-73(SA)CSX 2012-74(FCS)CSX 2012-75(SA)CSX 2012-77(HMT)CSX 2012-78(LI)CSX 2012-79(HS)CSX 2012-80(FCS)CSX 2012-81(SA)CSX 2012-82(SA)CSX 2012-83(HMT)CSX 2012-84(HMT)CSX 2012-85(FCS)CSX 2012-86(SA)CSX 2012-87(HSR)CSX 2012-88(LI)CSX 2012-89(FCS)CSX 2012-90(FCS)CSX 2012-91(GC)CSX 2012-92(SA)CSX 2012-93(SA)CSX 2012-94(SA)CSX 2012-95(SI)CSX 2012-96(LI)CSX 2012-97(HS)CSX 2012-98(SA)CSX 2012-99(SI)CSX 2012-100(SI)CSX 2012-102(HSR)CSX 2012-103(SA)CSX 2012-104(LI)CSX 2012-105(GC)CSX 2012-106(RW)CSX 2012-107(TS)CSX 2012-108(RSP)CSX 2012-109(SA)CSX 2012-110(SA)CSX 2012-111(HSR)CSX 2012-112(ROP)

FRA No.

09/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/2013


2211111552421211125112242121142291141121112111231

No. ofViolations

$6,000 $2,000 $1,000 $5,000 $2,500 $1,000 $2,500 $9,500 $6,500 $5,000 $10,000 $7,500 $2,000 $7,500 $2,000 $2,500 $1,000 $5,000 $12,500 $5,000 $3,000 $10,000 $5,000 $15,000 $2,000 $2,500 $5,000 $2,500 $5,000 $15,000 $7,500 $7,500 $9,000 $2,500 $1,000 $12,500 $1,000 $1,000 $2,000 $2,500 $2,500 $5,000 $10,000 $2,500 $1,000 $5,000 $7,500 $6,000 $2,000

PRCA

$4,000 $1,330 $680 $3,200 $1,675 $650 $1,650 $6,100 $4,225 $2,500 $5,000 $4,800 $1,000 $5,025 $1,350 $1,650 $650 $3,375 $8,250 $3,450 $2,025 $5,000 $3,225 $10,025 $1,360 $1,650 $3,300 $1,675 $3,475 $9,800 $5,100 $4,900 $6,000 $1,675 $650 $8,125 $760 $650 $1,360 $1,675 $1,500 $3,475 $3,000 $1,650 $650 $3,375 $4,875 $4,000 $1,300

SettlementAmount


12-13-13

POCA

$6,000 $2,000 $1,000 $5,000 $2,500 $1,000 $2,500 $9,500 $6,500 $5,000 $10,000 $7,500 $2,000 $7,500 $2,000 $2,500 $1,000 $5,000 $12,500 $5,000 $3,000 $10,000 $5,000 $15,000 $2,000 $2,500 $5,000 $2,500 $5,000 $15,000 $7,500 $7,500 $9,000 $2,500 $1,000 $12,500 $1,000 $1,000 $2,000 $2,500 $2,500 $5,000 $5,000 $2,500 $1,000 $5,000 $7,500 $6,000 $2,000


22

CSX 2012-113(ROP)CSX 2012-114(FCS)CSX 2012-115(LI)CSX 2012-116(SA)CSX 2012-117(SA)CSX 2012-118(SA)CSX 2012-119(SA)CSX 2012-120(ROP)CSX 2012-121(FCS)CSX 2012-122(SI)CSX 2012-123(AR)CSX 2012-124(TS)CSX 2012-125(RSP)CSX 2012-126(TS)CSX 2012-127(FCS)CSX 2012-128(SA)CSX 2012-129(LI)CSX 2012-130(SA)CSX 2012-131(TS)

CSX 2012-132(ROP)CSX 2012-133(SA)CSX 2012-134(SA)CSX 2012-135(TS)CSX 2012-136(LI)CSX 2012-137(FCS)CSX 2012-138(SA)CSX 2012-139(ROP)CSX 2012-140(ROP)CSX 2012-141(FCS)CSX 2012-142(SA)CSX 2012-143(SA)CSX 2012-144(RSP)CSX 2012-145(HMT)CSX 2012-146(GC)CSX 2012-147(HMT)CSX 2012-148(ROP)CSX 2012-149(FCS)CSX 2012-150(TS)CSX 2012-151(AR)CSX 2012-152(SA)CSX 2012-153(HS)CSX 2012-154(TS)CSX 2012-155(SA)CSX 2012-156(TH)CSX 2012-157(LI)CSX 2012-158(HSR)CSX 2012-159(ROP)CSX 2012-160(HMT)

FRA No.

09/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/2013

09/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/2013


12131111111213111518

112121311221211132311111115133

No. ofViolations

$7,500 $5,000 $1,000 $12,500 $5,000 $2,500 $2,500 $2,000 $5,000 $1,000 $2,500 $10,000 $1,000 $7,500 $2,500 $2,000 $2,500 $25,000 $18,000

$7,500 $2,500 $10,000 $5,000 $3,500 $5,000 $15,000 $7,500 $7,500 $5,000 $10,000 $2,500 $2,000 $2,500 $1,000 $2,000 $22,500 $7,500 $12,500 $2,500 $5,000 $1,000 $2,500 $5,000 $5,000 $2,500 $51,000 $20,000 $22,500

PRCA

$4,800 $3,350 $650 $8,150 $3,275 $1,650 $1,675 $1,300 $3,225 $650 $1,625 $6,825 $650 $4,950 $1,575 $1,375 $1,650 $16,825 $5,000

$4,750 $1,675 $6,500 $3,400 $2,325 $3,225 $9,800 $4,750 $4,750 $3,350 $6,700 $1,325 $1,330 $1,775 $650 $1,450 $14,200 $4,800 $8,625 $1,625 $3,350 $650 $1,400 $3,000 $3,200 $1,675 $33,150 $13,950 $14,375

SettlementAmount


12-13-13

POCA

$7,500 $5,000 $1,000 $12,500 $5,000 $2,500 $2,500 $2,000 $5,000 $1,000 $2,500 $10,000 $1,000 $7,500 $2,500 $2,000 $2,500 $25,000 $5,000

$7,500 $2,500 $10,000 $5,000 $3,500 $5,000 $15,000 $7,500 $7,500 $5,000 $10,000 $2,500 $2,000 $2,500 $1,000 $2,000 $22,500 $7,500 $12,500 $2,500 $5,000 $1,000 $2,500 $5,000 $5,000 $2,500 $51,000 $20,000 $22,500

Partially Terminated Violation(s): 1 (violation 6-18were terminated.)

23

CSX 2012-161(TS)CSX 2012-162(TS)CSX 2012-163(TS)CSX 2012-164(SA)CSX 2012-166(SA)CSX 2012-167(ROP)CSX 2012-168(HMT)CSX 2012-169(SA)CSX 2012-171(SA)CSX 2012-172(SA)CSX 2012-173(SA)CSX 2012-174(LI)CSX 2012-175(HMT)CSX 2012-176(TS)CSX 2012-177(SA)CSX 2012-178(SA)CSX 2012-179(HMT)CSX 2012-180(FCS)CSX 2012-181(ROP)CSX 2012-182(FCS)CSX 2012-183(LI)CSX 2012-184(AR)CSX 2012-185(AR)CSX 2012-186(TS)CSX 2012-187(HMT)CSX 2012-188(SI)CSX 2012-189(AR)CSX 2012-190(HS)CSX 2012-191(TS)CSX 2012-192(GC)CSX 2012-193(ROP)CSX 2012-194(HMT)CSX 2012-195(FCS)CSX 2012-196(SA)CSX 2012-197(SA)CSX 2012-198(SA)CSX 2012-199(LI)CSX 2012-201(TH)CSX 2012-202(SA)CSX 2012-203(SA)CSX 2012-204(FCS)CSX 2012-205(HMT)

CSX 2012-206(ROP)CSX 2012-207(LI)CSX 2012-210(TS)CSX 2012-211(SI)CSX 2012-212(FCS)CSX 2012-213(SA)CSX 2012-214(SA)

FRA No.

09/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/2013

09/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/2013


1191451111111113512221111511221123141311112

1121123

No. ofViolations

$2,500 $95,000 $1,000 $14,000 $17,500 $9,500 $7,500 $2,500 $2,500 $5,000 $2,500 $2,500 $4,000 $5,000 $10,000 $20,000 $2,000 $5,000 $17,000 $5,000 $2,500 $5,000 $2,500 $5,000 $20,000 $1,000 $2,500 $2,000 $5,000 $5,000 $9,500 $7,000 $7,500 $5,000 $10,000 $5,000 $7,500 $5,000 $2,500 $2,500 $5,000 $12,000

$7,500 $2,500 $3,500 $1,000 $2,500 $5,000 $7,500

PRCA

$1,600 $52,625 $685 $9,550 $11,675 $6,600 $4,850 $1,700 $1,650 $3,450 $1,675 $1,650 $2,575 $3,350 $6,575 $12,850 $1,440 $3,100 $6,850 $3,425 $1,675 $3,300 $1,675 $3,350 $13,700 $650 $1,625 $1,330 $3,200 $3,475 $6,450 $4,625 $4,800 $3,275 $6,475 $3,275 $4,500 $3,200 $1,625 $1,650 $3,125 $7,100

$4,950 $1,675 $2,250 $735 $1,700 $3,150 $4,675

SettlementAmount


12-13-13

POCA

$2,500 $95,000 $1,000 $14,000 $17,500 $9,500 $7,500 $2,500 $2,500 $5,000 $2,500 $2,500 $4,000 $5,000 $10,000 $20,000 $2,000 $5,000 $9,500 $5,000 $2,500 $5,000 $2,500 $5,000 $20,000 $1,000 $2,500 $2,000 $5,000 $5,000 $9,500 $7,000 $7,500 $5,000 $10,000 $5,000 $7,500 $5,000 $2,500 $2,500 $5,000 $10,000

$7,500 $2,500 $3,500 $1,000 $2,500 $5,000 $7,500



24

CSX 2012-215(SA)CSX 2012-216(AR)CSX 2012-217(AR)CSX 2012-218(RW)CSX 2012-219(FCS)CSX 2012-220(SI)CSX 2012-221(SA)CSX 2012-222(SA)CSX 2012-223(RSP)CSX 2012-224(AR)CSX 2012-225(AR)CSX 2012-226(AR)CSX 2012-227(AR)CSX 2012-228(LI)CSX 2012-229(LI)CSX 2012-230(SA)CSX 2012-231(SA)CSX 2012-232(TS)CSX 2012-233(ROP)CSX 2012-234(SA)CSX 2012-235(SA)CSX 2012-236(HMT)

CSX 2012-237(ROP)CSX 2012-238(AR)CSX 2012-239(HMT)CSX 2012-240(AR)CSX 2012-241(AR)CSX 2012-242(AR)CSX 2012-243(LI)CSX 2012-244(SA)CSX 2012-245(SA)CSX 2012-246(ROP)CSX 2012-247(SI)CSX 2012-248(HMT)CSX 2012-249(SA)CSX 2012-250(SA)CSX 2012-251(AR)CSX 2012-252(AR)CSX 2012-253(AR)CSX 2012-255(SA)CSX 2012-256(SA)CSX 2012-257(HMT)CSX 2012-258(LI)CSX 2012-259(TS)CSX 2012-260(LI)CSX 2012-261(HS)CSX 2012-262(SA)CSX 2012-263(HS)CSX 2012-264(SI)

FRA No.

09/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/2013

09/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/2013


1112141111111111131412

115111151111111111111211352

No. ofViolations

$2,500 $2,500 $2,500 $5,000 $2,500 $7,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,000 $2,500 $5,000 $11,000 $7,500 $17,500 $5,000 $3,000

$9,500 $2,500 $19,500 $2,500 $2,500 $2,500 $1,000 $17,500 $2,500 $2,500 $2,500 $2,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $3,000 $1,000 $3,500 $2,500 $1,000 $15,000 $5,000 $5,000

PRCA

$1,650 $1,625 $1,625 $3,475 $1,575 $5,025 $3,275 $3,250 $1,250 $1,625 $1,625 $1,625 $1,625 $1,725 $1,350 $1,600 $3,175 $7,350 $4,875 $11,400 $3,275 $1,300

$6,175 $1,575 $13,725 $1,625 $1,575 $1,625 $690 $11,550 $1,625 $1,675 $1,800 $1,400 $3,150 $1,625 $1,625 $1,675 $0 $1,650 $1,625 $1,875 $670 $2,300 $1,625 $650 $10,000 $3,400 $3,175

SettlementAmount


12-13-13

POCA

$2,500 $2,500 $2,500 $5,000 $2,500 $7,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,000 $2,500 $5,000 $11,000 $7,500 $17,500 $5,000 $2,000

$9,500 $2,500 $19,500 $2,500 $2,500 $2,500 $1,000 $17,500 $2,500 $2,500 $2,500 $2,000 $5,000 $2,500 $2,500 $2,500 $0 $2,500 $2,500 $3,000 $1,000 $3,500 $2,500 $1,000 $15,000 $5,000 $5,000

Partially Terminated VIolation(s): 1.

Case Terminated.

25

CSX 2012-265(HMT)CSX 2012-266(SI)CSX 2012-267(HMT)CSX 2012-268(FCS)CSX 2012-270(TS)CSX 2012-271(LI)CSX 2012-272(SA)CSX 2012-273(HMT)

CSX 2012-274(FCS)CSX 2012-275(EQ)CSX 2012-276(LI)CSX 2012-277(GC)CSX 2012-278(LI)CSX 2012-279(SA)CSX 2012-280(FCS)CSX 2012-281(ROP)CSX 2012-282(ROP)CSX 2012-283(FCS)CSX 2012-284(SA)CSX 2012-285(SA)CSX 2012-286(SA)CSX 2012-289(LI)CSX 2012-290(SA)CSX 2012-292(LI)CSX 2012-293(FCS)CSX 2012-294(HMT)CSX 2012-295(SA)CSX 2012-296(LI)CSX 2012-297(HSR)CSX 2012-298(FCS)CSX 2012-299(HMT)CSX 2012-300(SA)CSX 2012-301(HSR)CSX 2012-302(PEQ)CSX 2012-303(FCS)CSX 2012-304(FCS)CSX 2012-305(SA)CSX 2012-306(SA)CSX 2012-307(TS)CSX 2012-308(HS)CSX 2013-1(FCS)CSX 2013-2(FCS)CSX 2013-3(FCS)CSX 2013-4(FCS)CSX 2013-5(FCS)CSX 2013-6(ROP)CSX 2013-7(HMT)CSX 2013-8(HMT)CSX 2013-9(SA)

FRA No.

09/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/2013

09/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/2013


11311221

11222141114312112611311111112121111111511

No. ofViolations

$6,000 $5,000 $20,000 $2,500 $5,000 $4,500 $5,000 $10,000

$5,000 $5,000 $5,000 $10,000 $5,000 $5,000 $10,000 $9,500 $9,500 $2,500 $12,500 $12,500 $2,500 $5,000 $2,500 $2,500 $5,000 $36,000 $5,000 $1,500 $3,000 $2,500 $2,000 $5,000 $1,000 $5,000 $2,500 $2,500 $10,000 $2,500 $10,000 $1,000 $2,500 $2,500 $2,500 $2,500 $2,500 $15,000 $5,000 $5,000 $5,000

PRCA

$4,225 $3,175 $14,000 $1,575 $3,350 $2,950 $3,250 $3,475

$3,225 $3,275 $3,350 $6,950 $3,225 $3,275 $4,750 $6,275 $6,450 $1,575 $8,100 $8,450 $1,625 $3,350 $1,625 $1,600 $3,150 $24,800 $3,275 $1,020 $2,000 $1,575 $1,320 $3,275 $700 $3,200 $1,575 $1,575 $6,525 $1,675 $6,950 $650 $0 $0 $0 $0 $1,625 $10,050 $0 $3,550 $3,275

SettlementAmount


12-13-13

POCA

$6,000 $5,000 $20,000 $2,500 $5,000 $4,500 $5,000 $5,000

$5,000 $5,000 $5,000 $10,000 $5,000 $5,000 $7,500 $9,500 $9,500 $2,500 $12,500 $12,500 $2,500 $5,000 $2,500 $2,500 $5,000 $36,000 $5,000 $1,500 $3,000 $2,500 $2,000 $5,000 $1,000 $5,000 $2,500 $2,500 $10,000 $2,500 $10,000 $1,000 $0 $0 $0 $0 $2,500 $15,000 $0 $5,000 $5,000



Case Terminated.Case Terminated.Case Terminated.Case Terminated.

Case Terminated.

26

CSX 2013-10(SA)CSX 2013-11(SA)CSX 2013-12(SA)CSX 2013-13(SA)CSX 2013-14(SA)CSX 2013-15(SA)CSX 2013-16(SA)CSX 2013-17(SA)CSX 2013-18(SA)CSX 2013-20(LI)CSX 2013-21(GC)CSX 2013-22(LI)CSX 2013-23(TS)CSX 2013-24(SA)CSX 2013-25(HSR)CSX 2013-26(ROR)CSX 2013-27(SA)CSX 2013-28(SA)CSX 2013-29(SA)CSX 2013-30(SA)CSX 2013-31(SA)CSX 2013-32(SA)CSX 2013-33(GC)CSX 2013-34(SA)CSX 2013-36(LI)CSX 2013-37(TS)CSX 2013-38(TS)CSX 2013-40(SA)CSX 2013-41(TS)CSX 2013-54(SI)CSX 2013-56(SI)CSX 2013-62(SA)CSX 2013-66(SA)CUOH 2012-1(GC)CUOH 2013-1(SA)CUOH 2013-2(GC)CUOH 2013-3(SA)CVSX 2012-1(AR)DGNO 2010-4(TS)DGNO 2011-3(GC)DGNO 2013-1(SA)DGNO 2013-2(EP)DGNO 2013-3(ROP)DGNO 2013-4(TS)DH 2012-1(HS)DH 2012-2(HS)DH 2012-3(HS)DH 2012-4(SA)DH 2012-5(ROP)

FRA No.

09/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/13/201309/13/201309/13/201309/13/201302/04/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/27/201309/27/201309/27/201309/27/201309/27/2013


1111111113111121111112111111111111121164211111111

No. ofViolations

$2,500 $2,500 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $10,000 $2,500 $2,500 $1,000 $5,000 $2,000 $9,500 $5,000 $2,500 $5,000 $5,000 $5,000 $10,000 $2,500 $5,000 $1,500 $5,000 $5,000 $5,000 $1,000 $2,500 $1,000 $5,000 $2,500 $5,000 $5,000 $7,500 $5,000 $1,000 $30,000 $12,000 $7,500 $1,500 $7,500 $5,000 $1,000 $1,000 $1,000 $2,500 $9,500

PRCA

$1,650 $1,650 $1,650 $3,175 $1,650 $1,575 $1,675 $1,675 $1,650 $6,520 $1,675 $1,725 $685 $3,275 $1,300 $0 $3,275 $1,625 $3,400 $3,275 $3,375 $6,525 $1,725 $3,325 $990 $3,350 $3,300 $3,275 $685 $1,625 $650 $3,250 $1,725 $3,250 $3,200 $3,750 $3,300 $1,000 $20,100 $8,400 $5,250 $1,020 $5,250 $3,400 $700 $700 $700 $1,900 $6,000

SettlementAmount


12-13-13

POCA

$2,500 $2,500 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $10,000 $2,500 $2,500 $1,000 $5,000 $2,000 $0 $5,000 $2,500 $5,000 $5,000 $5,000 $10,000 $2,500 $5,000 $1,500 $5,000 $5,000 $5,000 $1,000 $2,500 $1,000 $5,000 $2,500 $5,000 $5,000 $7,500 $5,000 $1,000 $30,000 $12,000 $7,500 $1,500 $7,500 $5,000 $1,000 $1,000 $1,000 $2,500 $9,500

Case Terminated.

27

DH 2012-6(LI)DH 2013-3(SA)DL 2012-1(HS)DME 2012-1(SA)DME 2012-2(SA)DME 2012-3(SA)DME 2012-4(SA)DME 2013-1(SA)DMVW 2013-1(SA)EIRR 2012-2(GC)EIRR 2012-3(SA)EIRR 2012-4(GC)

EIRR 2012-5(GC)EJE 2012-1(SA)EJE 2012-2(ROP)EJE 2012-3(FCS)EJE 2012-4(SA)EJE 2012-5(SA)EJE 2012-6(LI)EJE 2012-7(GC)ELWX 2012-1(RW)ESFR 2011-1(EQ)FCEN 2011-1(ROP)FCEN 2011-2(SA)FCEN 2012-1(FCS)FCEN 2013-1(AD)FCRD 2008-1(LI)FCRD 2010-2(SA)FCRD 2011-1(FCS)FCRD 2013-1(RSP)FMRC 2008-1(HSR)GATX 2011-1(HMT)GATX 2011-2(HMT)GC 2011-2(TH)GC 2012-1(FCS)GET 2013-1(GC)GMRC 2011-1(SA)GRNW 2012-2(HMT)GRW 2010-1(EQ)GRW 2010-2(EQ)GRW 2012-1(AD)GWR 2012-1(GC)HESR 2013-1(LI)HHRV 2009-1(SA)HRRC 2011-2(TS)HVMV 2011-1(ROP)IAIS 2013-1(SA)IERR 2013-1(HMT)

FRA No.

09/27/201309/27/201302/13/201309/27/201309/27/201309/27/201309/27/201309/27/201307/22/201309/27/201309/27/201309/27/2013

09/27/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201308/29/201312/04/201209/03/201302/22/201302/22/201302/22/201302/22/201309/12/201305/23/201309/12/201309/12/201305/14/201304/26/201304/26/201305/29/201302/25/201305/29/201304/26/201309/27/201305/24/201305/24/201305/24/201308/15/201309/30/201307/31/201309/30/201306/27/201306/14/201308/30/2013


111611311114

3111211111121111111111111102114111113

No. ofViolations

$2,500 $5,000 $1,000 $15,000 $5,000 $5,000 $7,500 $5,000 $2,500 $1,000 $5,000 $23,500

$12,500 $5,000 $2,000 $2,500 $10,000 $5,000 $1,000 $5,000 $1,500 $1,000 $5,000 $10,000 $2,500 $2,500 $2,500 $5,000 $2,500 $5,500 $1,000 $10,000 $7,500 $5,000 $2,500 $5,000 $5,000 $20,000 $7,000 $2,500 $2,500 $4,000 $2,500 $5,000 $1,000 $5,000 $5,000 $7,500

PRCA

$1,750 $3,000 $650 $10,500 $3,600 $3,600 $5,500 $3,500 $2,500 $700 $3,000 $10,000

$7,000 $3,350 $1,360 $1,625 $6,750 $3,350 $670 $3,500 $1,500 $650 $3,300 $6,800 $1,800 $1,800 $1,800 $5,000 $1,800 $3,600 $0 $8,000 $6,000 $3,800 $2,000 $5,000 $3,000 $12,500 $4,200 $1,500 $1,500 $3,200 $1,725 $4,000 $800 $3,000 $5,000 $5,300

SettlementAmount


12-13-13

POCA

$2,500 $5,000 $1,000 $15,000 $5,000 $5,000 $7,500 $5,000 $2,500 $1,000 $5,000 $15,000

$10,000 $5,000 $2,000 $2,500 $10,000 $5,000 $1,000 $5,000 $1,500 $1,000 $5,000 $10,000 $2,500 $2,500 $2,500 $5,000 $2,500 $5,500 $0 $10,000 $7,500 $5,000 $2,500 $5,000 $5,000 $20,000 $7,000 $2,500 $2,500 $4,000 $2,500 $5,000 $1,000 $5,000 $5,000 $7,500

Terminated Violation(s): 4. Partially Terminated Violation(s): 1,2,3.Terminated Violation(s): 2.

Case Terminated.

28

IHB 2012-3(SA)IHB 2012-4(SA)IHB 2012-5(SA)IHB 2013-1(SA)IHB 2013-2(SA)INRD 2012-1(HS)INRD 2012-4(EQ)INRD 2013-1(SA)INRD 2013-2(SA)IORY 2012-4(TS)IORY 2012-5(SA)IORY 2012-6(SA)IORY 2012-7(SA)IORY 2012-8(SA)IORY 2012-9(HS)IORY 2012-10(HSR)IORY 2013-1(SA)KAW 2013-1(ROP)KCS 2010-13(AR)KCS 2010-15(AR)KCS 2010-17(AR)

KCS 2010-23(AR)KCS 2010-26(AR)KCS 2010-60(AR)KCS 2010-66(AR)KCS 2010-68(AR)KCS 2011-50(AR)KCS 2012-9(SA)KCS 2012-11(LI)KCS 2012-21(SA)KCS 2012-22(ROP)KCS 2012-23(AR)KCS 2012-24(AR)KCS 2012-25(AR)KCS 2012-26(AR)KCS 2012-27(AR)KCS 2012-28(AR)KCS 2012-29(AR)KCS 2012-30(AR)KCS 2012-31(SA)KCS 2012-33(SA)KCS 2012-34(GC)KCS 2012-35(LI)KCS 2012-36(ROP)KCS 2012-37(ROP)KCS 2012-38(SA)KCS 2012-39(SA)KCS 2012-40(SA)KCS 2012-41(TS)

FRA No.

05/23/201305/23/201305/23/201305/23/201305/23/201305/20/201305/20/201305/20/201305/20/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/27/201309/25/201309/25/201309/25/2013

09/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/2013


3211111111211111111156

10311111111121111111211211111

No. ofViolations

$7,500 $10,000 $2,500 $2,500 $5,000 $1,000 $2,500 $5,000 $2,500 $2,500 $7,500 $2,500 $5,000 $5,000 $1,000 $1,000 $2,500 $5,000 $2,500 $40,000 $17,500

$25,000 $7,500 $2,500 $2,500 $2,500 $1,000 $5,000 $2,500 $2,500 $7,500 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $1,000 $5,000 $5,000 $5,000 $2,500 $19,000 $7,500 $5,000 $5,000 $5,000 $5,000

PRCA

$5,250 $7,000 $1,750 $1,750 $3,500 $1,000 $0 $3,250 $2,500 $1,725 $5,250 $1,725 $3,450 $3,450 $750 $750 $1,725 $3,000 $1,950 $23,550 $9,375

$10,000 $5,000 $1,775 $1,775 $1,775 $750 $3,350 $1,650 $1,675 $5,250 $1,500 $3,100 $1,550 $1,550 $1,425 $1,425 $1,125 $0 $3,500 $3,500 $3,450 $0 $11,400 $5,250 $3,900 $3,900 $3,500 $3,350

SettlementAmount


12-13-13

POCA

$7,500 $10,000 $2,500 $2,500 $5,000 $1,000 $0 $5,000 $2,500 $2,500 $7,500 $2,500 $5,000 $5,000 $1,000 $1,000 $2,500 $5,000 $2,500 $40,000 $15,000

$25,000 $7,500 $2,500 $2,500 $2,500 $1,000 $5,000 $2,500 $2,500 $7,500 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $0 $5,000 $5,000 $5,000 $0 $19,000 $7,500 $5,000 $5,000 $5,000 $5,000

Case Terminated.


Case Terminated.

Case Terminated.

29

KCS 2012-42(ROP)

KCS 2012-43(ROP)KCS 2012-44(RSP)KCS 2012-45(TS)KCS 2012-46(SA)KCS 2012-47(SA)KCS 2012-48(RW)KCS 2012-49(GC)KCS 2012-50(LI)KCS 2012-52(GS)KCS 2012-53(HMT)KCS 2012-54(SA)KCS 2012-55(HMT)KCS 2012-56(AR)KCS 2012-57(AR)KCS 2012-58(AR)KCS 2012-59(AR)KCS 2012-60(AR)KCS 2012-61(AR)KCS 2012-62(AR)KCS 2012-63(RSP)KCS 2012-64(AR)KCS 2012-65(AR)KCS 2012-66(HMT)KCS 2012-67(ROP)KCS 2012-68(HMT)KCS 2012-69(ROP)KCS 2012-70(SA)KCS 2013-1(LI)KCS 2013-2(SA)KCS 2013-3(LI)KCS 2013-4(EO)KCS 2013-5(GC)KCS 2013-6(ROP)KCS 2013-7(AR)KCS 2013-8(AR)KCS 2013-9(SI)KCS 2013-10(ROP)KCS 2013-11(HMT)KCS 2013-12(TS)KCS 2013-13(SA)KCS 2013-14(ROP)KFR 2012-1(TS)KFR 2012-2(HSR)KFR 2012-3(GC)KNOR 2013-1(TS)KO 2010-2(GC)

KO 2012-1(GC)

FRA No.

09/25/2013

09/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201309/25/201301/07/201301/22/201301/22/201306/10/201309/27/2013

09/27/2013


5

23113124111111111111111141113211111115111115110

1

No. ofViolations

$39,500

$17,000 $20,000 $5,000 $2,500 $10,000 $3,000 $2,000 $10,000 $2,500 $2,000 $2,500 $6,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $9,500 $2,500 $2,500 $2,000 $9,500 $14,000 $9,500 $10,000 $2,500 $12,500 $2,500 $2,500 $5,000 $7,500 $2,500 $2,500 $1,000 $7,500 $5,000 $7,500 $5,000 $9,500 $5,000 $1,000 $6,500 $5,000 $15,500

$1,000

PRCA

$26,000

$13,090 $13,950 $3,750 $1,650 $6,800 $2,100 $1,750 $7,000 $1,700 $1,350 $1,675 $4,300 $1,675 $1,500 $1,575 $1,550 $1,550 $1,500 $1,500 $5,600 $1,950 $1,950 $1,600 $6,100 $6,000 $6,900 $7,200 $1,500 $9,600 $1,525 $1,500 $3,450 $5,250 $1,625 $1,625 $800 $5,250 $3,000 $5,550 $4,000 $6,100 $4,000 $750 $4,875 $2,500 $8,000

$0

SettlementAmount


12-13-13

POCA

$34,000

$17,000 $20,000 $5,000 $2,500 $10,000 $3,000 $2,000 $10,000 $2,500 $2,000 $2,500 $6,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $9,500 $2,500 $2,500 $2,000 $9,500 $14,000 $9,500 $10,000 $2,500 $12,500 $2,500 $2,500 $5,000 $7,500 $2,500 $2,500 $1,000 $7,500 $5,000 $7,500 $5,000 $9,500 $5,000 $1,000 $6,500 $5,000 $12,500

$0


Partially Terminated Violation(s): 2.Case Terminated.

30

KO 2012-2(SA)KO 2012-3(GC)KO 2012-4(HMT)KO 2013-1(HMT)KRR 2012-4(TS)KRR 2012-5(TS)KRSV 2012-1(ROP)KXHR 2013-1(LIS)KYLE 2010-1(TS)KYLE 2012-1(SA)LAS 2012-2(ROP)LI 2010-4(ROP)LI 2010-6(AR)LI 2012-1(PEQ)LI 2012-2(ROR)LI 2012-3(ROP)LI 2012-4(AR)LI 2012-5(PEQ)LSRC 2013-1(SI)MACZ 2010-2(AR)MACZ 2012-1(SI)MAW 2009-1(TS)MAW 2009-2(TS)MAW 2010-1(HMT)MAW 2010-2(TS)MAW 2010-3(TS)MAW 2010-4(LI)MAW 2010-5(TS)MAW 2010-6(TS)MAW 2011-1(TS)MAW 2011-2(TS)MAW 2011-3(TS)MAW 2011-4(TS)MAW 2012-1(TS)MAW 2012-2(TS)MAW 2012-3(TS)MDS 2012-1(GC)MEC 2012-1(TS)MEC 2012-2(TS)MEC 2013-1(TS)MEC 2013-2(TS)MET 2011-1(SA)MJ 2008-1(SA)MMA 2011-4(SA)MMA 2012-1(SA)MNA 2012-3(SA)MNA 2012-4(AR)MNA 2012-5(SA)MNA 2012-6(AR)

FRA No.

09/27/201309/27/201309/27/201309/27/201309/30/201309/30/201304/15/201305/23/201309/30/201309/30/201309/27/201303/26/201303/26/201303/26/201303/26/201303/26/201303/26/201303/26/201302/24/201303/05/201303/29/201305/31/201305/31/201305/31/201305/31/201305/31/201305/31/201305/31/201305/31/201305/31/201305/31/201305/31/201305/31/201305/31/201305/31/201305/31/201308/15/201309/27/201309/27/201309/27/201309/27/201304/01/201305/06/201310/05/201201/09/201309/30/201309/30/201309/30/201309/30/2013


1121131111121111121111142111111112111111311112211

No. ofViolations

$2,500 $5,000 $4,000 $7,500 $5,000 $3,000 $5,000 $1,500 $5,000 $2,500 $7,500 $19,000 $2,500 $5,000 $9,500 $1,000 $1,000 $10,000 $1,000 $2,500 $1,000 $5,000 $5,000 $20,000 $10,000 $5,000 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $10,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $15,000 $5,000 $5,000 $2,500 $5,000 $5,000 $5,000 $5,000 $2,500

PRCA

$1,900 $3,400 $2,500 $5,300 $3,400 $2,100 $3,100 $975 $3,400 $1,725 $5,000 $11,800 $0 $3,225 $6,200 $650 $650 $6,450 $1,000 $0 $900 $1,000 $1,000 $4,000 $4,000 $2,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $2,000 $1,000 $1,000 $0 $4,000 $4,200 $3,900 $11,800 $3,500 $3,000 $1,750 $2,500 $3,450 $3,450 $3,450 $1,725

SettlementAmount


12-13-13

POCA

$2,500 $5,000 $4,000 $7,500 $5,000 $3,000 $5,000 $1,500 $5,000 $2,500 $7,500 $19,000 $0 $5,000 $9,500 $1,000 $1,000 $10,000 $1,000 $0 $1,000 $5,000 $5,000 $20,000 $10,000 $5,000 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $10,000 $5,000 $5,000 $0 $5,000 $5,000 $5,000 $15,000 $5,000 $5,000 $2,500 $5,000 $5,000 $5,000 $5,000 $2,500

Case Terminated.

Case Terminated.

Case Terminated.

31

MNA 2012-7(ROP)MNBR 2010-1(TS)MNBR 2010-2(TS)MNR 2013-1(SA)MPLI 2010-1(RW)MQT 2008-2(LI)MSN 2009-2(LI)MSN 2010-1(LI)MSN 2010-3(LI)MSN 2010-4(LI)MSN 2010-5(LI)MSN 2011-2(LI)MSTR 2013-1(HMT)MVP 2008-1(LI)MVP 2008-2(ROR)MVP 2008-3(HSR)MVP 2008-4(SA)NAUG 2008-1(EQ)NCRC 2008-1(FCS)NECR 2013-1(HMT)NECR 2013-2(GC)NECR 2013-3(SA)NECX 2006-1(AD)NEGS 2006-1(HMT)NERR 2003-1(AR)NERR 2003-2(AD)NERR 2003-3(EQ)NERR 2003-4(ROR)NERR 2003-5(ROR)NERR 2003-6(TS)NERR 2003-7(HS)NERR 2004-1(RW)NERR 2005-1(HSR)NERR 2006-1(TS)NERR 2006-2(GC)NERR 2006-3(GC)NERR 2006-4(SA)NERR 2006-5(LI)NERR 2006-6(FCS)NERR 2007-2(AR)NHIR 2007-1(AD)NHN 2006-1(GC)NHN 2008-1(SA)NHN 2012-1(SA)NICD 2004-1(SI)NICD 2005-1(PEP)NICD 2005-2(PEP)NICD 2006-1(SI)NICD 2006-2(AR)

FRA No.

09/30/201309/30/201309/30/201303/08/201310/09/201202/19/201310/26/201210/26/201210/26/201210/26/201210/26/201210/26/201209/30/201310/04/201210/04/201210/04/201210/04/201204/02/201304/02/201309/30/201309/30/201309/30/201305/13/201305/13/201305/13/201305/13/201305/13/201305/13/201305/13/201305/13/201305/13/201305/13/201305/13/201305/13/201305/13/201305/13/201305/13/201305/13/201305/13/201310/26/201205/13/201312/26/201212/26/201212/26/201205/09/201305/09/201305/09/201305/09/201305/09/2013


11111211111132212713111314121123121111211321111116

No. ofViolations

$9,500 $5,000 $5,000 $5,000 $1,000 $5,000 $2,500 $5,000 $5,000 $5,000 $5,000 $2,500 $3,000 $5,000 $10,000 $1,000 $7,500 $17,000 $2,500 $3,000 $5,000 $5,000 $5,000 $12,500 $2,500 $22,500 $12,000 $2,500 $5,000 $7,500 $3,000 $2,000 $6,000 $2,500 $2,500 $5,000 $5,000 $2,000 $2,500 $1,000 $6,500 $7,500 $2,500 $5,000 $5,000 $4,000 $5,000 $5,000 $15,000

PRCA

$6,650 $2,500 $2,500 $0 $650 $0 $0 $0 $0 $0 $0 $0 $2,100 $0 $0 $0 $0 $5,495 $2,500 $2,100 $3,450 $3,450 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $4,750 $1,750 $3,500 $0 $0 $0 $0 $0

SettlementAmount


12-13-13

POCA

$9,500 $5,000 $5,000 $0 $1,000 $0 $0 $0 $0 $0 $0 $0 $3,000 $0 $0 $0 $0 $17,000 $2,500 $3,000 $5,000 $5,000 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $7,500 $2,500 $5,000 $0 $0 $0 $0 $0

Case Terminated.

Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.


Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.

Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.

32

NICD 2007-1(AR)NICD 2007-2(EQ)NICD 2007-3(GC)NICD 2007-4(GC)NICD 2007-5(GC)NICD 2008-1(LI)NICD 2008-2(RW)NICD 2008-3(LI)NICD 2008-4(ROR)NICD 2008-5(AR)NICD 2008-6(PEP)NICD 2008-7(ROP)NICD 2008-8(EQ)NJTR 2011-5(AR)NJTR 2012-3(PEQ)NJTR 2012-5(PEQ)NJTR 2012-6(AD)NJTR 2012-7(PEQ)NJTR 2012-8(ROP)NJTR 2012-9(ROP)NJTR 2012-10(SA)NJTR 2012-11(AD)NJTR 2012-12(AD)NJTR 2012-13(AD)NJTR 2012-14(PEQ)NJTR 2013-1(HS)NJTR 2013-2(PEQ)NJTR 2013-3(ROP)NJTR 2013-4(ROP)NJTR 2013-5(ROP)NJTR 2013-6(PEQ)NKCR 2012-1(SA)NKCR 2012-2(TS)NMRX 2012-1(TS)NPR 2005-1(GC)NPR 2006-1(GC)NPR 2006-2(GC)NVRR 2005-1(TS)NVRR 2005-2(RW)NVRR 2005-3(RW)NVRR 2005-4(BW)NVWT 2007-1(GC)NWR 2005-1(SA)NYA 2013-1(ROP)NYA 2013-2(SA)NYA 2013-3(ROP)NYCH 2004-1(LI)NYSW 2007-1(AD)NYSW 2007-2(AD)

FRA No.

05/09/201305/09/201305/09/201305/09/201305/09/201305/09/201305/09/201305/09/201305/09/201305/09/201305/09/201305/13/201305/09/201309/24/201309/24/201309/24/201309/24/201309/24/201309/24/201309/24/201309/24/201309/24/201309/24/201309/24/201309/24/201309/24/201309/24/201309/24/201309/24/201309/24/201309/24/201311/02/201204/02/201311/16/201205/13/201305/13/201305/13/201305/13/201305/13/201305/13/201305/13/201310/24/201205/13/201305/21/201305/21/201307/18/201305/13/201310/03/201210/03/2012


13018116111231151125315111312114111112111211111211121

No. ofViolations

$2,500 $30,000 $5,000 $8,000 $1,000 $2,500 $6,000 $2,500 $5,000 $2,500 $6,500 $15,000 $2,500 $2,500 $27,000 $5,000 $5,000 $10,000 $32,000 $22,500 $5,000 $25,000 $27,500 $37,500 $5,000 $2,000 $5,000 $9,500 $34,000 $9,500 $5,000 $2,500 $2,500 $12,000 $11,000 $5,000 $2,500 $3,000 $2,500 $5,000 $5,000 $1,000 $5,000 $17,000 $5,000 $7,500 $5,000 $3,500 $2,500

PRCA

$0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $1,250 $19,000 $3,500 $3,500 $7,100 $22,750 $16,000 $3,500 $17,500 $19,250 $26,250 $3,550 $1,450 $3,550 $6,700 $24,000 $6,725 $3,550 $2,500 $1,875 $9,350 $0 $0 $0 $0 $0 $0 $0 $0 $0 $17,000 $5,000 $5,000 $0 $2,450 $1,750

SettlementAmount


12-13-13

POCA

$0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $2,500 $27,000 $5,000 $5,000 $10,000 $32,000 $22,500 $5,000 $25,000 $27,500 $37,500 $5,000 $2,000 $5,000 $9,500 $34,000 $9,500 $5,000 $2,500 $2,500 $12,000 $0 $0 $0 $0 $0 $0 $0 $0 $0 $17,000 $5,000 $7,500 $0 $3,500 $2,500

Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.

Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.

Case Terminated.

33

NYSW 2008-1(GC)NYSW 2011-1(SA)NYSW 2012-1(GC)OHCR 2010-3(HMT)OPR 2008-1(TS)OPR 2008-2(TS)PAL 2012-1(TS)PAL 2012-2(TS)PAL 2013-1(TS)PAS 2012-1(TS)PAS 2013-1(TS)PAS 2013-2(TS)PBR 2002-1(ROP)PBR 2007-1(AR)PCC 2012-1(GC)PNR 2011-2(ROP)PNR 2013-1(HMT)PNWR 2012-3(TS)PNWR 2012-4(FCS)PNWR 2012-5(TS)PNWR 2012-6(TS)PNWR 2012-7(TS)POHC 2011-1(LI)PSAP 2010-2(EO)PSAP 2010-3(AR)PSAP 2010-4(AR)PSAP 2012-3(TS)PSAP 2012-4(TS)PSAP 2012-5(ROP)PSAP 2012-6(TS)PSAP 2012-7(RW)PSAP 2012-8(TS)PSBX 2013-1(SA)PSRR 2012-1(HSR)PTO 2013-2(SA)PW 2011-14(ROR)PW 2011-16(EQ)PW 2011-18(AD)PW 2011-19(AD)PW 2012-1(TS)PW 2012-2(SA)PW 2013-1(GC)RAIL 2011-2(HMT)RAIL 2013-1(HMT)RBMN 2012-4(TS)RBMN 2012-5(EP)RJCC 2012-1(GC)RJCC 2013-1(AD)RJCC 2013-2(AD)

FRA No.

10/03/201210/03/201210/03/201209/13/201302/11/201307/24/201312/21/201212/28/201209/03/201309/27/201309/27/201309/27/201303/20/201303/27/201309/27/201305/30/201305/30/201305/24/201305/24/201305/24/201305/24/201305/24/201309/13/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201305/31/201309/27/201309/11/201305/31/201311/05/201211/05/201211/05/201211/05/201205/29/201305/29/201309/19/201309/19/201305/01/201305/01/201311/06/201207/24/201307/24/2013


11111111111112211211214111121111111122212111261112

No. ofViolations

$5,000 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $1,000 $1,000 $5,000 $11,000 $5,000 $7,500 $7,500 $7,500 $5,000 $2,500 $2,500 $5,000 $2,500 $10,000 $2,500 $2,500 $2,500 $2,500 $10,000 $9,500 $5,000 $3,000 $33,500 $5,000 $1,000 $5,000 $10,000 $4,500 $7,500 $2,500 $2,000 $5,000 $2,500 $4,000 $9,000 $6,000 $1,000 $5,000 $5,000 $5,000

PRCA

$4,000 $1,750 $3,750 $3,200 $0 $0 $5,000 $5,000 $5,000 $750 $750 $3,900 $0 $0 $5,000 $5,700 $2,000 $3,750 $1,750 $1,625 $3,500 $1,800 $7,100 $1,675 $1,675 $1,675 $1,675 $0 $6,650 $3,400 $2,100 $22,780 $3,500 $700 $5,000 $7,600 $3,500 $6,000 $2,000 $1,500 $3,800 $1,800 $0 $0 $0 $0 $4,000 $4,500 $4,250

SettlementAmount


12-13-13

POCA

$5,000 $2,500 $5,000 $5,000 $0 $0 $5,000 $5,000 $5,000 $1,000 $1,000 $5,000 $0 $0 $7,500 $7,500 $7,500 $5,000 $2,500 $2,500 $5,000 $2,500 $10,000 $2,500 $2,500 $2,500 $2,500 $0 $9,500 $5,000 $3,000 $33,500 $5,000 $1,000 $5,000 $10,000 $4,500 $7,500 $2,500 $2,000 $5,000 $2,500 $0 $0 $0 $0 $5,000 $5,000 $5,000

Case Terminated.Case Terminated.


Case Terminated.


34

RJCC 2013-3(AD)RJCC 2013-4(AD)RJCP 2012-2(TS)RLIX 2013-1(HS)RPRC 2012-1(SA)RPRC 2012-2(ROP)RSIX 2007-1(TS)SB 2010-1(FCS)SB 2010-2(SA)SB 2012-1(SA)SBS 2012-2(SA)SBS 2013-1(SA)SCAX 2012-1(AR)SCAX 2013-1(AR)SCCT 2012-1(GC)SCS 2012-1(AD)SCXY 2007-2(SA)SCXY 2009-1(LI)SDNX 2013-1(GC)SDTI 2013-1(GC)SEPA 2012-9(SI)SEPA 2012-10(SI)SEPA 2012-11(GC)SEPA 2013-1(AD)SEPA 2013-2(RSP)SEPA 2013-3(RSP)SEPA 2013-4(AD)SEPA 2013-5(EQ)SERA 2005-3(SA)SERA 2008-1(TS)SERA 2008-2(TS)SERA 2008-3(TS)SERA 2008-4(TS)SERA 2008-5(TS)SERA 2008-6(RW)SERA 2009-1(RW)SERA 2009-2(HMT)SERA 2011-1(TS)SERA 2011-2(GC)SERA 2011-3(TS)SERA 2012-1(GC)SFRV 2012-2(AD)SFRV 2012-3(ROP)SFRV 2012-4(AR)SFRV 2012-5(AR)SFRV 2012-6(AR)SFRV 2012-7(LI)SFRV 2012-8(ROP)SFRV 2012-9(LI)

FRA No.

07/24/201307/24/201310/23/201204/18/201309/20/201309/20/201305/29/201309/30/201309/30/201309/30/201310/16/201203/27/201304/09/201304/09/201303/04/201304/16/201310/18/201210/12/201204/15/201305/22/201303/11/201303/11/201303/11/201303/11/201309/26/201309/26/201309/26/201309/26/201303/26/201303/01/201303/01/201303/01/201303/01/201305/29/201305/29/201305/29/201305/29/201305/29/201311/19/201205/29/201305/29/201311/14/201211/14/201211/14/201211/14/201211/14/201211/14/201211/14/201211/14/2012


2521121112111111111211211112112311111112111111112

No. ofViolations

$2,000 $12,500 $5,000 $1,000 $5,000 $15,000 $5,000 $2,500 $2,500 $10,000 $2,500 $10,000 $1,000 $2,500 $5,000 $2,500 $5,000 $2,500 $2,500 $5,000 $2,500 $5,000 $2,000 $2,500 $5,000 $5,000 $2,500 $2,000 $5,000 $2,500 $6,000 $6,000 $1,000 $1,000 $1,000 $2,000 $2,000 $2,500 $2,500 $5,000 $2,500 $1,000 $9,500 $2,500 $2,500 $2,500 $2,500 $9,500 $3,000

PRCA

$1,700 $11,250 $5,000 $850 $4,000 $9,750 $0 $1,250 $1,250 $5,000 $1,750 $0 $650 $650 $5,000 $1,250 $0 $0 $0 $5,000 $1,625 $3,250 $1,300 $1,250 $2,500 $2,500 $1,600 $1,300 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $650 $0 $0 $650 $6,000 $1,400 $1,250 $0 $1,500 $6,000 $1,800

SettlementAmount


12-13-13

POCA

$2,000 $12,500 $5,000 $1,000 $5,000 $15,000 $0 $2,500 $2,500 $10,000 $2,500 $0 $1,000 $2,500 $5,000 $2,500 $0 $0 $0 $5,000 $2,500 $5,000 $2,000 $2,500 $5,000 $5,000 $2,500 $2,000 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $2,500 $0 $0 $1,000 $9,500 $2,500 $2,500 $0 $2,500 $9,500 $3,000

Case Terminated.

Case Terminated.


Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.


Case Terminated.

35

SGLR 2009-1(SI)SGLR 2011-2(ROP)SGLR 2011-3(SA)SGLR 2011-4(ROP)SGLR 2011-5(SA)SGLR 2011-6(RSP)SGLR 2011-7(ROP)SGLR 2011-8(SA)SJVR 2010-2(GC)SJVR 2012-4(GC)SJVR 2013-1(GC)SJVR 2013-2(ROP)SKOL 2013-1(RW)SKOL 2013-2(LI)SKOL 2013-3(ROP)SKOL 2013-4(RSP)SLGG 2008-1(SA)SLR 2013-1(TS)SLRG 2008-4(AD)SLRG 2008-6(AD)SLRG 2008-7(AR)SLRG 2008-8(TS)SLRG 2008-9(AD)SLRG 2010-1(GC)SLRG 2011-2(TS)SLRG 2012-1(GC)SLRG 2012-2(ROP)SLRG 2012-3(HMT)SLRG 2012-4(TS)SLWC 2012-1(SA)SLWC 2013-1(ROP)SLWC 2013-2(SA)SMA 2009-1(SA)SMV 2009-1(GC)SMV 2010-1(GC)SMV 2010-2(TS)SMW 2008-3(AR)SNC 2012-1(GC)SOU 2008-236(SA)SOU 2008-248(AR)SOU 2009-157(HMT)SOU 2010-62(ROP)SOU 2010-172(ROP)SOU 2011-285(SA)SOU 2012-10(HS)SOU 2012-28(HS)SOU 2012-30(HSR)SOU 2012-50(HMT)

SOU 2012-52(LI)

FRA No.

04/04/201304/04/201304/04/201304/04/201304/04/201304/04/201304/04/201304/04/201309/30/201309/30/201309/30/201309/30/201309/27/201309/27/201309/27/201309/27/201302/27/201304/09/201311/21/201211/21/201211/21/201211/21/201211/21/201211/21/201211/21/201211/21/201211/21/201211/21/201211/21/201209/27/201309/27/201309/27/201302/25/201305/08/201305/08/201305/08/201302/27/201311/21/201209/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/2013


211111112411111112242375221221112132121413242131

1

No. ofViolations

$3,500 $9,500 $5,000 $7,500 $2,500 $5,000 $7,500 $5,000 $5,000 $9,500 $2,500 $7,500 $3,000 $5,000 $7,500 $9,500 $5,000 $10,000 $6,000 $11,000 $5,000 $3,000 $22,500 $12,000 $10,000 $5,000 $5,000 $9,500 $7,000 $5,000 $7,500 $5,000 $5,000 $2,500 $8,500 $5,000 $2,500 $7,500 $1,000 $10,000 $2,000 $26,500 $17,000 $20,000 $2,000 $1,000 $3,000 $6,000

$2,500

PRCA

$0 $0 $0 $0 $0 $0 $0 $0 $3,450 $6,650 $1,725 $5,250 $1,500 $3,200 $5,000 $6,500 $0 $0 $3,150 $5,650 $2,500 $1,950 $11,250 $6,300 $6,500 $3,250 $3,250 $6,650 $4,550 $3,400 $5,000 $3,400 $0 $1,565 $5,310 $3,125 $0 $4,875 $750 $5,750 $1,000 $17,800 $12,600 $10,000 $1,400 $750 $2,010 $3,400

$1,600

SettlementAmount


12-13-13

POCA

$0 $0 $0 $0 $0 $0 $0 $0 $5,000 $9,500 $2,500 $7,500 $3,000 $5,000 $7,500 $9,500 $0 $0 $6,000 $11,000 $5,000 $3,000 $22,500 $12,000 $10,000 $5,000 $5,000 $9,500 $7,000 $5,000 $7,500 $5,000 $0 $2,500 $8,500 $5,000 $0 $7,500 $1,000 $10,000 $2,000 $26,500 $17,000 $20,000 $2,000 $1,000 $3,000 $4,000

$2,500

Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.


Case Terminated.

Case Terminated.


36

SOU 2012-55(SA)SOU 2012-56(SA)SOU 2012-58(LI)SOU 2012-59(RSP)SOU 2012-62(SA)SOU 2012-63(HMT)SOU 2012-64(FCS)SOU 2012-65(FCS)SOU 2012-66(SA)SOU 2012-67(SA)SOU 2012-68(SA)SOU 2012-69(SA)SOU 2012-70(GC)SOU 2012-71(FCS)SOU 2012-72(GC)SOU 2012-73(SA)SOU 2012-74(ROR)SOU 2012-75(FCS)SOU 2012-76(SA)SOU 2012-77(GC)SOU 2012-78(SA)SOU 2012-79(SA)SOU 2012-80(ROP)SOU 2012-81(TS)SOU 2012-82(ROP)SOU 2012-83(HS)SOU 2012-84(FCS)SOU 2012-85(FCS)SOU 2012-86(SA)SOU 2012-87(LI)SOU 2012-88(HMT)SOU 2012-89(FCS)SOU 2012-90(SA)SOU 2012-91(SA)SOU 2012-92(HS)SOU 2012-93(HS)SOU 2012-94(HS)SOU 2012-95(HS)SOU 2012-96(RSP)SOU 2012-97(HMT)SOU 2012-98(LI)SOU 2012-99(HSR)SOU 2012-100(FCS)SOU 2012-101(SA)SOU 2012-102(HS)SOU 2012-103(HS)SOU 2012-104(SA)SOU 2012-106(HMT)SOU 2012-107(HMT)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


31115331122311311111111211151312321111111411111231

No. ofViolations

$10,000 $5,000 $2,500 $37,500 $10,000 $19,000 $5,000 $2,500 $10,000 $10,000 $15,000 $2,500 $5,000 $10,000 $1,000 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $12,500 $1,000 $7,500 $1,000 $15,000 $2,500 $10,000 $2,500 $10,000 $7,500 $10,000 $5,000 $1,000 $1,000 $1,000 $1,000 $1,000 $7,500 $7,000 $1,000 $2,500 $5,000 $1,000 $1,000 $7,500 $12,000 $4,000

PRCA

$6,500 $3,350 $1,600 $21,850 $6,500 $4,750 $3,400 $1,600 $6,400 $6,400 $9,700 $1,700 $3,400 $6,500 $725 $1,700 $0 $3,300 $3,300 $3,400 $3,000 $1,700 $6,300 $700 $4,850 $750 $10,000 $1,600 $5,600 $1,650 $6,500 $4,800 $4,650 $3,250 $650 $650 $650 $650 $650 $5,000 $5,300 $700 $1,700 $3,250 $650 $650 $4,900 $7,250 $2,600

SettlementAmount


12-13-13

POCA

$10,000 $5,000 $2,500 $37,500 $10,000 $11,500 $5,000 $2,500 $10,000 $10,000 $15,000 $2,500 $5,000 $10,000 $1,000 $2,500 $0 $5,000 $5,000 $5,000 $5,000 $2,500 $12,500 $1,000 $7,500 $1,000 $15,000 $2,500 $10,000 $2,500 $10,000 $7,500 $5,000 $5,000 $1,000 $1,000 $1,000 $1,000 $1,000 $7,500 $7,000 $1,000 $2,500 $5,000 $1,000 $1,000 $7,500 $12,000 $4,000


Case Terminated.


37

SOU 2012-108(HSR)SOU 2012-109(LI)SOU 2012-110(SA)SOU 2012-111(FCS)SOU 2012-112(ROP)SOU 2012-113(SA)SOU 2012-114(SA)SOU 2012-115(TH)SOU 2012-117(GC)SOU 2012-118(LI)SOU 2012-119(FCS)SOU 2012-120(SA)SOU 2012-121(SA)SOU 2012-122(SA)SOU 2012-123(GC)SOU 2012-124(RW)SOU 2012-125(LI)SOU 2012-126(ROP)SOU 2012-127(SA)SOU 2012-128(ROP)SOU 2012-129(FCS)SOU 2012-130(HMT)SOU 2012-131(FCS)SOU 2012-132(ROP)SOU 2012-133(TS)SOU 2012-134(SA)SOU 2012-135(ROP)SOU 2012-136(SA)SOU 2012-137(SA)SOU 2012-138(SA)SOU 2012-139(SA)SOU 2012-140(FCS)SOU 2012-141(FCS)SOU 2012-142(FCS)SOU 2012-143(HMT)SOU 2012-144(SA)SOU 2012-145(FCS)SOU 2012-146(EQ)SOU 2012-147(ROP)SOU 2012-148(SA)SOU 2012-149(RW)SOU 2012-150(SA)SOU 2012-151(FCS)SOU 2012-152(HMT)SOU 2012-153(RW)SOU 2012-154(LI)SOU 2012-155(GC)SOU 2012-156(HMT)

SOU 2012-157(SA)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/2013


112114111125231112212131251134213112311211121211

3

No. ofViolations

$1,000 $2,500 $10,000 $5,000 $5,000 $12,500 $2,500 $5,000 $5,000 $2,500 $5,000 $22,500 $7,500 $15,000 $5,000 $1,000 $2,500 $12,500 $10,000 $5,000 $5,000 $1,000 $7,500 $5,000 $10,000 $20,000 $5,000 $5,000 $7,500 $15,000 $10,000 $2,500 $7,500 $2,500 $2,500 $7,500 $7,500 $1,000 $5,000 $7,500 $3,000 $2,500 $2,500 $9,500 $3,000 $5,000 $2,500 $6,000

$15,000

PRCA

$700 $1,600 $6,500 $3,300 $3,200 $8,000 $1,700 $3,500 $3,400 $1,600 $3,400 $14,000 $5,000 $9,750 $3,400 $725 $1,500 $8,000 $6,500 $3,250 $3,200 $750 $4,800 $3,500 $6,400 $12,500 $3,200 $3,250 $4,600 $9,000 $6,450 $1,700 $4,700 $1,700 $1,700 $4,800 $4,800 $725 $2,750 $5,000 $2,100 $1,600 $1,700 $6,250 $650 $3,100 $1,500 $2,500

$8,700

SettlementAmount


12-13-13

POCA

$1,000 $2,500 $10,000 $5,000 $5,000 $12,500 $2,500 $5,000 $5,000 $2,500 $5,000 $22,500 $7,500 $15,000 $5,000 $1,000 $2,500 $12,500 $10,000 $5,000 $5,000 $1,000 $7,500 $5,000 $10,000 $20,000 $5,000 $5,000 $7,500 $15,000 $10,000 $2,500 $7,500 $2,500 $2,500 $7,500 $7,500 $1,000 $5,000 $7,500 $3,000 $2,500 $2,500 $9,500 $3,000 $5,000 $2,500 $4,000

$15,000


38

SOU 2012-158(SA)SOU 2012-159(SA)SOU 2012-160(LI)SOU 2012-161(HMT)SOU 2012-162(FCS)SOU 2012-163(SA)SOU 2012-164(SA)SOU 2012-165(SA)SOU 2012-166(HMT)SOU 2012-167(LI)SOU 2012-168(GC)SOU 2012-169(ROP)SOU 2012-170(ROP)SOU 2012-171(GS)SOU 2012-172(HMT)SOU 2012-173(ROP)SOU 2012-174(ROP)SOU 2012-181(RW)SOU 2012-182(TS)SOU 2012-183(TS)SOU 2012-184(HMT)SOU 2012-185(SA)SOU 2012-186(SA)SOU 2012-187(SA)SOU 2012-201(ROP)SOU 2012-212(LI)SOU 2012-214(ROP)SOU 2012-215(LI)SOU 2012-216(TS)SOU 2012-217(SA)SOU 2012-222(ROP)SOU 2012-223(ROP)SOU 2012-224(SA)SOU 2012-235(LI)SOU 2012-236(SA)SOU 2012-237(HMT)SOU 2012-238(GC)SOU 2012-241(TS)SOU 2012-242(SA)SOU 2012-243(HMT)SOU 2012-244(SA)SOU 2012-245(SA)SOU 2012-246(FCS)SOU 2012-247(ROP)SOU 2012-248(SA)SOU 2012-249(SA)SOU 2012-251(LI)SOU 2012-252(HMT)SOU 2012-253(SA)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


4211442241111161111241111111111111123127121134141

No. ofViolations

$17,500 $7,500 $2,500 $5,000 $10,000 $12,500 $7,500 $5,000 $23,500 $2,500 $2,500 $9,500 $7,500 $2,500 $26,000 $7,500 $7,500 $3,000 $1,000 $10,000 $20,000 $5,000 $5,000 $5,000 $7,500 $2,500 $7,500 $2,500 $5,000 $5,000 $7,500 $9,500 $2,500 $2,500 $5,000 $9,500 $12,500 $5,000 $10,000 $14,000 $5,000 $10,000 $5,000 $5,000 $15,000 $10,000 $2,500 $26,500 $2,500

PRCA

$11,500 $5,200 $1,700 $3,525 $6,500 $8,300 $5,000 $3,200 $15,500 $1,600 $1,750 $6,100 $4,900 $1,700 $17,500 $4,900 $0 $2,100 $650 $6,400 $13,850 $3,600 $3,300 $3,300 $3,000 $1,500 $5,000 $1,600 $3,300 $3,500 $5,000 $6,200 $1,700 $1,600 $3,500 $6,000 $8,400 $3,200 $7,000 $9,150 $3,300 $6,800 $3,300 $3,300 $9,700 $6,400 $1,600 $16,000 $1,600

SettlementAmount


12-13-13

POCA

$17,500 $7,500 $2,500 $5,000 $10,000 $12,500 $7,500 $5,000 $23,500 $2,500 $2,500 $9,500 $7,500 $2,500 $26,000 $7,500 $0 $3,000 $1,000 $10,000 $20,000 $5,000 $5,000 $5,000 $7,500 $2,500 $7,500 $2,500 $5,000 $5,000 $7,500 $9,500 $2,500 $2,500 $5,000 $9,500 $12,500 $5,000 $10,000 $14,000 $5,000 $10,000 $5,000 $5,000 $15,000 $10,000 $2,500 $26,500 $2,500

Case Terminated.

39

SOU 2012-254(SA)SOU 2012-265(LI)SOU 2012-266(AD)SOU 2012-267(HMT)SOU 2012-268(FCS)SOU 2012-274(SA)SOU 2012-275(SA)SOU 2012-276(ROP)SOU 2012-277(LI)SOU 2012-278(FCS)SOU 2012-279(SI)SOU 2012-280(SA)SOU 2012-281(SA)SOU 2012-297(SI)SOU 2012-298(GC)SOU 2012-300(HSR)SOU 2012-301(SA)SOU 2012-302(LI)SOU 2012-303(HMT)

SOU 2012-304(ROP)SOU 2012-305(HMT)SOU 2012-320(LI)SOU 2012-356(RSP)SOU 2012-358(TS)SOU 2012-371(LI)SOU 2013-1(RSP)SOU 2013-2(LI)SOU 2013-3(FCS)SOU 2013-4(FCS)SOU 2013-5(SA)SOU 2013-6(SA)SOU 2013-7(SA)SOU 2013-8(SA)SOU 2013-9(LI)SOU 2013-10(RW)SOU 2013-11(HMT)SOU 2013-13(SA)SOU 2013-14(SA)SOU 2013-15(ROP)SOU 2013-16(ROP)SOU 2013-17(HS)SOU 2013-19(SA)SOU 2013-20(TS)SOU 2013-21(LI)SOU 2013-22(GC)SOU 2013-23(FCS)SOU 2013-24(FCS)SOU 2013-25(FCS)SOU 2013-26(FCS)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


1132114111112126414

121112111111115141122111111111

No. ofViolations

$2,500 $2,500 $7,500 $4,000 $2,500 $2,500 $15,000 $1,000 $2,500 $2,500 $1,000 $5,000 $7,500 $1,000 $6,000 $6,000 $20,000 $2,500 $22,500

$2,000 $9,500 $2,500 $2,500 $1,000 $5,000 $1,000 $2,000 $5,000 $5,000 $2,500 $5,000 $2,500 $2,500 $11,500 $1,000 $11,000 $5,000 $5,000 $15,000 $2,000 $1,000 $5,000 $1,000 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500

PRCA

$1,700 $1,500 $5,000 $2,900 $1,700 $1,600 $10,000 $650 $1,650 $1,700 $650 $3,500 $5,000 $650 $4,250 $3,900 $14,250 $1,500 $12,000

$1,300 $6,100 $1,600 $1,750 $650 $3,300 $750 $1,500 $3,400 $3,400 $1,600 $3,300 $1,700 $1,700 $7,600 $650 $7,250 $3,400 $3,400 $9,800 $1,300 $750 $3,300 $700 $1,600 $3,000 $1,700 $1,700 $1,700 $1,700

SettlementAmount


12-13-13

POCA

$2,500 $2,500 $7,500 $4,000 $2,500 $2,500 $15,000 $1,000 $2,500 $2,500 $1,000 $5,000 $7,500 $1,000 $6,000 $6,000 $20,000 $2,500 $17,000

$2,000 $9,500 $2,500 $2,500 $1,000 $5,000 $1,000 $2,000 $5,000 $5,000 $2,500 $5,000 $2,500 $2,500 $11,500 $1,000 $11,000 $5,000 $5,000 $15,000 $2,000 $1,000 $5,000 $1,000 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500


40

SOU 2013-27(TS)SOU 2013-28(TS)SOU 2013-29(TS)SOU 2013-30(FCS)SOU 2013-31(ROP)SOU 2013-32(FCS)SOU 2013-33(FCS)SOU 2013-34(FCS)SOU 2013-35(TS)SOU 2013-36(ROP)SOU 2013-37(LI)SOU 2013-38(FCS)SOU 2013-39(SA)SOU 2013-40(SA)SOU 2013-41(FCS)SOU 2013-42(SA)SOU 2013-43(SA)SOU 2013-44(SA)SOU 2013-45(ROP)SOU 2013-46(HS)SOU 2013-47(HS)SOU 2013-48(SA)SOU 2013-49(SA)SOU 2013-50(SA)SOU 2013-51(SA)SOU 2013-52(SA)SOU 2013-53(LI)SOU 2013-54(GC)SOU 2013-55(LI)SOU 2013-56(LI)SOU 2013-58(HMT)SOU 2013-59(SA)SOU 2013-62(SA)SOU 2013-63(SA)SOU 2013-65(ROP)SOU 2013-66(ROP)SOU 2013-68(ROP)SOU 2013-69(FCS)SOU 2013-71(SA)SOU 2013-74(HSR)SOU 2013-75(HSR)SOU 2013-77(HSR)SOU 2013-78(SA)SS 2013-1(SA)SS 2013-2(ROP)ST 2012-2(SA)ST 2012-3(GC)ST 2012-4(HS)ST 2012-5(HS)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/16/201309/16/201309/27/201309/27/201309/27/201309/27/2013


4181111111311111111111111111111111111111111111111

No. ofViolations

$16,000 $5,000 $33,500 $2,500 $7,500 $2,500 $2,500 $2,500 $5,000 $9,500 $7,500 $2,500 $5,000 $5,000 $2,500 $5,000 $5,000 $5,000 $7,500 $1,000 $1,000 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,000 $5,000 $5,000 $5,000 $2,000 $2,000 $2,000 $2,500 $5,000 $1,000 $2,500 $1,000 $5,000 $2,500 $7,500 $5,000 $5,000 $1,000 $1,000

PRCA

$10,000 $3,250 $21,175 $1,700 $4,875 $1,700 $1,600 $1,600 $3,250 $6,250 $4,800 $1,600 $3,600 $3,300 $1,700 $3,500 $3,500 $3,500 $4,800 $650 $650 $3,500 $3,500 $3,500 $3,400 $3,500 $1,700 $900 $1,700 $1,700 $1,250 $3,500 $3,200 $3,450 $1,300 $1,400 $1,300 $1,700 $3,300 $700 $1,500 $750 $3,500 $2,500 $7,500 $3,500 $4,000 $750 $750

SettlementAmount


12-13-13

POCA

$16,000 $5,000 $33,500 $2,500 $7,500 $2,500 $2,500 $2,500 $5,000 $9,500 $7,500 $2,500 $5,000 $5,000 $2,500 $5,000 $5,000 $5,000 $7,500 $1,000 $1,000 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,000 $5,000 $5,000 $5,000 $2,000 $2,000 $2,000 $2,500 $5,000 $1,000 $2,500 $1,000 $5,000 $2,500 $7,500 $5,000 $5,000 $1,000 $1,000

41

ST 2013-2(AR)ST 2013-3(HSR)ST 2013-5(HS)ST 2013-6(SA)ST 2013-7(SA)STE 2008-1(TS)STMA 2008-2(SA)SW 2011-3(ROR)SW 2011-4(AR)SW 2011-5(AR)SW 2011-6(EQ)SW 2011-7(AD)SW 2011-8(AD)SW 2011-9(AR)SW 2011-10(AR)SW 2012-1(ROP)SW 2012-3(AD)

SW 2012-4(ROP)SW 2012-5(TS)SW 2012-6(ROP)SW 2012-7(ROP)SW 2013-1(ROP)SW 2013-2(SA)SW 2013-3(RSP)SW 2013-4(ROP)SWP 2012-1(LI)SWP 2013-2(HMT)TCT 2011-3(RW)TCT 2012-1(LI)TIBR 2012-1(SA)TIBR 2012-2(GC)TIBR 2012-3(SA)TIBR 2013-1(HMT)TIBR 2013-2(ROP)TIBR 2013-3(TS)TMBL 2012-1(TS)TMBL 2012-2(TS)TMBL 2012-3(TS)TN 2011-1(SA)TN 2012-1(SA)TRMW 2012-2(TS)TRRA 2012-2(BW)TXPF 2012-1(ROP)TXPF 2012-2(ROR)TXPF 2012-3(EQ)TXPF 2012-4(AR)TXPF 2012-5(RSP)TXPF 2012-6(ROP)TXPF 2012-7(AD)

FRA No.

09/27/201309/27/201309/27/201309/27/201309/27/201302/27/201302/27/201306/03/201306/03/201306/03/201306/03/201306/03/201306/03/201306/03/201306/03/201306/03/201306/03/2013

06/03/201306/03/201306/03/201306/03/201306/03/201306/03/201306/03/201306/03/201305/13/201305/13/201301/08/201302/27/201309/27/201309/27/201309/27/201309/27/201309/27/201309/27/201305/30/201305/30/201305/30/201306/28/201306/28/201305/30/201311/02/201203/11/201303/11/201303/11/201303/11/201303/11/201303/11/201303/11/2013


11211112113311212

13111121113111121111411111112111

No. ofViolations

$2,500 $1,000 $2,000 $2,500 $10,000 $2,500 $5,000 $17,000 $2,500 $2,500 $7,500 $7,500 $5,000 $1,000 $3,500 $7,500 $10,000

$7,500 $9,500 $7,500 $7,500 $7,500 $5,000 $10,500 $7,500 $2,500 $1,500 $6,000 $2,500 $5,000 $5,000 $5,000 $4,000 $7,500 $5,000 $1,000 $2,500 $11,000 $5,000 $2,500 $1,000 $25,000 $9,500 $5,000 $5,000 $3,500 $9,500 $7,500 $5,000

PRCA

$1,750 $750 $1,400 $1,900 $7,800 $0 $0 $9,400 $1,600 $1,600 $4,500 $4,500 $3,000 $650 $2,150 $5,000 $5,000

$5,200 $6,300 $5,200 $0 $4,500 $3,200 $7,650 $5,000 $1,250 $800 $4,500 $2,500 $0 $3,400 $3,400 $2,700 $5,000 $3,400 $650 $1,700 $6,500 $3,250 $1,500 $650 $25,000 $5,500 $2,900 $2,900 $1,900 $5,500 $5,150 $2,900

SettlementAmount


12-13-13

POCA

$2,500 $1,000 $2,000 $2,500 $10,000 $0 $0 $17,000 $2,500 $2,500 $7,500 $7,500 $5,000 $1,000 $3,500 $7,500 $7,500

$7,500 $9,500 $7,500 $0 $7,500 $5,000 $10,500 $7,500 $2,500 $1,500 $6,000 $2,500 $0 $5,000 $5,000 $4,000 $7,500 $5,000 $1,000 $2,500 $11,000 $5,000 $2,500 $1,000 $25,000 $9,500 $5,000 $5,000 $3,500 $9,500 $7,500 $5,000



Case Terminated.

Case Terminated.

42

TXPF 2012-8(RW)TXPF 2012-10(TS)UFRC 2009-1(ROR)UP 2009-11(TS)UP 2009-226(SA)UP 2009-413(HMT)UP 2009-423(HMT)UP 2009-428(SA)UP 2009-491(SA)UP 2010-101(HMT)UP 2010-145(EQ)UP 2010-195(HMT)UP 2010-219(HMT)UP 2010-377(FCS)UP 2010-433(SA)UP 2010-440(ROP)UP 2010-462(SA)UP 2011-41(ROP)UP 2011-201(SA)UP 2011-282(ROP)

UP 2011-311(TS)UP 2011-315(SA)UP 2011-316(SA)UP 2011-385(TS)UP 2011-449(GC)UP 2011-507(SA)UP 2011-531(TS)UP 2012-8(ROP)

UP 2012-20(HMT)UP 2012-25(SA)UP 2012-44(LI)UP 2012-48(HS)UP 2012-52(HSR)UP 2012-56(TS)UP 2012-60(FCS)UP 2012-61(FCS)UP 2012-64(SA)UP 2012-68(LI)UP 2012-69(LI)UP 2012-72(SI)UP 2012-74(SA)UP 2012-75(SA)UP 2012-77(HMT)UP 2012-78(FCS)UP 2012-79(FCS)UP 2012-80(SI)UP 2012-82(HMT)UP 2012-83(FCS)

FRA No.

03/11/201303/11/201311/16/201209/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


4111521111411112243155

72417453

52113354213234115313

No. ofViolations

$14,000 $5,000 $9,500 $24,000 $10,000 $5,000 $5,000 $5,000 $5,000 $28,500 $5,000 $2,000 $64,500 $7,500 $7,500 $22,500 $10,000 $7,500 $25,000 $32,000

$16,500 $7,500 $20,000 $1,000 $35,000 $20,000 $20,000 $20,000

$25,000 $7,500 $1,000 $1,000 $4,500 $7,500 $17,500 $10,000 $10,000 $2,500 $7,500 $2,000 $10,000 $12,500 $5,000 $5,000 $22,500 $7,500 $2,500 $7,500

PRCA

$8,000 $3,150 $4,250 $18,500 $7,000 $3,350 $3,350 $3,400 $3,400 $19,000 $3,400 $1,400 $42,500 $4,875 $5,400 $16,200 $7,000 $5,200 $17,000 $17,700

$12,500 $5,300 $15,500 $900 $24,250 $15,050 $15,000 $11,600

$16,500 $5,400 $775 $775 $2,925 $5,400 $11,500 $6,600 $7,500 $1,700 $5,300 $1,500 $7,500 $8,700 $3,400 $3,300 $15,100 $5,400 $1,700 $4,875

SettlementAmount


12-13-13

POCA

$14,000 $5,000 $9,500 $24,000 $10,000 $5,000 $5,000 $5,000 $5,000 $28,500 $5,000 $2,000 $64,500 $7,500 $7,500 $22,500 $10,000 $7,500 $25,000 $24,500

$16,500 $7,500 $20,000 $1,000 $35,000 $20,000 $20,000 $14,500

$25,000 $7,500 $1,000 $1,000 $4,500 $7,500 $17,500 $10,000 $10,000 $2,500 $7,500 $2,000 $10,000 $12,500 $5,000 $5,000 $22,500 $7,500 $2,500 $7,500

Partially Terminated Violation(s): 1,5.


43

UP 2012-84(SI)UP 2012-85(SA)UP 2012-86(SA)UP 2012-87(FCS)UP 2012-88(SI)UP 2012-89(ROP)

UP 2012-90(LI)UP 2012-91(TS)UP 2012-92(TS)UP 2012-93(FCS)UP 2012-94(SA)UP 2012-95(ROP)UP 2012-96(SI)UP 2012-97(SA)UP 2012-98(HMT)UP 2012-99(GC)UP 2012-100(SI)UP 2012-101(SI)UP 2012-102(TS)UP 2012-103(FCS)UP 2012-104(FCS)UP 2012-105(FCS)UP 2012-106(FCS)UP 2012-107(SA)UP 2012-108(TS)UP 2012-109(ROP)UP 2012-110(SI)UP 2012-111(SA)UP 2012-112(LI)UP 2012-113(FCS)UP 2012-114(HMT)UP 2012-115(HMT)UP 2012-116(HMT)UP 2012-117(HMT)UP 2012-118(ROP)UP 2012-119(ROP)UP 2012-120(ROP)UP 2012-121(FCS)UP 2012-122(RW)UP 2012-123(SA)UP 2012-124(SA)UP 2012-125(SA)UP 2012-126(SA)UP 2012-127(FCS)UP 2012-128(FCS)UP 2012-129(HMT)UP 2012-130(LI)UP 2012-131(RW)UP 2012-132(TS)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


145114

2711111212532155253212111511154225554541211

No. ofViolations

$1,000 $11,000 $15,000 $2,500 $1,000 $30,000

$5,000 $18,500 $5,000 $5,000 $5,000 $7,500 $1,000 $3,500 $2,500 $10,000 $8,000 $4,500 $10,000 $2,500 $20,000 $17,500 $10,000 $22,500 $12,500 $11,500 $1,000 $10,000 $1,000 $2,500 $5,000 $33,500 $4,000 $5,000 $7,500 $15,500 $14,000 $7,500 $10,000 $15,000 $20,000 $22,500 $12,500 $20,000 $12,500 $2,500 $5,000 $2,000 $2,500

PRCA

$850 $8,500 $10,500 $1,650 $850 $14,820

$3,400 $13,500 $4,000 $3,300 $3,650 $5,200 $850 $2,200 $1,650 $7,000 $5,800 $3,400 $7,400 $1,650 $14,000 $11,550 $6,600 $15,000 $9,100 $7,475 $850 $7,400 $775 $1,650 $3,300 $22,100 $2,700 $3,500 $5,100 $10,500 $9,250 $5,050 $7,200 $10,500 $15,200 $15,000 $8,800 $13,700 $8,600 $1,700 $3,400 $1,500 $2,000

SettlementAmount


12-13-13

POCA

$1,000 $11,000 $15,000 $2,500 $1,000 $19,000

$5,000 $18,500 $5,000 $5,000 $5,000 $7,500 $1,000 $3,500 $2,500 $10,000 $8,000 $4,500 $10,000 $2,500 $20,000 $17,500 $10,000 $22,500 $12,500 $11,500 $1,000 $10,000 $1,000 $2,500 $5,000 $33,500 $4,000 $5,000 $7,500 $15,500 $14,000 $7,500 $10,000 $15,000 $20,000 $22,500 $12,500 $20,000 $12,500 $2,500 $5,000 $2,000 $2,500

Partially Terminated Violation(s): 3, 4.

44

UP 2012-133(SA)UP 2012-134(TS)UP 2012-135(HSR)UP 2012-136(LI)UP 2012-137(TS)UP 2012-138(ROP)

UP 2012-139(ROP)

UP 2012-140(SA)UP 2012-141(SA)UP 2012-142(SA)UP 2012-143(FCS)UP 2012-144(ROP)UP 2012-145(HMT)UP 2012-146(SA)UP 2012-147(HSR)UP 2012-148(FCS)UP 2012-149(SA)UP 2012-150(SI)UP 2012-151(SA)UP 2012-152(ROP)

UP 2012-153(FCS)UP 2012-154(FCS)UP 2012-155(SI)UP 2012-156(TS)UP 2012-157(FCS)UP 2012-158(FCS)UP 2012-159(ROP)UP 2012-160(SI)UP 2012-161(SA)UP 2012-162(SA)UP 2012-163(SA)UP 2012-164(SA)UP 2012-165(TS)UP 2012-166(GC)UP 2012-167(LI)UP 2012-168(LI)UP 2012-169(HSR)UP 2012-170(SI)UP 2012-171(FCS)UP 2012-172(ROP)UP 2012-173(SA)UP 2012-174(SA)UP 2012-175(LI)UP 2012-177(SA)UP 2012-178(FCS)UP 2012-179(FCS)UP 2012-180(FCS)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


123112

5

3211111111353

312131263314111111219211213

No. ofViolations

$2,500 $6,000 $4,500 $1,000 $2,500 $19,000

$43,500

$12,500 $7,500 $2,500 $2,500 $9,500 $4,000 $5,000 $2,500 $5,000 $5,000 $4,500 $16,000 $24,500

$7,500 $2,500 $2,000 $2,500 $12,500 $5,000 $14,500 $6,000 $10,000 $7,500 $5,000 $12,500 $2,500 $1,000 $2,500 $2,500 $2,500 $1,000 $7,500 $2,000 $45,000 $10,000 $2,500 $5,000 $5,000 $2,500 $7,500

PRCA

$1,700 $4,800 $2,925 $775 $2,000 $11,500

$20,500

$8,800 $5,400 $1,700 $1,650 $5,800 $2,550 $3,400 $1,700 $3,300 $3,400 $3,400 $11,250 $7,650

$4,875 $1,650 $1,500 $2,000 $8,600 $3,300 $9,575 $4,300 $7,400 $5,400 $3,400 $8,500 $2,000 $750 $1,700 $1,700 $1,700 $850 $4,875 $1,400 $32,000 $7,200 $1,700 $3,400 $3,300 $1,650 $4,875

SettlementAmount


12-13-13

POCA

$2,500 $6,000 $4,500 $1,000 $2,500 $14,500

$30,000

$12,500 $7,500 $2,500 $2,500 $9,500 $4,000 $5,000 $2,500 $5,000 $5,000 $4,500 $16,000 $9,000

$7,500 $2,500 $2,000 $2,500 $12,500 $5,000 $14,500 $6,000 $10,000 $7,500 $5,000 $12,500 $2,500 $1,000 $2,500 $2,500 $2,500 $1,000 $7,500 $2,000 $45,000 $10,000 $2,500 $5,000 $5,000 $2,500 $7,500

Partially Terminated Violation(s): 1.Partially Terminated Violation(s): 1, 3, 4.

Partially Terminated Violation(s): 1, 2, 3.

45

UP 2012-181(SI)UP 2012-182(ROP)UP 2012-183(ROP)UP 2012-184(SA)UP 2012-185(SA)UP 2012-186(TS)UP 2012-187(RSP)UP 2012-188(FCS)UP 2012-189(LI)UP 2012-190(RW)UP 2012-191(LI)UP 2012-193(GC)UP 2012-194(ROP)UP 2012-195(TS)UP 2012-196(ROP)UP 2012-197(ROP)UP 2012-198(SA)UP 2012-199(SA)UP 2012-200(SA)UP 2012-201(SA)UP 2012-202(ROP)

UP 2012-203(ROP)

UP 2012-204(GC)UP 2012-205(FCS)UP 2012-206(FCS)UP 2012-207(TS)UP 2012-208(AR)UP 2012-209(HS)UP 2012-210(RW)UP 2012-211(GC)UP 2012-212(EQ)UP 2012-213(HSR)UP 2012-214(FCS)UP 2012-215(FCS)UP 2012-216(SA)UP 2012-217(SA)UP 2012-218(SA)UP 2012-219(RW)UP 2012-220(ROP)UP 2012-221(HMT)UP 2012-222(FCS)UP 2012-223(FCS)UP 2012-224(ROP)UP 2012-225(ROP)UP 2012-226(ROP)UP 2012-227(SA)UP 2012-228(SA)UP 2012-229(SA)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


911431111114132315425

2

15122221115141111112551555

No. ofViolations

$12,000 $2,000 $9,500 $20,000 $7,500 $1,000 $5,000 $2,500 $1,500 $3,000 $1,000 $20,000 $9,500 $8,500 $9,500 $14,500 $5,000 $25,000 $17,500 $7,500 $41,500

$15,000

$5,000 $17,500 $2,500 $6,000 $3,500 $2,000 $4,000 $1,000 $2,500 $1,000 $12,500 $2,500 $15,000 $2,500 $2,500 $3,000 $7,500 $1,000 $2,500 $5,000 $24,500 $21,000 $9,500 $20,000 $12,500 $17,500

PRCA

$8,500 $1,400 $6,500 $15,000 $5,100 $900 $3,300 $1,650 $1,200 $2,100 $775 $14,000 $6,175 $6,800 $6,800 $9,425 $3,400 $16,500 $12,000 $5,300 $16,770

$3,400

$3,400 $11,000 $1,650 $1,000 $2,300 $1,400 $2,600 $750 $1,790 $700 $8,250 $1,650 $10,500 $1,700 $1,700 $2,100 $4,875 $725 $1,650 $3,300 $16,200 $13,900 $6,300 $15,000 $8,800 $12,500

SettlementAmount


12-13-13

POCA

$12,000 $2,000 $9,500 $20,000 $7,500 $1,000 $5,000 $2,500 $1,500 $3,000 $1,000 $20,000 $9,500 $8,500 $9,500 $14,500 $5,000 $25,000 $17,500 $7,500 $21,500

$4,000

$5,000 $15,000 $2,500 $1,000 $3,500 $2,000 $4,000 $1,000 $2,500 $1,000 $12,500 $2,500 $15,000 $2,500 $2,500 $3,000 $7,500 $1,000 $2,500 $5,000 $24,500 $21,000 $9,500 $20,000 $12,500 $17,500

Partially Terminated Violation(s): 1, 2, 3, 5.Partially Terminated Violation(s): 1, 2.



46

UP 2012-231(SA)UP 2012-232(SA)UP 2012-233(SA)UP 2012-235(HMT)UP 2012-236(HMT)UP 2012-237(SA)UP 2012-238(GC)UP 2012-239(SA)UP 2012-240(SA)UP 2012-241(RW)UP 2012-242(LI)

UP 2012-243(LI)UP 2012-244(LI)UP 2012-245(HSR)UP 2012-246(LI)UP 2012-247(TS)UP 2012-249(SA)UP 2012-250(HMT)UP 2012-251(ROP)UP 2012-252(SA)UP 2012-253(HSR)UP 2012-254(SA)UP 2012-255(SA)UP 2012-256(ROP)

UP 2012-257(FCS)UP 2012-258(ROP)UP 2012-260(HMT)UP 2012-261(LI)UP 2012-262(ROP)UP 2012-263(ROP)

UP 2012-264(ROP)UP 2012-265(FCS)UP 2012-266(FCS)UP 2012-267(SA)UP 2012-268(SA)UP 2012-269(SA)UP 2012-270(SA)UP 2012-271(SA)UP 2012-272(FCS)UP 2012-273(LI)UP 2012-274(LI)UP 2012-275(LI)UP 2012-276(LI)

UP 2012-278(TS)UP 2012-279(TS)UP 2012-280(FCS)UP 2012-281(TS)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/2013


459111111116

21211311334521

411111

35152436121213

16114

No. ofViolations

$12,500 $15,000 $27,500 $2,000 $2,000 $5,000 $5,000 $5,000 $2,500 $1,500 $40,000

$5,000 $2,500 $5,000 $2,000 $35,000 $5,000 $6,000 $11,500 $15,000 $4,000 $20,000 $7,500 $9,500

$10,000 $7,500 $5,000 $2,500 $7,500 $7,500

$12,000 $20,000 $5,000 $12,500 $5,000 $17,500 $7,500 $19,500 $2,500 $5,000 $2,500 $5,000 $31,000

$64,500 $2,000 $2,500 $4,000

PRCA

$8,800 $10,800 $19,000 $1,300 $1,300 $3,400 $3,400 $3,400 $1,700 $1,100 $17,500

$3,400 $1,700 $3,400 $1,600 $28,000 $3,400 $3,800 $7,475 $10,500 $2,900 $14,880 $5,500 $3,400

$6,600 $5,300 $0 $1,700 $5,300 $1,400

$7,800 $13,200 $3,300 $8,800 $3,400 $8,600 $4,800 $14,000 $1,650 $3,400 $1,700 $3,400 $11,000

$47,000 $1,600 $0 $3,200

SettlementAmount


12-13-13

POCA

$12,500 $15,000 $27,500 $2,000 $2,000 $5,000 $5,000 $5,000 $2,500 $1,500 $17,500

$5,000 $2,500 $5,000 $2,000 $35,000 $5,000 $6,000 $11,500 $15,000 $4,000 $20,000 $7,500 $5,000

$10,000 $7,500 $0 $2,500 $7,500 $2,000

$12,000 $20,000 $5,000 $12,500 $5,000 $12,500 $7,500 $19,500 $2,500 $5,000 $2,500 $5,000 $11,000

$64,500 $2,000 $0 $4,000



Case Terminated.



Partially Terminated Violation(s): 1,2,3,5.

Case Terminated.

47

UP 2012-282(TS)UP 2012-283(SA)UP 2012-284(HMT)UP 2012-286(LI)UP 2012-287(LI)UP 2012-288(EP)UP 2012-289(LI)UP 2012-290(LI)UP 2012-291(ROP)

UP 2012-292(ROP)UP 2012-293(ROP)UP 2012-295(ROP)UP 2012-296(FCS)UP 2012-297(ROP)UP 2012-298(SA)UP 2012-299(SA)UP 2012-300(SA)UP 2012-301(TS)UP 2012-303(TS)UP 2012-304(TS)UP 2012-306(SA)UP 2012-307(HMT)UP 2012-308(SI)UP 2012-309(TS)UP 2012-310(LI)UP 2012-311(LI)UP 2012-312(RW)UP 2012-313(ROP)UP 2012-314(SA)UP 2012-315(RSP)UP 2012-316(GC)UP 2012-317(HMT)UP 2012-318(FCS)UP 2012-319(SA)UP 2012-320(HMT)UP 2012-321(TS)UP 2012-322(LI)UP 2012-323(GC)UP 2012-324(HSR)UP 2012-325(SA)UP 2012-326(ROP)UP 2012-327(SI)UP 2012-328(TS)UP 2012-329(ROP)UP 2012-330(SI)UP 2012-331(FCS)UP 2012-332(LI)UP 2012-333(HMT)UP 2012-334(SA)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


2211131114

5511155431322215122411113121221221223314

No. ofViolations

$55,000 $5,000 $5,000 $1,500 $7,500 $1,000 $2,500 $2,500 $30,000

$37,000 $10,000 $9,500 $2,500 $5,000 $20,000 $15,000 $17,500 $12,500 $5,000 $15,000 $7,500 $10,000 $2,000 $2,500 $10,500 $2,500 $6,000 $19,000 $12,500 $1,000 $2,500 $2,000 $2,500 $10,000 $2,000 $10,000 $2,500 $52,500 $2,000 $2,500 $15,000 $6,000 $5,000 $19,000 $6,000 $7,500 $7,500 $4,000 $15,000

PRCA

$42,000 $3,400 $3,800 $1,050 $5,300 $700 $1,750 $1,750 $9,000

$25,000 $6,500 $6,300 $1,650 $3,450 $15,000 $10,200 $12,025 $10,000 $4,000 $12,000 $5,300 $7,000 $1,500 $2,000 $7,500 $1,750 $3,900 $12,500 $8,900 $700 $1,775 $1,300 $1,650 $3,400 $1,300 $6,800 $1,750 $39,000 $1,300 $1,750 $11,250 $4,300 $4,000 $12,500 $4,300 $4,875 $5,300 $2,700 $10,200

SettlementAmount


12-13-13

POCA

$55,000 $5,000 $5,000 $1,500 $7,500 $1,000 $2,500 $2,500 $13,500

$37,000 $10,000 $9,500 $2,500 $5,000 $20,000 $15,000 $17,500 $12,500 $5,000 $15,000 $7,500 $10,000 $2,000 $2,500 $10,500 $2,500 $6,000 $19,000 $12,500 $1,000 $2,500 $2,000 $2,500 $5,000 $2,000 $10,000 $2,500 $52,500 $2,000 $2,500 $15,000 $6,000 $5,000 $19,000 $6,000 $7,500 $7,500 $4,000 $15,000

Partially Terminated Violation(s): 1, 2, 3.


48

UP 2012-335(SA)UP 2012-336(SA)UP 2012-337(ROP)UP 2012-338(SA)UP 2012-339(SA)UP 2012-340(SA)UP 2012-341(SA)UP 2012-342(ROP)

UP 2012-343(HMT)UP 2012-344(GC)UP 2012-345(TS)UP 2012-346(TS)UP 2012-347(TS)UP 2012-348(LI)

UP 2012-349(GC)UP 2012-350(SA)UP 2012-351(ROP)UP 2012-352(SA)UP 2012-353(SA)UP 2012-354(FCS)UP 2012-355(ROP)UP 2012-356(SI)UP 2012-357(FCS)UP 2012-358(ROP)UP 2012-359(ROP)

UP 2012-360(FCS)UP 2012-361(FCS)UP 2012-362(SI)UP 2012-363(SA)UP 2012-364(LI)UP 2012-365(GC)UP 2012-366(LI)UP 2012-368(LI)UP 2012-369(SA)UP 2012-370(SA)UP 2012-371(SI)UP 2012-372(ROP)UP 2012-373(FCS)UP 2012-374(SA)UP 2012-375(SA)UP 2012-376(TS)UP 2012-377(SA)UP 2012-378(ROP)UP 2012-379(ROP)UP 2012-380(ROP)UP 2012-381(FCS)UP 2012-382(SI)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


31241212

1231616

112432112222

5214121153321126311111

No. ofViolations

$12,500 $5,000 $9,500 $12,500 $5,000 $10,000 $5,000 $15,000

$5,000 $3,500 $10,000 $45,000 $2,500 $15,000

$5,000 $5,000 $14,500 $17,500 $15,000 $7,500 $7,500 $16,500 $5,000 $10,000 $14,500

$20,000 $7,500 $2,500 $15,000 $2,500 $5,000 $2,500 $1,000 $17,500 $12,500 $7,500 $11,500 $2,500 $2,500 $5,000 $30,000 $15,000 $7,500 $2,000 $7,500 $2,500 $1,000

PRCA

$7,250 $3,400 $6,200 $8,900 $3,400 $7,150 $3,450 $7,315

$3,300 $2,450 $8,000 $33,000 $1,750 $3,500

$3,400 $3,450 $9,425 $12,025 $10,050 $4,875 $5,100 $12,500 $3,300 $7,700 $7,450

$13,200 $4,950 $1,900 $10,050 $1,750 $3,400 $1,750 $800 $12,025 $8,900 $5,400 $7,600 $1,650 $1,700 $3,400 $21,000 $10,200 $5,400 $1,400 $6,000 $1,650 $850

SettlementAmount


12-13-13

POCA

$10,000 $5,000 $9,500 $12,500 $5,000 $10,000 $5,000 $9,500

$5,000 $3,500 $10,000 $45,000 $2,500 $5,000

$5,000 $5,000 $14,500 $17,500 $15,000 $7,500 $7,500 $16,500 $5,000 $10,000 $10,000

$20,000 $7,500 $2,500 $15,000 $2,500 $5,000 $2,500 $1,000 $17,500 $12,500 $7,500 $11,500 $2,500 $2,500 $5,000 $30,000 $15,000 $7,500 $2,000 $7,500 $2,500 $1,000



Terminated Violation(s): 3,4,5,6.


49

UP 2012-384(ROP)UP 2012-385(ROP)UP 2012-386(ROP)UP 2012-387(ROP)

UP 2012-388(ROP)UP 2012-389(ROP)UP 2012-390(ROP)

UP 2012-391(ROP)

UP 2012-392(ROP)UP 2012-393(ROP)UP 2012-394(ROP)UP 2012-395(ROP)

UP 2012-396(FCS)UP 2012-397(FCS)UP 2012-398(FCS)UP 2012-399(FCS)UP 2012-400(FCS)UP 2012-401(FCS)UP 2012-402(FCS)UP 2012-403(FCS)UP 2012-404(FCS)UP 2012-405(FCS)UP 2012-407(FCS)UP 2012-408(FCS)UP 2012-409(SI)UP 2012-410(ROP)UP 2012-411(ROP)UP 2012-412(ROP)UP 2012-413(SA)UP 2012-414(SA)UP 2012-415(SA)UP 2012-416(SA)UP 2012-417(SA)UP 2012-418(SA)UP 2012-419(SA)UP 2012-420(SA)UP 2012-421(SA)UP 2012-422(SA)UP 2012-423(SA)UP 2012-424(SA)UP 2012-425(SA)UP 2012-426(SA)UP 2012-427(SA)UP 2012-428(SA)UP 2012-429(SA)UP 2012-430(SA)UP 2012-431(SA)

FRA No.

09/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/2013

09/30/2013

09/30/201309/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


1111

111

1

1111

11111111111111111111111111111111111

No. ofViolations

$5,000 $2,000 $2,000 $7,500

$7,500 $7,500 $9,500

$7,500

$9,500 $2,000 $5,000 $9,500

$5,000 $5,000 $2,500 $5,000 $5,000 $5,000 $2,500 $2,500 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $7,500 $2,500 $5,000 $2,500 $2,500 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $2,500 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000

PRCA

$3,400 $1,400 $1,400 $1,700

$5,200 $5,400 $3,400

$1,400

$6,200 $1,400 $3,400 $3,400

$3,300 $3,300 $1,650 $3,300 $3,300 $3,300 $1,650 $1,650 $3,300 $1,650 $1,650 $1,650 $3,500 $3,400 $3,300 $4,950 $1,700 $3,400 $1,700 $1,700 $3,450 $1,700 $1,700 $1,700 $3,400 $3,400 $1,700 $3,400 $1,750 $1,700 $3,400 $3,400 $3,400 $3,400 $3,400

SettlementAmount


12-13-13

POCA

$5,000 $2,000 $2,000 $2,000

$7,500 $7,500 $5,000

$2,000

$9,500 $2,000 $5,000 $5,000

$5,000 $5,000 $2,500 $5,000 $5,000 $5,000 $2,500 $2,500 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $7,500 $2,500 $5,000 $2,500 $2,500 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $2,500 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000


Partially Terminated Violation(s): 1.Partially Terminated Violation(s): 1.


50

UP 2012-432(SA)UP 2012-433(SA)UP 2012-434(SA)UP 2012-435(SA)UP 2012-436(SA)UP 2012-437(SA)UP 2012-438(SA)UP 2012-439(SA)UP 2012-440(SA)UP 2012-441(SA)UP 2012-442(SA)UP 2012-443(SA)UP 2012-444(SA)UP 2012-445(SA)UP 2012-446(SA)UP 2012-447(SA)UP 2012-448(SA)UP 2012-449(SA)UP 2012-450(ROP)UP 2012-451(SI)UP 2012-452(TS)UP 2012-453(TS)UP 2012-454(TS)UP 2012-455(HMT)UP 2012-459(HSR)UP 2012-461(HSR)UP 2012-462(GC)UP 2012-463(RW)UP 2012-465(GC)UP 2012-466(HSR)UP 2012-467(LI)UP 2012-468(LI)UP 2012-469(LI)UP 2012-470(HSR)UP 2012-471(HSR)UP 2012-472(HMT)UP 2012-473(TS)UP 2012-474(TS)UP 2012-475(TS)UP 2012-476(TS)UP 2012-477(LI)UP 2012-478(RSP)UP 2012-484(TS)UP 2012-486(EQ)UP 2012-487(EQ)UP 2013-1(ROP)UP 2013-2(ROP)UP 2013-3(ROP)

UP 2013-4(ROP)

FRA No.

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/26/201309/30/201309/30/201309/30/201309/30/201309/30/2013

09/30/2013


111111111111111111121112121111211111111311111151

1

No. ofViolations

$2,500 $5,000 $5,000 $5,000 $2,500 $2,500 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $2,500 $5,000 $5,000 $5,000 $5,000 $2,500 $5,000 $5,000 $2,000 $5,000 $5,000 $13,500 $1,000 $2,000 $5,000 $3,000 $1,000 $1,000 $5,000 $2,500 $2,500 $1,000 $1,000 $2,000 $5,000 $5,000 $5,000 $7,500 $2,500 $5,000 $2,500 $1,000 $1,000 $2,000 $37,500 $9,500

$9,500

PRCA

$1,750 $3,400 $3,400 $3,400 $1,750 $1,700 $3,400 $1,700 $1,700 $1,700 $3,400 $3,400 $1,700 $3,400 $3,400 $3,400 $3,400 $1,700 $4,000 $3,500 $1,600 $4,000 $4,000 $8,900 $700 $1,300 $3,400 $2,100 $750 $700 $3,400 $1,700 $1,750 $700 $700 $1,300 $4,000 $4,000 $4,000 $6,000 $1,750 $3,450 $0 $725 $725 $1,400 $24,750 $4,500

$4,500

SettlementAmount


12-13-13

POCA

$2,500 $5,000 $5,000 $5,000 $2,500 $2,500 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $2,500 $5,000 $5,000 $5,000 $5,000 $2,500 $5,000 $5,000 $2,000 $5,000 $5,000 $13,500 $1,000 $2,000 $5,000 $3,000 $1,000 $1,000 $5,000 $2,500 $2,500 $1,000 $1,000 $2,000 $5,000 $5,000 $5,000 $7,500 $2,500 $5,000 $0 $1,000 $1,000 $2,000 $37,500 $5,000

$5,000

Case Terminated.

Partially Terminated Violation(s): 1.Partially Terminated

51

UP 2013-6(FCS)UP 2013-7(ROP)UP 2013-8(ROP)

UP 2013-9(HMT)UP 2013-10(ROP)UP 2013-11(ROP)

UP 2013-12(FCS)UP 2013-13(SA)UP 2013-15(TS)UP 2013-16(TS)UP 2013-18(SA)UP 2013-19(SA)UP 2013-20(SA)UP 2013-21(SA)UP 2013-22(SA)UP 2013-23(SA)UP 2013-24(SA)UP 2013-25(SA)UP 2013-26(SA)UP 2013-27(SA)UP 2013-28(SA)UP 2013-29(SA)UP 2013-30(SA)UP 2013-31(SA)UP 2013-32(SA)UP 2013-33(SA)UP 2013-34(SA)UP 2013-35(SA)UP 2013-36(SA)UP 2013-37(SA)UP 2013-38(SA)UP 2013-39(SA)UP 2013-40(SA)UP 2013-41(SA)UP 2013-42(SA)UP 2013-43(SA)UP 2013-44(SA)UP 2013-45(SA)UP 2013-46(SA)UP 2013-47(SA)UP 2013-48(SA)UP 2013-49(SA)UP 2013-50(HMT)UP 2013-51(HMT)UP 2013-52(HMT)UP 2013-54(LI)UP 2013-55(LI)

FRA No.

09/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/2013


111

111

11511111111111111111141111111111111111111

No. ofViolations

$5,000 $2,000 $7,500

$7,500 $9,500 $7,500

$2,500 $5,000 $12,500 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $5,000 $5,000 $10,000 $5,000 $2,500 $5,000 $5,000 $2,500 $5,000 $2,500 $5,000 $2,500 $5,000 $5,000 $2,500 $2,500 $5,000 $3,000 $5,000 $8,000 $2,500 $2,500

PRCA

$0 $1,650 $2,000

$5,000 $6,300 $2,000

$1,650 $3,400 $9,500 $4,000 $3,400 $3,400 $3,400 $3,400 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $1,750 $3,400 $3,400 $3,400 $1,700 $3,400 $3,400 $7,100 $3,400 $1,750 $3,400 $3,400 $1,750 $3,400 $1,700 $3,400 $1,800 $3,400 $3,400 $1,750 $1,750 $3,400 $1,950 $3,300 $5,800 $1,750 $1,750

SettlementAmount


12-13-13

POCA

$0 $2,000 $2,000

$7,500 $9,500 $2,000

$2,500 $5,000 $12,500 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $5,000 $5,000 $10,000 $5,000 $2,500 $5,000 $5,000 $2,500 $5,000 $2,500 $5,000 $2,500 $5,000 $5,000 $2,500 $2,500 $5,000 $3,000 $5,000 $8,000 $2,500 $2,500

Violation(s): 1.Case Terminated.


Partially Teraminated Violation(s): 1.

52

UP 2013-56(LI)UP 2013-58(RW)UP 2013-59(LI)

UP 2013-60(LI)UP 2013-61(LI)UP 2013-62(LI)UP 2013-66(TS)UP 2013-67(TS)UP 2013-69(TS)UP 2013-70(TS)UP 2013-71(TS)UP 2013-72(TS)UP 2013-74(ROP)UP 2013-76(ROP)UP 2013-77(ROP)UP 2013-79(ROP)UP 2013-81(ROP)UP 2013-82(ROP)UP 2013-84(ROP)UP 2013-86(ROP)UP 2013-87(ROP)UP 2013-89(ROP)UP 2013-91(ROP)UP 2013-92(ROP)UP 2013-94(ROP)UP 2013-96(ROP)UP 2013-97(ROP)UP 2013-99(ROP)UP 2013-101(ROP)UP 2013-102(ROP)UP 2013-104(ROP)UP 2013-106(ROP)UP 2013-107(ROP)UP 2013-109(ROP)UP 2013-114(SA)UP 2013-119(ROP)UP 2013-124(ROP)UP 2013-129(ROP)UP 2013-152(FCS)UP 2013-158(SA)UP 2013-162(SA)UP 2013-163(SA)UP 2013-167(SA)UP 2013-168(SA)UP 2013-172(SA)UP 2013-173(SA)URR 2009-1(AR)URR 2009-2(AR)URR 2009-3(AR)

FRA No.

09/30/201309/30/201309/30/2013

09/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201309/30/201306/28/201306/28/201306/28/2013


213

1111212211111111111111111111111111111111111112

No. ofViolations

$5,000 $5,000 $7,500

$1,000 $2,500 $2,500 $2,500 $5,000 $2,500 $2,000 $5,000 $2,500 $7,500 $2,000 $5,000 $7,500 $7,500 $7,500 $7,500 $7,500 $7,500 $7,500 $7,500 $7,500 $2,000 $2,000 $2,000 $2,000 $7,500 $5,000 $2,000 $2,000 $2,000 $9,500 $2,500 $2,000 $2,000 $2,000 $5,000 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $2,500 $5,000

PRCA

$3,400 $3,400 $2,500

$800 $1,800 $1,800 $2,000 $4,000 $2,000 $1,600 $4,000 $2,000 $5,500 $1,400 $3,400 $5,200 $5,200 $5,200 $5,200 $5,200 $5,200 $5,200 $5,200 $5,200 $1,400 $1,400 $1,400 $1,400 $5,200 $3,400 $1,400 $1,400 $1,400 $6,175 $1,750 $1,400 $1,400 $1,400 $3,300 $1,750 $1,750 $1,700 $1,700 $3,400 $3,400 $3,400 $0 $0 $2,500

SettlementAmount


12-13-13

POCA

$5,000 $5,000 $2,500

$1,000 $2,500 $2,500 $2,500 $5,000 $2,500 $2,000 $5,000 $2,500 $7,500 $2,000 $5,000 $7,500 $7,500 $7,500 $7,500 $7,500 $7,500 $7,500 $7,500 $7,500 $2,000 $2,000 $2,000 $2,000 $7,500 $5,000 $2,000 $2,000 $2,000 $9,500 $2,500 $2,000 $2,000 $2,000 $5,000 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $0 $0 $5,000



53

URR 2012-1(TS)USRI 2008-1(GC)USRO 2010-1(TS)USRO 2011-1(GC)USRO 2011-2(GC)USRO 2011-3(GC)USRO 2011-4(GC)USRO 2011-5(GC)USRO 2011-6(GC)USRO 2011-7(GC)USRV 2008-1(LI)USRV 2008-2(GC)USRV 2008-3(GC)USRV 2008-4(GC)USRV 2008-5(GC)USRV 2008-6(GC)USRV 2009-1(GC)UTAH 2011-1(SA)UTAH 2011-2(ROP)UTAH 2011-3(ROP)UTAH 2012-1(HMT)UTAX 2007-1(RW)UTAX 2008-1(RW)UTAX 2008-2(TS)UTAX 2008-3(GC)VR 2011-1(SA)VR 2011-2(SA)VR 2013-1(SA)VREE 2012-1(LI)VSOR 2011-1(SA)WAKS 2005-1(AR)WAKS 2008-1(AR)WAKS 2010-1(AR)WATX 2013-1(ROP)WBCR 2010-1(TS)WCOR 2013-1(SA)WE 2012-4(SA)WE 2012-5(HMT)WE 2012-6(HS)WE 2012-7(HS)WE 2012-8(LI)WE 2013-1(LI)WGCR 2006-1(TS)WINV 2013-1(SA)WIRV 2007-1(HSR)WIRV 2007-2(HSR)WIRV 2007-3(AD)WIRV 2007-4(AD)WIRV 2008-1(TS)

FRA No.

06/28/201308/08/201308/08/201308/08/201308/08/201308/08/201308/08/201308/08/201308/08/201308/08/201308/08/201308/08/201308/08/201308/08/201308/08/201308/08/201308/08/201305/03/201305/03/201305/03/201305/03/201304/05/201304/05/201304/05/201304/05/201306/05/201306/05/201306/12/201306/21/201309/27/201301/29/201301/29/201301/30/201309/27/201308/20/201309/30/201305/29/201305/24/201305/24/201305/24/201305/24/201305/24/201305/31/201303/19/201312/20/201212/20/201212/20/201212/20/201212/20/2012


11415572652435555111211121111111211112111122111113

No. ofViolations

$5,000 $2,500 $41,000 $12,500 $12,500 $17,500 $5,000 $15,000 $12,500 $5,000 $8,500 $7,500 $12,500 $11,000 $12,500 $12,500 $2,500 $5,000 $7,500 $15,000 $2,500 $3,000 $3,000 $15,000 $5,000 $5,000 $5,000 $5,000 $2,500 $5,000 $2,500 $5,000 $2,500 $9,500 $5,000 $2,500 $7,500 $6,000 $1,000 $1,000 $2,500 $5,000 $2,000 $5,000 $1,000 $1,000 $5,000 $2,000 $12,500

PRCA

$3,250 $0 $26,650 $3,250 $3,250 $4,550 $1,300 $3,900 $3,250 $1,300 $0 $0 $0 $0 $0 $0 $550 $2,500 $4,500 $7,500 $1,625 $0 $550 $6,000 $2,000 $3,000 $3,500 $3,000 $650 $3,200 $0 $0 $650 $6,500 $2,500 $1,725 $5,250 $5,000 $800 $800 $1,725 $3,425 $0 $2,175 $0 $0 $3,000 $600 $7,900

SettlementAmount


12-13-13

POCA

$5,000 $0 $41,000 $12,500 $12,500 $17,500 $5,000 $15,000 $12,500 $5,000 $0 $0 $0 $0 $0 $0 $2,500 $5,000 $7,500 $15,000 $2,500 $0 $3,000 $15,000 $5,000 $5,000 $5,000 $5,000 $2,500 $5,000 $0 $0 $2,500 $9,500 $5,000 $2,500 $7,500 $6,000 $1,000 $1,000 $2,500 $5,000 $0 $5,000 $0 $0 $5,000 $2,000 $12,500

Case Terminated.

Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.

Case Terminated.


Case Terminated.

Case TerminatedCase Terminated.

54

WIRV 2008-2(TS)WIRV 2009-1(ROP)WNYP 2005-1(GC)WNYP 2007-1(TS)WNYP 2009-1(TS)WNYP 2009-3(TS)WPRR 2007-1(SA)WPRR 2007-2(SA)WSOR 2009-3(GC)WSOR 2012-1(SA)WTA 2008-1(GC)WTA 2008-2(GC)WTA 2009-1(SA)WTA 2010-1(GC)WTA 2010-2(SA)WTA 2012-1(SA)WTA 2012-2(ROP)WTNN 2006-1(SA)

WTNN 2006-2(FCS)WTNN 2011-1(ROP)WVR 2012-1(TS)WW 2008-1(RSP)XATH 2013-1(HMT)XAWH 2013-1(HMT)XAWH 2013-2(HMT)XCEA 2012-1(HMT)XCRO 2012-2(HMT)XCRQ 2013-1(HMT)XCRQ 2013-2(HMT)XDCT 2012-1(HMT)XDPU 2013-1(GC)XDYN 2012-1(SA)XEEN 2013-1(HMT)XFEF 2012-1(HMT)XHNT 2008-1(RW)XICP 2012-1(HMT)XICP 2013-1(HMT)XJEI 2012-1(HMT)XLDI 2013-1(HMT)XLOR 2012-1(RW)XLPF 2012-1(HMT)XLPQ 2012-1(HMT)XMPS 2010-1(HMT)XMRS 2010-1(HMT)XNAC 2007-1(HMT)XNBP 2007-1(HMT)XPAZ 2012-1(HMT)XPGF 2001-1(RW)XPKR 2013-1(HMT)

FRA No.

12/20/201212/20/201210/02/201210/02/201210/02/201210/02/201205/31/201305/31/201309/27/201309/27/201306/13/201306/13/201306/13/201306/13/201306/13/201306/13/201306/13/201305/31/2013

05/31/201312/19/201201/14/201304/02/201308/08/201302/22/201305/15/201305/29/201302/08/201302/04/201305/13/201310/16/201209/06/201301/08/201305/28/201310/15/201201/15/201311/06/201202/26/201311/28/201202/25/201302/11/201304/23/201303/18/201302/12/201303/22/201310/24/201202/14/201311/19/201205/30/201305/30/2013


311131111111111221

1111111133111332111111221131112

No. ofViolations

$7,500 $7,500 $2,500 $2,500 $15,000 $5,000 $2,500 $2,500 $5,000 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $10,000 $17,000 $2,500

$2,500 $7,500 $7,000 $1,000 $2,000 $10,000 $5,000 $5,000 $9,000 $6,000 $5,000 $5,000 $1,000 $7,500 $11,000 $6,000 $10,000 $5,000 $15,000 $2,000 $5,000 $5,000 $4,000 $17,500 $10,000 $5,000 $17,500 $2,500 $5,000 $5,000 $10,000

PRCA

$4,750 $4,750 $0 $600 $3,200 $1,200 $0 $0 $3,500 $1,400 $2,500 $2,500 $650 $2,750 $2,500 $2,750 $8,350 $0

$0 $5,625 $2,500 $550 $1,400 $6,900 $3,000 $3,500 $9,000 $6,000 $5,000 $5,000 $1,000 $3,750 $7,700 $6,000 $8,625 $4,000 $0 $2,000 $5,000 $5,000 $2,800 $9,500 $8,000 $4,500 $0 $0 $5,000 $0 $6,000

SettlementAmount


12-13-13

POCA

$7,500 $7,500 $0 $2,500 $15,000 $5,000 $0 $0 $5,000 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $17,000 $0

$0 $7,500 $7,000 $1,000 $2,000 $10,000 $5,000 $5,000 $9,000 $6,000 $5,000 $5,000 $1,000 $7,500 $11,000 $6,000 $10,000 $5,000 $0 $2,000 $5,000 $5,000 $4,000 $17,500 $10,000 $5,000 $0 $0 $5,000 $0 $10,000

Case Terminated.




Case Terminated.


Case Terminated.

55

XPMC 2012-1(HMT)XPMC 2012-2(HMT)XPMC 2012-3(HMT)XPTC 2011-1(HMT)XROA 2012-1(HMT)XRRT 2013-1(HSR)XRTM 2013-1(AR)XRWC 2008-1(RW)XRWC 2009-1(RW)XRWQ 2013-1(TS)XSDR 2013-1(HMT)XSGC 2013-1(HMT)XSLA 2013-1(HMT)XTWK 2012-1(RW)XURW 2012-3(HMT)XUSD 2010-1(HMT)XUSD 2012-1(HMT)XUSD 2012-2(HMT)XVAL 2013-1(HMT)XWCR 2008-1(RW)XWGZ 2013-1(HMT)XWNC 2008-1(HMT)XWSV 2006-1(HMT)XWYC 2011-1(HMT)XYRC 2013-1(HMT)YARR 2012-1(GC)YSVR 2012-1(GC)ZABS 2012-1(HMT)ZACE 2012-1(HMT)ZACE 2012-2(HMT)ZACE 2013-1(HMT)ZACR 2011-2(HMT)ZACR 2012-1(HMT)ZACR 2012-2(HMT)ZACR 2012-3(HMT)ZADB 2012-1(HMT)ZADI 2013-1(HMT)ZADQ 2012-1(HMT)ZADR 2012-1(HMT)ZAEN 2012-1(HMT)ZAEN 2012-2(HMT)ZAEN 2013-1(HMT)ZAEN 2013-2(HMT)ZAEN 2013-3(HMT)ZAEN 2013-4(HMT)ZAEN 2013-5(HMT)ZAER 2013-1(HMT)ZAFQ 2013-1(HMT)ZAGA 2012-1(HMT)

FRA No.

04/22/201304/24/201304/22/201305/30/201312/05/201208/05/201304/18/201304/23/201304/23/201309/13/201303/04/201302/26/201307/09/201311/19/201205/31/201305/13/201305/13/201305/13/201304/01/201306/04/201306/18/201304/08/201305/31/201312/19/201206/05/201309/13/201309/27/201310/02/201211/15/201212/12/201206/03/201312/12/201212/12/201212/12/201212/12/201210/30/201206/18/201312/12/201212/12/201210/01/201202/14/201303/06/201303/06/201303/18/201306/04/201307/15/201308/20/201309/04/201310/23/2012


1311211111112122111211111151111221114124351111111

No. ofViolations

$10,000 $15,000 $5,000 $2,000 $3,500 $1,000 $1,000 $2,000 $5,000 $5,000 $5,000 $5,000 $7,000 $5,000 $8,000 $10,000 $5,000 $10,000 $2,000 $5,000 $2,500 $15,000 $2,000 $2,000 $5,000 $5,000 $20,000 $2,500 $5,000 $2,000 $1,500 $15,000 $20,000 $10,000 $10,000 $7,500 $8,000 $5,000 $4,000 $12,000 $6,000 $25,000 $5,000 $5,000 $2,000 $5,000 $2,500 $5,000 $2,000

PRCA

$7,800 $9,900 $3,200 $1,400 $3,500 $1,000 $1,000 $1,000 $2,500 $5,000 $3,000 $3,000 $4,000 $5,000 $4,000 $7,200 $0 $6,500 $2,000 $0 $2,500 $3,500 $0 $0 $5,000 $3,200 $13,000 $1,750 $5,000 $2,000 $1,500 $9,500 $14,100 $7,500 $7,500 $7,500 $5,600 $5,000 $2,500 $12,000 $6,000 $25,000 $5,000 $5,000 $2,000 $5,000 $1,750 $3,500 $1,400

SettlementAmount


12-13-13

POCA

$10,000 $15,000 $5,000 $2,000 $3,500 $1,000 $1,000 $2,000 $5,000 $5,000 $5,000 $5,000 $7,000 $5,000 $8,000 $10,000 $0 $10,000 $2,000 $0 $2,500 $15,000 $0 $0 $5,000 $5,000 $20,000 $2,500 $5,000 $2,000 $1,500 $15,000 $20,000 $10,000 $10,000 $7,500 $8,000 $5,000 $4,000 $12,000 $6,000 $25,000 $5,000 $5,000 $2,000 $5,000 $2,500 $5,000 $2,000

Case Terminated.

Case Terminated.


56

ZAGE 2013-1(HMT)ZAGF 2012-1(HMT)ZAIA 2013-1(HMT)ZAIL 2012-1(HMT)ZAIN 2013-1(HMT)ZAJE 2012-4(HMT)ZAKQ 2013-1(HMT)ZALN 2012-1(HMT)ZALN 2012-2(HMT)ZALQ 2012-1(HMT)ZAMC 2012-1(HMT)ZAMM 2012-1(HMT)ZAMP 2011-1(HMT)ZAMU 2012-1(HMT)ZAMU 2013-1(HMT)ZAND 2013-1(HMT)ZANE 2013-1(HMT)ZAOL 2011-1(HMT)ZAOW 2013-1(HMT)ZAPC 2012-1(HMT)ZAPC 2013-1(HMT)ZAPL 2013-1(HMT)ZAPV 2012-1(HMT)ZAPX 2011-1(HMT)ZAPX 2012-1(HMT)ZARCH 2013-1(HMT)ZARCI 2012-3(HMT)ZARCI 2013-1(HMT)ZARK 2013-1(HMT)ZARK 2013-2(HMT)ZARK 2013-3(HMT)ZASY 2013-1(HMT)ZATO 2012-2(HMT)ZATO 2012-3(HMT)ZATO 2012-4(HMT)ZAUI 2013-1(HMT)ZAUL 2011-2(HMT)ZAUL 2012-1(HMT)ZAWO 2012-1(HMT)ZAXI 2010-1(HMT)ZAXI 2012-1(HMT)ZAXI 2013-1(HMT)ZAXI 2013-2(HMT)ZBAK 2011-1(HMT)ZBAS 2012-5(HMT)ZBAS 2013-1(HMT)ZBAS 2013-2(HMT)ZBAS 2013-3(HMT)ZBAS 2013-4(HMT)

FRA No.

03/07/201310/03/201208/06/201311/07/201203/26/201310/16/201203/20/201310/19/201210/19/201202/28/201312/12/201201/17/201309/06/201310/10/201202/28/201305/17/201307/12/201308/27/201307/15/201311/06/201204/30/201309/06/201304/02/201301/15/201301/15/201309/10/201301/22/201305/03/201303/14/201303/14/201309/20/201308/19/201304/04/201304/04/201304/04/201309/06/201310/01/201210/01/201210/02/201205/31/201305/31/201305/31/201305/31/201304/05/201303/26/201303/26/201305/16/201305/15/201306/05/2013


1111111411111111111111111311111121111112131121111

No. ofViolations

$4,000 $10,000 $5,000 $2,000 $5,000 $10,000 $5,000 $20,000 $5,000 $7,500 $5,000 $4,000 $2,000 $10,000 $10,000 $5,000 $2,000 $5,000 $10,000 $2,000 $2,000 $2,000 $10,000 $5,000 $5,000 $6,000 $5,000 $5,000 $5,000 $7,500 $5,000 $10,000 $20,000 $5,000 $5,000 $5,000 $10,000 $5,000 $2,000 $5,000 $5,000 $22,500 $5,000 $2,000 $10,000 $2,000 $5,000 $2,000 $15,000

PRCA

$0 $7,500 $3,400 $2,000 $5,000 $7,700 $5,000 $14,800 $3,500 $7,500 $3,400 $4,000 $1,300 $10,000 $10,000 $3,400 $1,200 $0 $6,900 $2,000 $2,000 $1,300 $5,100 $3,600 $2,500 $4,200 $3,500 $3,500 $3,250 $4,725 $3,500 $7,200 $14,000 $3,200 $3,200 $3,500 $7,700 $5,000 $2,000 $2,750 $3,750 $17,000 $3,500 $1,600 $10,000 $2,000 $5,000 $2,000 $15,000

SettlementAmount


12-13-13

POCA

$0 $10,000 $5,000 $2,000 $5,000 $10,000 $5,000 $20,000 $5,000 $7,500 $5,000 $4,000 $2,000 $10,000 $10,000 $5,000 $2,000 $0 $10,000 $2,000 $2,000 $2,000 $10,000 $5,000 $5,000 $6,000 $5,000 $5,000 $5,000 $7,500 $5,000 $10,000 $20,000 $5,000 $5,000 $5,000 $10,000 $5,000 $2,000 $5,000 $5,000 $22,500 $5,000 $2,000 $10,000 $2,000 $5,000 $2,000 $15,000

Case Terminated.

Case Terminated.

57

ZBAS 2013-5(HMT)ZBCB 2010-1(HMT)ZBCB 2011-1(HMT)ZBEI 2012-1(HMT)ZBEL 2012-1(HMT)ZBEY 2011-1(HMT)ZBFE 2011-1(HMT)ZBKO 2012-1(HMT)ZBKO 2012-2(HMT)ZBMA 2011-8(HMT)ZBMA 2012-1(HMT)ZBORE 2012-1(HMT)ZBOW 2012-1(HMT)ZBRP 2005-1(HMT)ZBRP 2008-1(HMT)ZBRP 2010-1(HMT)ZBRQ 2012-1(HMT)ZBRZ 2011-1(HMT)ZBSF 2013-1(HMT)ZBSF 2013-2(HMT)ZBSF 2013-3(HMT)ZBSN 2013-1(HMT)ZBSW 2011-1(HMT)ZBTA 2011-1(HMT)ZBTN 2013-1(HMT)ZBTS 2011-1(HMT)ZBUK 2012-1(HMT)ZBUT 2013-1(HMT)ZBVD 2013-1(HMT)ZBWS 2011-1(HMT)ZCACT 2013-1(HMT)ZCALC 2013-1(HMT)ZCAX 2012-2(HMT)ZCAX 2012-3(HMT)ZCAX 2012-4(HMT)ZCAX 2013-1(HMT)ZCBM 2013-1(HMT)ZCBP 2012-1(HMT)ZCGL 2013-1(HMT)ZCHEV 2011-1(HMT)ZCHEV 2013-1(HMT)ZCHEV 2013-2(HMT)ZCIE 2013-1(HMT)ZCLAR 2012-1(HMT)ZCLU 2010-1(HMT)ZCLU 2010-3(HMT)ZCLU 2010-4(HMT)ZCLU 2010-5(HMT)ZCLU 2010-6(HMT)

FRA No.

09/25/201305/03/201305/03/201303/04/201305/07/201305/21/201312/06/201205/08/201305/08/201304/01/201304/01/201312/06/201201/28/201303/20/201303/20/201303/20/201304/25/201304/03/201305/15/201305/15/201305/15/201306/03/201303/14/201304/18/201309/09/201304/17/201311/06/201204/26/201309/05/201305/14/201305/13/201305/28/201303/11/201303/11/201303/11/201305/13/201305/07/201310/15/201205/23/201307/02/201307/02/201307/29/201309/05/201302/04/201305/10/201305/10/201305/10/201305/10/201305/10/2013


2131532112111111142139121111121132111111112211121

No. ofViolations

$4,000 $2,000 $6,000 $5,000 $30,000 $22,500 $10,000 $10,000 $10,000 $20,000 $2,000 $2,000 $2,000 $2,000 $5,000 $2,000 $10,000 $10,000 $4,000 $2,000 $6,000 $37,500 $2,000 $6,000 $2,000 $2,000 $2,000 $10,000 $7,500 $9,500 $2,000 $5,000 $15,000 $14,000 $2,000 $5,000 $1,000 $2,000 $5,000 $5,000 $10,000 $2,000 $10,000 $9,000 $5,000 $10,000 $5,000 $4,000 $10,000

PRCA

$4,000 $1,600 $4,800 $5,000 $16,000 $10,000 $3,500 $5,000 $7,500 $16,000 $1,600 $1,600 $2,000 $0 $1,600 $1,600 $9,000 $1,800 $4,000 $2,000 $6,000 $30,000 $1,600 $4,800 $1,500 $1,600 $2,000 $4,000 $7,500 $6,650 $2,000 $5,000 $15,000 $14,000 $2,000 $5,000 $1,000 $2,000 $3,650 $3,650 $7,300 $2,000 $10,000 $9,000 $3,000 $7,000 $3,200 $3,000 $7,000

SettlementAmount


12-13-13

POCA

$4,000 $2,000 $6,000 $5,000 $30,000 $22,500 $5,000 $10,000 $10,000 $20,000 $2,000 $2,000 $2,000 $0 $5,000 $2,000 $10,000 $10,000 $4,000 $2,000 $6,000 $37,500 $2,000 $6,000 $2,000 $2,000 $2,000 $10,000 $7,500 $9,500 $2,000 $5,000 $15,000 $14,000 $2,000 $5,000 $1,000 $2,000 $5,000 $5,000 $10,000 $2,000 $10,000 $9,000 $5,000 $10,000 $5,000 $4,000 $10,000


Case Terminated.

58

ZCLU 2011-1(HMT)ZCLU 2011-2(HMT)ZCLU 2011-3(HMT)ZCLU 2013-1(HMT)ZCLU 2013-2(HMT)ZCLU 2013-3(HMT)ZCMT 2012-1(HMT)ZCNC 2012-1(HMT)ZCNC 2013-1(HMT)ZCPCL 2009-1(HMT)ZCPCL 2010-2(HMT)ZCPCL 2011-1(HMT)ZCPCL 2011-2(HMT)ZCSU 2013-1(HMT)ZCSU 2013-2(HMT)ZCXU 2013-1(HMT)ZCYZ 2012-1(HMT)ZDAA 2012-1(HMT)ZDAK 2012-1(HMT)ZDANT 2013-1(HMT)ZDANT 2013-2(HMT)ZDAS 2012-1(HMT)ZDBW 2013-1(HMT)ZDCL 2013-1(HMT)ZDCL 2013-2(HMT)ZDCN 2012-1(HMT)ZDCPC 2012-1(HMT)ZDCS 2012-1(HMT)ZDCU 2012-1(HMT)ZDCU 2012-2(HMT)ZDCU 2012-3(HMT)ZDCU 2012-4(HMT)ZDCU 2013-2(HMT)ZDF 2012-1(HMT)ZDGA 2012-1(HMT)ZDGC 2012-1(HMT)ZDGC 2013-1(HMT)ZDKE 2012-1(HMT)ZDKR 2013-1(HMT)ZDKR 2013-2(HMT)ZDLT 2013-1(HMT)ZDNC 2011-1(HMT)ZDOW 2013-1(HMT)ZDRY 2012-1(HMT)ZDRY 2013-1(HMT)ZDTI 2012-1(HMT)ZDTLP 2013-1(HMT)ZDTR 2012-1(HMT)ZDUP 2011-4(HMT)

FRA No.

05/10/201305/10/201305/10/201305/10/201307/22/201307/22/201302/04/201302/04/201309/03/201307/12/201305/13/201305/13/201305/13/201305/13/201305/13/201306/17/201302/14/201301/07/201312/17/201203/20/201303/20/201302/20/201307/18/201305/08/201305/08/201311/19/201211/12/201211/30/201202/20/201302/20/201302/20/201302/20/201305/14/201312/06/201201/15/201302/27/201306/24/201311/26/201203/22/201305/07/201305/20/201312/06/201205/06/201302/06/201304/22/201302/25/201303/25/201301/10/201312/06/2012


311311111111131211241111112121111111111115301611114

No. ofViolations

$15,000 $5,000 $10,000 $6,000 $10,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $2,000 $2,000 $11,000 $10,000 $10,000 $5,000 $20,500 $8,000 $2,000 $2,000 $5,000 $10,000 $7,500 $7,500 $8,000 $10,000 $15,000 $10,000 $5,000 $2,000 $2,000 $2,000 $2,000 $10,000 $2,000 $10,000 $2,000 $10,000 $10,000 $10,000 $75,000 $10,000 $12,000 $2,000 $2,000 $2,000 $5,000 $16,000

PRCA

$10,200 $3,200 $7,000 $4,000 $6,800 $3,200 $5,000 $5,000 $5,000 $3,600 $3,600 $1,400 $1,400 $11,000 $10,000 $10,000 $5,000 $20,500 $6,000 $1,300 $1,100 $4,000 $4,500 $5,000 $5,000 $4,000 $7,500 $0 $7,500 $4,000 $1,500 $1,500 $0 $1,500 $7,500 $1,500 $7,500 $0 $10,000 $10,000 $6,250 $30,000 $6,500 $1,500 $1,000 $2,000 $2,000 $5,000 $12,000

SettlementAmount


12-13-13

POCA

$15,000 $5,000 $10,000 $6,000 $10,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $2,000 $2,000 $11,000 $10,000 $10,000 $5,000 $20,500 $8,000 $2,000 $2,000 $5,000 $10,000 $7,500 $7,500 $8,000 $10,000 $0 $10,000 $5,000 $2,000 $2,000 $0 $2,000 $10,000 $2,000 $10,000 $0 $10,000 $10,000 $10,000 $75,000 $10,000 $12,000 $2,000 $2,000 $2,000 $5,000 $16,000

Case Terminated.

Case Terminated.

Case Terminated.

59

ZDUP 2012-1(HMT)ZDWC 2012-1(HMT)ZDYI 2012-1(HMT)ZECB 2012-2(HMT)ZECN 2013-1(HMT)ZEDC 2013-1(HMT)ZEJG 2012-1(HMT)ZEJG 2013-1(HMT)ZEMB 2012-1(HMT)ZEMB 2012-2(HMT)ZEMCC 2012-2(HMT)ZEMCC 2012-3(HMT)ZEMCC 2012-4(HMT)ZEMCC 2013-1(HMT)ZEOB 2013-1(HMT)ZEOR 2013-1(HMT)ZEOR 2013-2(HMT)ZEPC 2012-2(HMT)ZEPC 2013-1(HMT)ZEPC 2013-2(HMT)ZEPC 2013-3(HMT)ZEQU 2012-2(HMT)ZEQU 2012-3(HMT)ZEQU 2012-4(HMT)ZEQU 2013-1(HMT)ZERI 2013-1(HMT)ZERV 2013-1(HMT)ZERX 2012-1(HMT)ZEWW 2013-1(HMT)ZEZZ 2012-1(HMT)ZFCL 2013-1(HMT)ZFHR 2012-5(HMT)ZFHR 2013-1(HMT)ZFHR 2013-2(HMT)ZFIE 2012-1(HMT)ZFRQ 2007-1(HMT)ZGATX 2012-1(HMT)ZGAV 2012-1(HMT)ZGAV 2012-2(HMT)ZGCC 2012-2(HMT)ZGCL 2012-1(HMT)ZGCL 2012-2(HMT)ZGEO 2011-1(HMT)ZGEO 2011-2(HMT)ZGEO 2012-1(HMT)ZGEPA 2011-1(HMT)ZGEPA 2013-1(HMT)ZGEPA 2013-2(HMT)ZGEU 2012-1(HMT)

FRA No.

12/06/201206/24/201301/03/201310/05/201203/14/201303/26/201312/19/201207/08/201306/03/201306/03/201310/11/201210/02/201202/01/201307/08/201307/16/201302/19/201302/19/201302/12/201304/29/201306/14/201309/03/201301/13/201301/31/201308/20/201308/20/201309/26/201305/01/201310/20/201209/17/201303/05/201309/12/201303/07/201304/25/201307/18/201311/05/201205/30/201304/26/201305/06/201305/06/201302/21/201304/26/201304/26/201305/29/201305/29/201305/29/201305/08/201305/08/201305/29/201305/27/2013


2211112411112111121111111111111311111111111111111

No. ofViolations

$4,000 $10,000 $10,000 $10,000 $5,000 $5,000 $4,000 $8,000 $5,000 $2,000 $5,000 $5,000 $2,000 $2,500 $2,000 $5,000 $5,000 $4,000 $2,000 $10,000 $10,000 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,000 $5,000 $2,500 $5,000 $15,000 $5,000 $2,500 $5,000 $5,000 $7,500 $5,000 $7,500 $7,500 $7,500 $7,500 $7,500 $7,500 $2,500 $7,500 $5,000 $7,500 $5,000

PRCA

$3,000 $6,500 $8,000 $10,000 $3,500 $5,000 $4,000 $8,000 $3,500 $1,200 $2,950 $3,300 $2,000 $2,500 $1,400 $5,000 $5,000 $4,000 $2,000 $10,000 $10,000 $3,700 $3,500 $3,500 $3,300 $3,600 $0 $1,400 $3,500 $2,500 $5,000 $15,000 $5,000 $2,500 $3,200 $0 $6,000 $4,000 $6,000 $7,500 $6,000 $0 $6,000 $6,000 $2,000 $5,500 $4,500 $6,000 $3,700

SettlementAmount


12-13-13

POCA

$4,000 $10,000 $10,000 $10,000 $5,000 $5,000 $4,000 $8,000 $5,000 $2,000 $5,000 $5,000 $2,000 $2,500 $2,000 $5,000 $5,000 $4,000 $2,000 $10,000 $10,000 $5,000 $5,000 $5,000 $5,000 $5,000 $0 $2,000 $5,000 $2,500 $5,000 $15,000 $5,000 $2,500 $5,000 $0 $7,500 $5,000 $7,500 $7,500 $7,500 $0 $7,500 $7,500 $2,500 $7,500 $5,000 $7,500 $5,000

Case Terminated.

Case Terminated.

Case Terminated.

60

ZGIP 2010-1(HMT)ZGLE 2010-1(HMT)ZGLE 2012-1(HMT)ZGLE 2013-1(HMT)ZGLM 2012-1(HMT)ZGPS 2011-1(HMT)ZGPS 2012-1(HMT)ZGPS 2013-1(HMT)ZGRR 2012-1(HMT)ZGSZ 2012-1(HMT)ZGSZ 2012-2(HMT)ZGSZ 2013-4(HMT)ZGSZ 2013-5(HMT)ZGTM 2011-1(HMT)ZGTR 2011-1(HMT)ZHCG 2013-1(HMT)ZHCP 2012-1(HMT)ZHCQ 2011-1(HMT)ZHCQ 2012-1(HMT)ZHCQ 2012-2(HMT)ZHCQ 2012-3(HMT)ZHCQ 2012-4(HMT)ZHCQ 2012-5(HMT)ZHCQ 2012-6(HMT)ZHCQ 2013-1(HMT)ZHCQ 2013-2(HMT)ZHCQ 2013-3(HMT)ZHCQ 2013-4(HMT)ZHET 2012-1(HMT)ZHFO 2013-1(HMT)ZHFR 2013-1(HMT)ZHFR 2013-2(HMT)ZHGL 2013-1(HMT)ZHKD 2009-3(HMT)ZHLA 2009-1(HMT)ZHLLC 2011-1(HMT)ZHMI 2008-1(HMT)ZHNI 2011-1(HMT)ZHNI 2012-1(HMT)ZHNI 2013-1(HMT)ZHOI 2013-1(HMT)ZHRM 2013-1(HMT)ZHSL 2013-1(HMT)ZHUD 2008-2(HMT)ZHUNT 2012-1(HMT)ZHUT 2012-1(HMT)ZHVC 2012-3(HMT)ZHWH 2009-1(HMT)ZIBS 2012-1(HMT)

FRA No.

05/27/201305/29/201305/08/201309/13/201311/19/201205/03/201305/24/201305/24/201304/26/201302/14/201303/11/201305/01/201305/01/201305/08/201305/29/201304/04/201307/11/201308/05/201308/05/201308/05/201308/05/201308/05/201308/05/201308/05/201308/05/201308/05/201308/05/201309/26/201305/30/201308/19/201307/17/201309/16/201304/24/201305/28/201305/24/201309/18/201303/06/201306/27/201311/15/201209/16/201309/26/201304/09/201304/26/201303/11/201307/08/201303/01/201311/30/201206/27/201311/20/2012


1111111111111112125221124211121212121115112111141

No. ofViolations

$5,000 $5,000 $5,000 $5,000 $4,000 $7,500 $10,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $5,000 $10,000 $5,000 $14,000 $26,000 $12,500 $10,000 $5,000 $10,000 $15,000 $18,500 $10,000 $2,500 $5,000 $5,000 $15,000 $2,000 $4,500 $5,000 $10,000 $7,500 $10,000 $3,000 $10,000 $5,000 $10,000 $5,000 $5,000 $10,000 $2,000 $10,000 $5,000 $7,500 $8,000 $1,000

PRCA

$3,700 $3,750 $3,750 $5,000 $4,000 $5,250 $7,000 $3,400 $3,000 $5,000 $0 $5,000 $5,000 $2,000 $4,000 $10,000 $3,800 $10,250 $20,000 $9,300 $7,500 $3,500 $8,500 $12,000 $14,000 $7,000 $1,750 $4,000 $3,700 $11,500 $2,000 $4,500 $0 $8,500 $6,400 $8,000 $2,400 $9,000 $5,000 $10,000 $5,000 $5,000 $10,000 $2,000 $7,500 $5,000 $7,500 $5,000 $1,000

SettlementAmount


12-13-13

POCA

$5,000 $5,000 $5,000 $5,000 $4,000 $7,500 $10,000 $5,000 $5,000 $5,000 $0 $5,000 $5,000 $2,500 $5,000 $10,000 $5,000 $14,000 $26,000 $12,500 $10,000 $5,000 $10,000 $15,000 $18,500 $10,000 $2,500 $5,000 $5,000 $15,000 $2,000 $4,500 $0 $10,000 $7,500 $10,000 $3,000 $10,000 $5,000 $10,000 $5,000 $5,000 $10,000 $2,000 $10,000 $5,000 $7,500 $8,000 $1,000

Case Terminated.

Case Terminated.

61

ZIDA 2012-1(HMT)ZIDS 2010-1(HMT)ZIDY 2013-1(HMT)ZIES 2012-1(HMT)ZIGM 2013-1(HMT)ZIMO 2012-4(HMT)ZINTT 2012-2(HMT)ZIOD 2012-1(HMT)ZIOL 2013-1(HMT)ZIOL 2013-2(HMT)ZIOW 2007-2(HMT)ZIOW 2011-1(HMT)ZIP 2012-4(HMT)ZIP 2013-1(HMT)ZIPB 2013-1(HMT)ZIRO 2012-2(HMT)ZIRO 2012-3(HMT)ZIRO 2012-4(HMT)ZIRO 2013-1(HMT)ZIRO 2013-2(HMT)ZIRO 2013-3(HMT)ZISRV 2012-2(HMT)ZITT 2013-1(HMT)ZITX 2013-1(HMT)ZJHO 2012-1(HMT)ZJLM 2008-1(HMT)ZJPC 2012-1(HMT)ZJXN 2012-1(HMT)ZKEL 2012-1(HMT)ZKFC 2012-1(HMT)ZKML 2013-1(HMT)ZKML 2013-2(HMT)ZKML 2013-3(HMT)ZKMM 2012-1(HMT)ZKMM 2012-2(HMT)ZKMM 2012-3(HMT)ZKMM 2012-4(HMT)ZKMQ 2012-3(HMT)ZKMQ 2012-4(HMT)ZKMQ 2012-5(HMT)ZKMQ 2012-6(HMT)ZKOR 2009-1(HMT)ZKPI 2012-1(HMT)ZKPI 2013-1(HMT)ZKPI 2013-2(HMT)ZLAN 2013-1(HMT)ZLDE 2006-1(HMT)ZLDE 2007-1(HMT)ZLDE 2007-2(HMT)

FRA No.

12/27/201205/08/201308/26/201301/21/201308/22/201312/21/201211/01/201202/28/201309/25/201309/25/201305/30/201305/28/201302/08/201309/03/201309/04/201310/17/201201/11/201301/11/201309/25/201309/25/201309/25/201302/14/201303/13/201309/27/201312/18/201212/10/201212/21/201211/19/201201/18/201303/15/201308/01/201308/01/201308/26/201310/30/201210/30/201210/30/201201/28/201310/30/201210/30/201203/01/201304/26/201309/09/201301/18/201303/25/201307/19/201305/29/201304/16/201304/16/201304/16/2013


11221131111113114661111261111111111112111243112212

No. ofViolations

$5,000 $4,000 $4,000 $4,000 $5,000 $10,000 $15,000 $5,000 $2,000 $2,000 $55,000 $10,000 $4,000 $5,000 $2,000 $40,000 $12,500 $12,000 $10,000 $2,000 $2,000 $5,000 $12,000 $60,000 $2,000 $10,000 $2,000 $10,000 $10,000 $7,500 $2,000 $2,000 $2,000 $2,000 $7,500 $5,000 $8,000 $2,000 $5,000 $5,000 $4,000 $14,500 $15,000 $5,000 $7,500 $4,500 $20,000 $5,000 $7,000

PRCA

$3,000 $2,000 $4,000 $2,800 $0 $10,000 $12,000 $3,800 $1,500 $1,500 $0 $9,000 $4,000 $4,000 $2,000 $29,000 $9,400 $9,000 $8,500 $1,500 $1,500 $4,000 $9,300 $9,750 $2,000 $0 $1,300 $10,000 $5,000 $6,000 $1,500 $1,500 $2,000 $1,600 $6,000 $4,000 $6,400 $1,600 $3,500 $4,000 $3,000 $4,000 $6,800 $3,200 $5,000 $4,500 $0 $0 $0

SettlementAmount


12-13-13

POCA

$5,000 $4,000 $4,000 $4,000 $0 $10,000 $15,000 $5,000 $2,000 $2,000 $0 $10,000 $4,000 $5,000 $2,000 $40,000 $12,500 $12,000 $10,000 $2,000 $2,000 $5,000 $12,000 $60,000 $2,000 $0 $2,000 $10,000 $10,000 $7,500 $2,000 $2,000 $2,000 $2,000 $7,500 $5,000 $8,000 $2,000 $5,000 $5,000 $4,000 $14,500 $10,000 $5,000 $7,500 $4,500 $0 $0 $0

Case Terminated.

Case Terminated.

Case Terminated.



62

ZLDE 2010-1(HMT)ZLDE 2010-2(HMT)ZLDE 2011-1(HMT)ZLDE 2011-2(HMT)ZLDE 2012-1(HMT)ZLDE 2012-2(HMT)ZLDE 2012-3(HMT)ZLDE 2013-1(HMT)ZLFI 2009-1(HMT)ZLGL 2012-1(HMT)ZLGL 2013-1(HMT)ZLOU 2012-1(HMT)ZLQT 2012-1(HMT)ZLUB 2009-1(HMT)ZLUB 2009-3(HMT)ZLUB 2009-4(HMT)ZLUB 2011-1(HMT)ZLUB 2011-2(HMT)ZLUB 2011-3(HMT)ZLUB 2011-4(HMT)ZLUB 2012-1(HMT)ZLUB 2013-1(HMT)ZLUB 2013-2(HMT)ZMAI 2001-1(HMT)ZMCO 2007-1(HMT)ZMDI 2012-1(HMT)ZMDX 2013-1(HMT)ZMDX 2013-2(HMT)ZMED 2010-1(HMT)ZMEG 2011-1(HMT)ZMEG 2012-1(HMT)ZMFQ 2012-1(HMT)ZMFQ 2013-1(HMT)ZMIO 2008-1(HMT)ZMIO 2008-2(HMT)ZMIO 2009-1(HMT)ZMIO 2011-1(HMT)ZMIR 2012-1(HMT)ZMMM 2012-1(HMT)ZMNB 2013-1(HMT)ZMNP 2013-1(HMT)ZMOR 2012-1(HMT)ZMOSK 2008-1(HMT)ZMPA 2011-1(HMT)ZMPT 2008-2(HMT)ZMPT 2011-2(HMT)ZMQE 2012-2(HMT)ZMTE 2011-1(HMT)ZMTE 2011-2(HMT)

FRA No.

04/16/201304/16/201304/16/201304/16/201304/16/201304/16/201304/16/201305/30/201305/13/201310/22/201209/04/201303/01/201304/03/201305/28/201305/28/201305/28/201305/28/201305/28/201305/28/201305/28/201305/28/201305/28/201305/28/201305/31/201305/31/201303/21/201303/12/201306/14/201305/30/201302/21/201311/20/201203/26/201308/14/201302/28/201301/25/201301/11/201301/11/201302/26/201302/12/201307/01/201305/31/201305/20/201305/07/201302/27/201302/27/201302/27/201304/29/201301/25/201301/25/2013


1111111113111111111121131113211211111111112521252

No. ofViolations

$10,000 $10,000 $10,000 $5,000 $10,000 $5,000 $10,000 $5,000 $2,000 $7,500 $4,000 $1,500 $2,000 $10,000 $2,000 $5,000 $10,000 $10,000 $10,000 $10,000 $4,000 $10,000 $5,000 $12,000 $15,000 $2,000 $2,000 $10,000 $8,000 $5,000 $5,000 $4,000 $2,000 $10,000 $1,000 $5,000 $5,000 $5,000 $2,000 $10,000 $5,000 $2,000 $8,000 $10,000 $5,000 $10,000 $10,000 $10,000 $4,000

PRCA

$6,700 $6,300 $6,700 $3,300 $6,300 $3,250 $6,500 $3,250 $1,300 $4,800 $2,750 $1,500 $1,350 $6,500 $1,300 $3,250 $6,700 $6,700 $6,700 $6,700 $2,700 $6,700 $3,250 $0 $0 $1,000 $1,600 $8,000 $6,400 $4,000 $3,500 $4,000 $1,400 $0 $650 $3,450 $3,450 $3,500 $2,000 $6,500 $4,000 $2,000 $0 $8,500 $3,000 $8,500 $8,000 $7,000 $2,800

SettlementAmount


12-13-13

POCA

$10,000 $10,000 $10,000 $5,000 $10,000 $5,000 $10,000 $5,000 $2,000 $7,500 $4,000 $1,500 $2,000 $10,000 $2,000 $5,000 $10,000 $10,000 $10,000 $10,000 $4,000 $10,000 $5,000 $0 $0 $2,000 $2,000 $10,000 $8,000 $5,000 $5,000 $4,000 $2,000 $0 $1,000 $5,000 $5,000 $5,000 $2,000 $10,000 $5,000 $2,000 $0 $10,000 $5,000 $10,000 $10,000 $10,000 $4,000


Case Terminated.

Case Terminated.

63

ZMTE 2011-3(HMT)ZMTE 2012-1(HMT)ZMTE 2012-2(HMT)ZMTE 2012-3(HMT)ZMTE 2012-4(HMT)ZMTE 2012-5(HMT)ZMTE 2012-6(HMT)ZMTE 2013-1(HMT)ZMTE 2013-2(HMT)ZMTQ 2008-1(RW)ZMU 2013-1(HMT)ZMUR 2011-1(HMT)ZMUSK 2012-5(HMT)ZMUSK 2013-1(HMT)ZMWC 2011-1(HMT)ZMWC 2011-2(HMT)ZMWV 2009-1(HMT)ZMWV 2011-1(TS)ZMWV 2012-1(HMT)ZMYT 2010-1(HMT)ZMYT 2011-1(HMT)ZNA 2012-1(HMT)ZNAL 2012-1(HMT)ZNBX 2009-1(HMT)ZNCAS 2011-1(HMT)ZNCH 2006-1(HMT)ZNCP 2004-1(HMT)ZNCPI 2003-1(HMT)ZNCR 2007-1(HMT)ZNDM 2013-1(HMT)ZNEW 2012-1(HMT)ZNGL 2012-1(HMT)ZNIP 2004-1(HMT)ZNMU 2008-1(HMT)ZNMU 2009-1(HMT)ZNOS 2013-1(HMT)ZNOV 2009-1(HMT)ZNOV 2012-2(HMT)ZNOVI 2004-1(HMT)ZNOVI 2004-2(HMT)ZNOVI 2004-3(HMT)ZNRC 2004-1(HMT)ZNRC 2005-1(HMT)ZNRC 2006-1(HMT)ZNRCI 2006-1(HMT)ZNRCI 2006-2(HMT)ZNSI 2004-1(HMT)ZNSI 2005-1(HMT)ZNSL 2003-1(HMT)

FRA No.

01/25/201301/25/201301/25/201301/25/201301/25/201301/07/201302/11/201304/01/201303/21/201310/10/201207/08/201304/01/201301/06/201308/12/201305/14/201305/14/201303/13/201304/16/201305/14/201305/24/201305/24/201310/02/201212/13/201205/21/201303/19/201305/13/201305/21/201305/21/201305/21/201305/01/201312/03/201201/02/201305/21/201312/07/201212/07/201203/19/201305/21/201310/17/201205/13/201305/13/201305/13/201305/13/201305/13/201305/13/201305/21/201305/21/201305/13/201305/13/201305/13/2013


1121171421141121111111111111111121111312111211222

No. ofViolations

$2,000 $5,000 $4,000 $2,000 $10,000 $19,000 $10,000 $8,000 $4,000 $2,000 $2,000 $16,000 $5,000 $5,000 $7,000 $10,000 $7,500 $5,000 $10,000 $5,000 $7,500 $2,000 $10,000 $5,000 $10,000 $2,500 $5,000 $5,000 $10,000 $2,000 $5,000 $2,500 $17,500 $10,000 $10,000 $5,000 $10,000 $5,000 $15,000 $4,000 $5,000 $10,000 $5,000 $10,000 $7,500 $7,500 $3,000 $7,000 $5,000

PRCA

$1,400 $0 $2,800 $1,200 $7,500 $19,000 $10,000 $8,000 $3,000 $0 $0 $10,000 $5,000 $5,000 $4,600 $7,000 $0 $3,000 $8,500 $2,500 $3,750 $2,000 $8,000 $0 $6,000 $0 $0 $0 $0 $2,000 $4,995 $2,500 $0 $7,500 $7,500 $5,000 $0 $5,000 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0

SettlementAmount


12-13-13

POCA

$2,000 $0 $4,000 $2,000 $10,000 $19,000 $10,000 $8,000 $4,000 $0 $0 $10,000 $5,000 $5,000 $7,000 $10,000 $0 $5,000 $10,000 $5,000 $7,500 $2,000 $10,000 $0 $10,000 $0 $0 $0 $0 $2,000 $5,000 $2,500 $0 $10,000 $10,000 $5,000 $0 $5,000 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0

Case Terminated.

Case Terminated.Case Terminated.Terminated Violation(s): 1.

Case Terminated.

Case Terminated.


Case Terminated.

Case Terminated.

Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.

64

ZNSQ 2006-1(HMT)ZNTR 2005-1(HMT)ZNTR 2006-1(HMT)ZNUS 2012-1(HMT)ZNUS 2013-1(HMT)ZNUS 2013-2(HMT)ZNXE 2012-1(HMT)ZNXE 2012-2(HMT)ZNYT 2007-1(HMT)ZNYT 2012-2(HMT)ZNYT 2013-1(HMT)ZNYT 2013-2(HMT)ZOCC 2009-6(HMT)ZOCC 2012-3(HMT)ZOCC 2012-4(HMT)ZOCC 2012-5(HMT)ZOCC 2012-6(HMT)ZOCC 2013-1(HMT)ZOCC 2013-2(HMT)ZOCC 2013-3(HMT)ZOCC 2013-4(HMT)ZOCC 2013-5(HMT)ZOEE 2012-1(HMT)ZOEE 2013-1(HMT)ZOEE 2013-2(HMT)ZOLI 2013-1(HMT)ZOLI 2013-2(HMT)ZOME 2013-1(HMT)ZORI 2013-1(HMT)ZORM 2013-1(HMT)ZORR 2011-1(HMT)ZOTER 2013-1(HMT)ZOTT 2012-5(HMT)ZOTT 2013-1(HMT)ZOWC 2012-1(HMT)ZOWP 2013-1(RW)ZOXV 2013-1(HMT)ZPBB 2013-1(HMT)ZPBH 2008-3(HMT)ZPBH 2011-1(HMT)ZPBH 2011-2(HMT)ZPBH 2011-4(HMT)ZPBH 2012-1(HMT)ZPBH 2012-2(HMT)ZPBH 2012-3(HMT)ZPBH 2012-4(HMT)ZPBQ 2008-1(HMT)ZPBQ 2008-5(HMT)ZPBQ 2008-8(HMT)

FRA No.

05/21/201305/13/201305/21/201311/15/201205/28/201309/30/201305/01/201305/01/201305/21/201310/22/201204/29/201304/29/201301/28/201301/28/201301/28/201301/28/201301/28/201307/26/201307/26/201303/20/201308/26/201308/26/201312/28/201204/15/201305/23/201304/02/201304/29/201303/20/201305/02/201308/29/201305/28/201305/14/201312/04/201202/14/201301/24/201305/29/201308/26/201306/03/201305/14/201305/14/201305/14/201305/14/201305/14/201305/31/201305/31/201305/31/201305/12/201305/12/201305/12/2013


3211111222211111113111251111211111111311111111421

No. ofViolations

$3,000 $7,000 $5,000 $10,000 $2,500 $2,000 $5,000 $5,000 $6,000 $4,000 $8,000 $5,000 $10,000 $5,000 $5,000 $4,000 $5,000 $5,000 $30,000 $5,000 $5,000 $1,000 $10,000 $30,000 $5,000 $5,000 $5,000 $1,000 $4,000 $5,000 $5,000 $2,000 $5,000 $5,000 $4,000 $2,000 $5,000 $15,000 $5,000 $10,000 $5,000 $10,000 $2,500 $10,000 $10,000 $5,000 $25,000 $10,000 $5,000

PRCA

$0 $0 $0 $6,800 $2,500 $2,000 $3,850 $3,900 $0 $4,000 $8,000 $5,000 $5,800 $3,100 $3,100 $3,000 $3,100 $3,100 $20,400 $0 $3,100 $675 $8,000 $23,600 $4,000 $4,000 $4,500 $1,000 $4,000 $3,300 $2,750 $2,000 $3,400 $3,000 $3,200 $1,600 $3,500 $11,300 $3,700 $8,000 $3,900 $8,000 $1,900 $7,500 $7,000 $3,500 $0 $7,400 $3,700

SettlementAmount


12-13-13

POCA

$0 $0 $0 $10,000 $2,500 $2,000 $5,000 $5,000 $0 $4,000 $8,000 $5,000 $10,000 $5,000 $5,000 $4,000 $5,000 $5,000 $30,000 $0 $5,000 $1,000 $10,000 $30,000 $5,000 $5,000 $5,000 $1,000 $4,000 $5,000 $5,000 $2,000 $5,000 $5,000 $4,000 $2,000 $5,000 $15,000 $5,000 $10,000 $5,000 $10,000 $2,500 $10,000 $10,000 $5,000 $0 $10,000 $5,000


Case Terminated.

Case Terminated.

Case Terminated.

65

ZPBQ 2008-9(HMT)ZPBQ 2009-1(HMT)ZPBQ 2011-1(HMT)ZPBQ 2011-2(HMT)ZPCSS 2010-1(HMT)ZPCSS 2010-2(HMT)ZPCSS 2011-1(HMT)ZPEK 2012-1(HMT)ZPEK 2012-2(HMT)ZPEL 2013-1(HMT)ZPEL 2013-2(HMT)ZPFA 2010-2(HMT)ZPFP 2011-1(HMT)ZPFP 2012-1(HMT)ZPFP 2012-2(HMT)ZPFP 2012-3(HMT)ZPFP 2013-1(HMT)ZPFW 2010-1(HMT)ZPG 2013-1(HMT)ZPGI 2012-1(HMT)ZPGI 2013-1(HMT)ZPHO 2010-1(HMT)ZPHP 2013-1(HMT)ZPLP 2011-1(HMT)ZPLP 2013-1(HMT)ZPLS 2008-1(HMT)ZPLS 2009-1(HMT)ZPMS 2012-1(HMT)ZPND 2012-1(HMT)ZPNF 2010-1(HMT)ZPNF 2010-2(HMT)ZPNF 2010-3(HMT)ZPOW 2012-1(HMT)ZPPG 2010-1(HMT)ZPPG 2012-2(HMT)ZPTE 2011-1(HMT)ZPXC 2012-1(HMT)ZPXR 2013-1(HMT)ZQCP 2008-1(HMT)ZRBW 2013-1(HMT)ZRCA 2012-2(HMT)ZRCQ 2011-3(HMT)ZRCQ 2013-1(HMT)ZRCQ 2013-2(HMT)ZRCQ 2013-3(HMT)ZRDI 2012-1(HMT)ZREM 2013-1(HMT)ZRHQ 2013-1(HMT)ZRKT 2013-1(HMT)

FRA No.

05/12/201305/12/201305/12/201305/12/201305/24/201305/24/201305/24/201310/23/201202/25/201304/21/201304/21/201305/13/201305/28/201305/28/201305/28/201305/28/201306/04/201305/29/201305/01/201305/17/201305/03/201305/24/201305/31/201305/14/201305/14/201305/31/201305/31/201305/30/201311/28/201205/24/201305/24/201305/24/201305/28/201305/15/201305/15/201305/21/201305/31/201304/24/201304/05/201307/29/201310/22/201204/26/201304/26/201309/05/201309/05/201310/01/201208/19/201304/29/201309/05/2013


1421111111141211112211311111211112111111511116111

No. ofViolations

$5,000 $20,000 $15,000 $10,000 $7,500 $5,000 $5,000 $5,000 $5,000 $10,000 $5,000 $17,000 $10,000 $17,500 $10,000 $10,000 $7,500 $7,500 $10,000 $10,000 $2,500 $10,000 $15,000 $2,000 $5,000 $5,000 $2,500 $5,000 $6,000 $5,000 $10,000 $10,000 $10,000 $5,000 $5,000 $5,000 $5,000 $5,000 $2,000 $2,000 $19,000 $10,000 $5,000 $10,000 $5,000 $30,000 $2,000 $2,000 $15,000

PRCA

$3,700 $15,000 $12,000 $7,500 $5,600 $3,500 $3,700 $5,000 $5,000 $10,000 $5,000 $0 $7,800 $13,400 $7,800 $7,800 $7,500 $5,500 $10,000 $7,800 $2,500 $7,800 $10,000 $2,000 $5,000 $0 $1,750 $3,500 $6,000 $3,500 $7,800 $7,800 $7,500 $0 $0 $5,000 $2,900 $3,500 $0 $2,000 $19,000 $10,000 $4,500 $10,000 $5,000 $30,000 $2,000 $2,000 $11,250

SettlementAmount


12-13-13

POCA

$5,000 $20,000 $15,000 $10,000 $7,500 $5,000 $5,000 $5,000 $5,000 $10,000 $5,000 $0 $10,000 $17,500 $10,000 $10,000 $7,500 $7,500 $10,000 $10,000 $2,500 $10,000 $15,000 $2,000 $5,000 $0 $2,500 $5,000 $6,000 $5,000 $10,000 $10,000 $10,000 $0 $0 $5,000 $5,000 $5,000 $0 $2,000 $19,000 $10,000 $5,000 $10,000 $5,000 $30,000 $2,000 $2,000 $15,000

Case Terminated.

Case Terminated.


Case Terminated.

66

ZRLC 2012-1(HMT)ZRLO 2013-1(HMT)ZRMZ 2010-1(HMT)ZRNS 2013-1(HMT)ZRSH 2012-1(HMT)ZRSH 2012-2(HMT)ZRTN 2012-1(HMT)ZSAB 2012-1(HMT)ZSCC 2010-10(HMT)ZSCC 2012-2(HMT)ZSCC 2012-3(HMT)ZSCC 2013-1(HMT)ZSCC 2013-2(HMT)ZSCC 2013-3(HMT)ZSCC 2013-4(HMT)ZSCPI 2008-1(HMT)ZSDI 2012-1(HMT)ZSDI 2012-2(HMT)ZSEU 2011-4(HMT)ZSFI 2009-1(HMT)ZSGQ 2013-1(HMT)ZSHI 2012-1(HMT)ZSHI 2013-1(HMT)ZSHL 2012-2(HMT)ZSHL 2012-3(HMT)ZSI 2012-1(HMT)ZSIMP 2008-1(HMT)ZSLG 2013-1(HMT)ZSLI 2008-1(HMT)ZSLQ 2012-2(HMT)ZSLQ 2012-3(HMT)ZSMS 2013-1(HMT)ZSNWO 2008-1(HMT)ZSOLI 2009-1(HMT)ZSOLI 2012-1(HMT)ZSOT 2008-1(HMT)ZSPH 2013-1(HMT)ZSRM 2013-1(HMT)ZSSCO 2012-1(HMT)ZSSCO 2012-2(HMT)ZSSCO 2012-3(HMT)ZSSCO 2012-4(HMT)ZSSCO 2013-2(HMT)ZSSCO 2013-3(HMT)ZSSCO 2013-4(HMT)ZSSN 2008-1(HMT)ZSSP 2013-1(HMT)ZSTE 2009-1(HMT)ZSTE 2013-1(HMT)

FRA No.

11/09/201209/09/201302/26/201307/23/201309/18/201309/18/201302/15/201312/04/201209/10/201311/21/201212/04/201204/15/201305/16/201309/16/201309/26/201302/25/201310/17/201210/17/201206/17/201310/16/201202/21/201310/11/201204/16/201310/24/201202/04/201310/11/201202/25/201305/01/201302/25/201311/05/201202/01/201308/10/201303/26/201303/26/201303/26/201310/15/201203/04/201302/20/201310/16/201210/16/201210/16/201206/07/201308/19/201308/10/201308/23/201302/27/201305/07/201306/07/201304/26/2013


11111131331221121161211112111111111112111111161111

No. ofViolations

$999 $5,000 $5,000 $2,000 $10,000 $2,000 $6,000 $2,000 $25,000 $15,000 $10,000 $15,000 $12,500 $5,000 $5,000 $10,000 $5,000 $5,000 $32,000 $5,000 $4,000 $2,000 $2,000 $27,500 $10,000 $10,000 $5,000 $2,000 $7,500 $5,000 $2,500 $8,000 $5,000 $2,000 $2,000 $7,500 $4,000 $5,000 $10,000 $10,000 $5,000 $10,000 $10,000 $2,000 $30,000 $2,000 $5,000 $2,000 $5,000

PRCA

$999 $5,000 $5,000 $2,000 $6,000 $1,400 $6,000 $1,200 $17,500 $15,000 $0 $12,000 $8,750 $5,000 $5,000 $0 $2,500 $2,500 $22,900 $2,500 $2,000 $2,000 $0 $27,500 $10,000 $10,000 $0 $2,000 $0 $3,000 $1,900 $5,600 $0 $1,500 $1,250 $0 $2,000 $2,500 $7,000 $7,000 $3,400 $0 $6,000 $2,000 $17,500 $0 $3,000 $800 $2,650

SettlementAmount


12-13-13

POCA

$999 $5,000 $5,000 $2,000 $10,000 $2,000 $6,000 $2,000 $25,000 $15,000 $0 $15,000 $12,500 $5,000 $5,000 $0 $5,000 $5,000 $32,000 $5,000 $4,000 $2,000 $0 $27,500 $10,000 $10,000 $0 $2,000 $0 $5,000 $2,500 $8,000 $0 $2,000 $2,000 $0 $4,000 $5,000 $10,000 $10,000 $5,000 $0 $10,000 $2,000 $30,000 $0 $5,000 $2,000 $5,000

Case Terminated.

Case Terminated.

Case Terminated.

Case Terminated.

Case Terminated.

Case Terminated.

Case Terminated.

Case Terminated.

Case Terminated.

67

ZSTQ 2013-1(HMT)ZSTQ 2013-2(HMT)ZSUB 2013-1(HMT)ZSUI 2013-1(HMT)ZSVM 2008-1(HMT)ZSXT 2008-1(HMT)ZTAM 2012-2(HMT)ZTCQ 2013-1(HMT)ZTCZ 2012-1(HMT)ZTDL 2013-1(HMT)ZTEY 2012-1(HMT)ZTGT 2012-1(HMT)ZTHS 2012-1(HMT)ZTIT 2012-1(HMT)ZTLY 2012-1(HMT)ZTQT 2012-3(HMT)ZTQT 2012-4(HMT)ZTQT 2013-2(HMT)ZTRG 2012-1(HMT)ZTRN 2012-1(HMT)ZTSS 2013-1(HMT)ZTTS 2012-1(HMT)ZTTS 2012-2(HMT)ZUBE 2008-1(HMT)ZUBE 2008-2(HMT)ZUBI 2006-1(HMT)ZUBI 2006-2(HMT)ZUDG 2006-1(HMT)

ZUDG 2007-1(HMT)ZUDG 2008-1(HMT)ZUED 2009-1(HMT)

ZUHP 2009-1(HMT)ZULM 2005-2(HMT)ZULM 2007-1(HMT)ZULM 2011-1(HMT)ZULM 2011-2(HMT)ZUNIV 2013-1(HMT)ZUNIV 2013-2(HMT)ZUNR 2008-1(HMT)ZUNT 2008-2(HMT)ZUPS 2006-1(HMT)ZUPS 2008-1(HMT)ZUPS 2008-2(HMT)ZUPS 2010-1(HMT)ZURC 2008-1(HMT)ZURC 2008-2(HMT)ZURC 2011-1(HMT)ZURC 2012-1(HMT)

FRA No.

05/16/201308/29/201303/21/201303/19/201302/27/201302/25/201310/23/201209/03/201309/26/201309/12/201312/17/201201/31/201301/28/201311/19/201209/13/201309/13/201309/13/201309/13/201312/03/201210/31/201209/23/201311/01/201211/01/201203/05/201303/05/201305/31/201305/31/201311/08/2012

10/10/201210/10/201204/05/2013

05/16/201311/09/201211/09/201210/12/201210/12/201205/10/201305/10/201302/13/201305/31/201306/05/201306/05/201306/05/201306/05/201305/01/201305/01/201305/01/201305/01/2013


11115111111111111111111111110

164

11112113212111123

No. ofViolations

$2,000 $5,000 $2,000 $5,000 $10,000 $10,000 $1,000 $2,000 $2,000 $7,500 $2,000 $2,000 $1,000 $1,500 $2,000 $5,000 $2,000 $5,000 $5,000 $10,000 $5,000 $2,000 $2,000 $10,000 $5,000 $10,000 $10,000 $22,000

$5,000 $12,000 $8,000

$2,000 $5,000 $5,000 $5,000 $20,000 $2,000 $10,000 $6,000 $10,000 $15,000 $5,000 $2,500 $7,500 $2,000 $10,000 $6,000 $15,000

PRCA

$1,100 $3,300 $1,400 $2,500 $0 $0 $1,000 $2,000 $1,300 $7,500 $2,000 $1,300 $0 $1,500 $2,000 $5,000 $2,000 $5,000 $5,000 $10,000 $5,000 $1,350 $1,350 $0 $0 $0 $0 $1,100

$2,500 $6,000 $250

$1,600 $0 $0 $5,000 $20,000 $1,300 $7,500 $1,000 $0 $0 $666 $334 $1,000 $600 $3,000 $4,500 $11,250

SettlementAmount


12-13-13

POCA

$2,000 $5,000 $2,000 $5,000 $0 $0 $1,000 $2,000 $2,000 $7,500 $2,000 $2,000 $0 $1,500 $2,000 $5,000 $2,000 $5,000 $5,000 $10,000 $5,000 $2,000 $2,000 $0 $0 $0 $0 $6,000

$5,000 $12,000 $2,000

$2,000 $0 $0 $5,000 $20,000 $2,000 $10,000 $6,000 $0 $0 $5,000 $2,500 $7,500 $2,000 $10,000 $6,000 $15,000


Case Terminated.

Case Terminated.Case Terminated.Case Terminated.Case Terminated.Terminated Violation(s): 1, 2, 4, 5, 7, 8, 9, 10.

Terminated Violation(s): 2, 3, 4.



68

ZUSEP 2009-1(HMT)ZUSEP 2010-2(HMT)ZUSF 2005-1(HMT)ZUSG 2007-1(HMT)ZUSNQ 2004-1(HMT)ZUSNQ 2006-1(HMT)ZUST 2010-1(HMT)ZUTC 2009-1(HMT)ZUTC 2010-1(HMT)ZUTC 2010-2(HMT)ZUTC 2011-1(HMT)ZUTC 2012-4(HMT)ZUTC 2012-5(HMT)ZUTC 2012-6(HMT)ZVES 2007-1(HMT)ZVES 2008-1(HMT)ZVES 2008-2(HMT)ZVES 2009-1(HMT)ZVES 2011-1(HMT)ZVES 2013-1(HMT)ZVES 2013-2(HMT)ZVIT 2013-1(HMT)ZVLC 2003-1(HMT)ZVPA 2011-1(HMT)ZVPA 2012-1(HMT)ZVPR 2012-1(HMT)ZVTC 2006-1(HMT)ZVTC 2007-1(HMT)ZVTC 2008-1(HMT)ZVTC 2010-1(HMT)ZVTZ 2013-1(HMT)ZWAL 2012-1(HMT)ZWATC 2010-1(HMT)ZWATC 2011-1(HMT)ZWATC 2012-1(HMT)ZWATC 2013-1(HMT)ZWAY 2012-1(HMT)ZWBM 2005-1(HMT)ZWCM 2011-1(HMT)ZWDB 2013-1(HMT)ZWER 2006-1(HMT)

ZWER 2006-2(HMT)ZWER 2013-1(HMT)ZWERZ 2006-1(HMT)ZWEY 2008-2(HMT)ZWHE 2009-1(HMT)ZWHE 2011-2(HMT)ZWIL 2012-1(HMT)ZWLC 2009-1(HMT)

FRA No.

05/23/201305/23/201305/31/201305/31/201305/31/201305/31/201306/28/201305/08/201305/08/201305/08/201310/12/201205/08/201305/08/201305/08/201305/10/201305/10/201305/10/201305/10/201305/10/201305/10/201305/10/201306/05/201311/08/201204/01/201311/20/201203/28/201311/08/201211/08/201211/08/201211/08/201202/13/201302/26/201301/08/201301/08/201309/27/201309/27/201306/05/201305/31/201312/05/201208/30/201305/31/2013

05/31/201308/02/201306/05/201307/16/201305/30/201306/04/201301/30/201302/19/2013


2131123311251311111112142111111161241111211

11111111

No. ofViolations

$10,000 $10,000 $6,000 $2,000 $7,500 $20,000 $20,000 $7,500 $10,000 $7,500 $15,000 $32,500 $32,500 $2,500 $7,500 $10,000 $10,000 $2,000 $5,000 $2,000 $4,000 $1,500 $11,000 $11,500 $10,000 $5,000 $22,000 $5,000 $2,000 $2,000 $12,000 $2,500 $20,000 $32,500 $7,500 $10,000 $5,000 $2,000 $4,000 $2,000 $5,000

$6,000 $2,000 $5,000 $5,000 $10,000 $5,000 $1,500 $2,000

PRCA

$10,000 $10,000 $0 $0 $0 $0 $12,500 $1,000 $0 $2,500 $7,500 $11,450 $16,750 $250 $6,000 $3,500 $7,500 $1,500 $3,500 $1,500 $3,000 $1,500 $0 $11,500 $10,000 $5,000 $0 $0 $1,000 $1,000 $12,000 $1,750 $11,500 $18,300 $5,200 $6,000 $2,600 $0 $2,500 $1,000 $0

$0 $1,500 $0 $2,000 $10,000 $5,000 $1,500 $0

SettlementAmount


12-13-13

POCA

$10,000 $10,000 $0 $0 $0 $0 $20,000 $2,500 $0 $7,500 $15,000 $22,500 $32,500 $2,500 $7,500 $10,000 $10,000 $2,000 $5,000 $2,000 $4,000 $1,500 $0 $11,500 $10,000 $5,000 $0 $0 $2,000 $2,000 $12,000 $2,500 $20,000 $32,500 $7,500 $10,000 $5,000 $0 $4,000 $2,000 $0

$0 $2,000 $0 $5,000 $10,000 $5,000 $1,500 $0


Terminated Violation(s): 1, 2.Case Terminated.


Case Terminated.


Case Terminated.

Case Terminated.

Case Terminated.

Case Terminated.

Case Terminated.

69

ZWLC 2009-2(HMT)ZWLC 2009-3(HMT)ZWLC 2013-1(HMT)ZWLT 2008-1(HMT)ZWMS 2012-1(HMT)ZWNV 2011-1(HMT)ZWPCO 2010-1(HMT)ZWPCO 2012-1(HMT)ZWPCO 2013-1(HMT)ZWPE 2005-1(HMT)ZWPE 2007-1(HMT)ZWPE 2012-1(HMT)ZWPO 2008-2(HMT)ZWPQ 2008-1(HMT)

ZWRB 2010-1(HMT)ZWRB 2011-1(HMT)ZWRB 2012-1(HMT)ZWRB 2013-1(HMT)ZWRC 2012-1(HMT)ZWRE 2008-1(HMT)ZWRE 2008-2(HMT)ZWRE 2008-3(HMT)ZWRG 2012-2(HMT)ZWST 2008-1(HMT)ZWST 2009-1(HMT)ZWST 2013-1(HMT)ZWST 2013-2(HMT)ZWTP 2006-1(HMT)ZWTP 2007-1(HMT)ZWTP 2007-2(HMT)ZWTP 2007-3(HMT)ZWTS 2011-1(HMT)

FRA No.

02/19/201302/19/201302/28/201307/13/201310/12/201204/18/201312/12/201212/12/201208/13/201311/16/201211/16/201211/16/201205/13/201304/29/2013

02/21/201302/21/201302/21/201306/03/201311/27/201206/05/201306/05/201306/05/201312/21/201211/05/201211/05/201207/12/201308/28/201305/31/201305/31/201305/31/201305/31/201309/27/2013


1111211121111411

212112221111141311

No. ofViolations

$2,000 $10,000 $2,000 $5,000 $15,000 $4,000 $2,000 $60,000 $10,000 $2,000 $10,000 $10,000 $8,000 $16,500

$5,000 $5,000 $12,500 $5,000 $7,500 $15,500 $16,000 $20,000 $2,000 $10,000 $5,000 $10,000 $10,000 $20,000 $5,000 $19,500 $5,000 $10,000

PRCA

$0 $7,500 $2,000 $2,000 $8,250 $4,000 $1,000 $34,400 $5,900 $0 $5,500 $0 $3,000 $1,000

$3,500 $0 $10,500 $4,000 $7,500 $3,850 $4,000 $12,150 $1,500 $5,000 $2,500 $10,000 $10,000 $0 $0 $0 $0 $0

SettlementAmount


12-13-13

POCA

$0 $10,000 $2,000 $2,000 $15,000 $4,000 $2,000 $60,000 $10,000 $0 $10,000 $0 $8,000 $3,000

$5,000 $0 $12,500 $5,000 $7,500 $15,500 $16,000 $20,000 $2,000 $10,000 $5,000 $10,000 $10,000 $0 $0 $0 $0 $0

Case Terminated.

Case Terminated.

Case Terminated.

Terminated Violation(s): 1 - 9.

Case Terminated.

Case Terminated.Case Terminated.Case Terminated.Case Terminated.Case Terminated.

6,124 $22,382,999 $20,332,999 $13,919,119Total

70

AA

ABS

AERC

AGR

ALS

AM

AO

AOK

ARR

ATK

AUT

AVR

AWRR

BAYL

BB

BDRV

BHWY

BLR

BM

BNSF

BPRR

BRC

BRS

CAGY

CC

CCPN

CCRR

CEOH

CFNR

CFRC

CGIV

CHAT

CIC

CIND

CN

CNYK

CORP

CP

CPDR

Codes

ANN ARBOR RAILROAD

Alabama Southern Railroad

ALBANY AND EASTERN RAILROAD COMPANY

Alabama & Gulf Coast Railway LLC.

The Alton and Southern Railway Company

ARKANSAS AND MISSOURI RAILROAD COMPANY

Appalachian & Ohio Railroad, Inc.

ARKANSAS-OKLAHOMA RAILROAD COMPANY

ALASKA RAILROAD CORPORATION

National Railroad Passenger Corporation

Autauga Northern Railroad LLC

ALLEGHENY VALLEY RAILROAD CO.

AUSTIN WESTERN RAILROAD

BAY LINE RAILROAD

BUCKINGHAM BRANCH RAILROAD COMPANY

BELVIDERE & DELAWARE RIVER RAILWAY

BOOTHILL & WESTERN RAILWAY COMPANY

Blacklands Railroad

BOSTON AND MAINE CORPORATION


BUFFALO & PITTSBURGH RAILROAD, INC.

THE BELT RAILWAY COMPANY OF CHICAGO

BATON ROUGE SOUTHERN RAILROAD

Columbus & Greenville Railway

CHICAGO, CENTRAL & PACIFIC RAILROAD COMPANY

Corpus Christi Terminal Railroad

Claremont Concord Railroad Corporation

Conecuh Valley Railway

CALIFORNIA NORTHERN RAILROAD CO.

CENTRAL FLORIDA RAIL CORRIDOR

CARGILL INCORPORATED GOSCNA

Chattahoochee Bay Railway

Cedar Rapids and Iowa City Railway Company

THE CENTRAL RAILROAD COMPANY OF INDIANA

Canadian National Railway Company

CENTRAL NEW YORK RAILROAD CORPORATION

CENTRAL OREGON & PACIFIC RAILROAD, INC.

CANADIAN PACIFIC RAILWAY

CAROLINA PIEDMONT DIVISION

Respondent Names

Respondent

12-13-13

71

CRSH

CSX

CUOH

CVSX

DGNO

DH

DL

DME

DMVW

EIRR

EJE

ELWX

ESFR

FCEN

FCRD

FMRC

GATX

GC

GET

GMRC

GRNW

GRW

GWR

HESR

HHRV

HRRC

HVMV

IAIS

IERR

IHB

INRD

IORY

KAW

KCS

KFR

KNOR

KO

KRR

KRSV

Codes

Consolidated Rail Corporation

CSX TRANSPORTATION, INC.

The Columbus & Ohio River Rail Road Co.

CUYAHOGA VALLEY SCENIC RAILWAY

Dallas, Garland and Northeastern Railroad, Inc.

Delaware & Hudson Railway Co., Inc.

DELAWARE LACKWANNA RAILROAD

Dakota, Minnesota & Eastern Railroad Co.

DAKOTA MISSOURI VALLEY AND WESTERN

Eastern Idaho Railroad

Elgin, Joliet & Eastern Railway Company

Elkhart & Western Railroad Co.

Eastside Freight Railroad

FLORIDA CENTRAL RAILROAD CO.

FIRST COAST RAILROAD, INC.

FARMRAIL CORPORATION

GATX Rail Corporation

GEORGIA CENTRAL RAILWAY

Gettysburg and Northern Railroad

GREEN MOUNTAIN RAILROAD CORPORATION

Great Northwest Railroad

GARY RAILWAY COMPANY

GREAT WESTERN RAILWAY COMPANY

HURON & EASTERN RAILWAY COMPANY, INC.

HONDO RAILWAY LLC

HOUSATONIC RAILROAD COMPANY, INC.

Hoosier Valley Railroad Museum

Iowa Interstate Railroad

Indiana Eastern Railroad LLC

INDIANA HARBOR BELT RAILROAD COMPANY

The Indiana Rail Road Company

INDIANA & OHIO RAILWAY COMPANY

KAW River Railroad

The Kansas City Southern Railway Company

KETTLE FALLS INTERNATIONAL RAILWAY, LLC.

KLAMATH NORTHERN RAILWAY COMPANY

Kansas & Oklahoma Railroad, Inc.

KIAMICHI RAILROAD CO., LLC.

Keolis Rail Services Virginia, LLC

Respondent Names

Respondent

12-13-13

72

KXHR

KYLE

LAS

LI

LSRC

MACZ

MAW

MDS

MEC

MET

MJ

MMA

MNA

MNBR

MNR

MPLI

MQT

MSN

MSTR

MVP

NAUG

NCRC

NECR

NECX

NEGS

NERR

NHIR

NHN

NICD

NJTR

NKCR

NMRX

NPR

NVRR

NVWT

NWR

NYA

NYCH

NYSW

Codes

Knoxville & Holston River Railroad Co.

KYLE RAILROAD CO.

LOUISIANA SOUTHERN RAILROAD

LONG ISLAND RAIL ROAD

LAKE STATE RAILWAY COMPANY

MARYLAND TRANSIT ADMINISTRATION

MAUMEE & WESTERN

MERIDIAN SOUTHERN RAILWAY

Maine Central Railroad Company

Modesto and Empire Traction Company

MANUFACTURERS' JUNCTION RAILWAY LLC

MONTREAL, MAINE AND ATLANTIC RAILWAY, LTD.

MISSOURI & NORTHERN ARKANSAS RAILROAD CO., INC.

M & B RAILROAD, LLC

Maine Northern Railway Company

Minnesota Prairie Lines, Inc.

MARQUETTE RAIL, LLC.

Meeker Southern Railroad

MASSENA TERMINAL RAILROAD COMPANY

MISSOURI VALLEY PARK RAILROAD CORP.

NAUGATUCK

NEBRASKA CENTRAL RAILROAD COMPANY

NEW ENGLAND CENTRAL RAILROAD, INC.

NEBRASKA CENTRAL RAILROAD

NEW ENGLAND SOUTHERN RAILROAD CO., INC.

NASHVILLE & EASTERN RAILROAD

NEW HOPE AND IVYLAND RAILROAD COMPANY

NEW HAMPSHIRE NORTH COAST RAILROAD

NORTHERN INDIANA COMMUTER TRANSPORTATION DISTRICT

NEW JERSEY TRANSIT RAIL OPERATIONS

NEBRASKA KANSAS & COLORADO RAILNET INC.

NEW MEXICO DEPARTMENT OF TRANSPORTATION

NORTHERN PLAINS RAILROAD

NAPA VALLEY RAILROAD

NAPA VALLEY WINE TRAIN

NASHVILLE AND WESTERN RAILROAD CORP.

NEW YORK AND ATLANTIC RAILWAY COMPANY

NEW YORK CROSS HARBOR RAILROAD TERMINAL CORP.

THE NEW YORK SUSQUEHANNA AND WESTERN RY. CORP.

Respondent Names

Respondent

12-13-13

73

OHCR

OPR

PAL

PAS

PBR

PCC

PNR

PNWR

POHC

PSAP

PSBX

PSRR

PTO

PW

RAIL

RBMN

RJCC

RJCP

RLIX

RPRC

RSIX

SB

SBS

SCAX

SCCT

SCS

SCXY

SDNX

SDTI

SEPA

SERA

SFRV

SGLR

SJVR

SKOL

SLGG

SLR

SLRG

SLWC

Codes

Ohio Central Railroad, Inc.

OREGON PACIFIC RAILROAD

PADUCAH & LOUISVILLE RAILWAY COMPANY

Pan Am Southern, LLC.

PATAPSCO & BACK RIVERS RAILROAD COMPANY

Palouse River & Coulee City Railroad Inc.

PANHANDLE NORTHERN

PORTLAND AND WESTERN RAILROAD INC.

The Pittsburgh & Ohio Central Railroad Co.

PUGET SOUND & PACIFIC RAILROAD

CADDO-BOSSIER PARISHES PORT COMMISSION

PACIFIC SUN RAILROAD

PORTLAND TERMINAL (OREGON)

PROVIDENCE AND WORCESTER RR COMPANY

RAIL BRIDGE CORPORATION

READING BLUE MOUNTAIN & NORTHERN RAILROAD

RJ CORMAN RR CO./CENTRAL KENTUCKY LINES

R.J. Corman RR Co./Pennsylvania Lines Inc.

Rail Link, Inc.

Richmond Pacific Railroad

RailServe, INC.

SOUTH BUFFALO RAILWAY COMPANY

LAKE STATE RAILWAY COMPANY

Southern California Regional Rail Authority

SANTA CLARA COUNTY TRANSIT DISTRICT

Squaw Creek Southern Railroad, Inc.

ST. CROIX VALLEY RAILROAD

SAN DIEGO NORTHERN RAILWAY

SAN DIEGO METROPOLITAN TRANSIT SYSTEM

Southeastern Pennsylvania Transportation Authority

SIERRA NORTHERN RAILWAY COMPANY

SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITY

SEMINOLE GULF RAILROAD

San Joaquin Valley Railroad Co.

South Kansas and Oklahoma Railroad Company

SYDNEY AND LOWE RAILROAD INC.

ST. LAWRENCE & ATLANTIC RAILROAD COMPANY

SAN LUIS & RIO GRANDE RAILROAD

Stillwater Central Railroad Co., Inc.

Respondent Names

Respondent

12-13-13

74

SMA

SMV

SMW

SNC

SOU

SS

ST

STE

STMA

SW

SWP

TCT

TIBR

TMBL

TN

TRMW

TRRA

TXPF

UFRC

UP

URR

USRI

USRO

USRV

UTAH

UTAX

VR

VREE

VSOR

WAKS

WATX

WBCR

WCOR

WE

WGCR

WINV

WIRV

WNYP

WPRR

Codes

SAN MANUEL/ARIZONA RAILROAD CO.

SANTA MARIA VALLEY RAILROAD COMPANY

ST. MARY'S RAILWAY WEST LLC.

Saratoga & North Creek Railway, LLC

Norfolk Southern Railway Company

SAND SPRINGS RAILWAY COMPANY

SPRINGFIELD TERMINAL RAILWAY COMPANY

STOCKTON TERMINAL AND EASTERN RAILROAD

ST. MARIES RIVER RAILROAD COMPANY

SOUTHWESTERN RAILROAD, INC.

SOUTHWEST PENNSYLVANIA RAILROAD

TEXAS CITY TERMINAL RAILWAY COMPANY

Timber Rock Railroad Company, Inc.

TACOMA MUNICIPAL BELT LINE RAILWAY

TEXAS & NORTHERN RAILWAY COMPANY

TACOMA RAIL

TERMINAL RAILROAD ASSOCIATION OF ST. LOUIS

TEXAS PACIFICO TRANSPORTATION, LTD.

UTA FRONTRUNNER COMMUTER RAIL

Union Pacific Railroad Company

Union Railroad Company

U S RAIL CORPORATION/NATIONAL STARCH

U S Rail Corp./Ohio

US RAIL CORPORATION

UTAH RAILWAY COMPANY

UTAH TRANSIT AUTHORITY

Valdosta Railway, L.P.

VREELAND RAIL, LLC

VICKSBURG SOUTHERN RAILROAD

WANNAMAKERS, KEMPTON AND SOUTHERN

WATCO Switching

WABASH CENTRAL RAILROAD CORPORATION

Wellsboro & Corning LLC.

WHEELING & LAKE ERIE RAILWAY COMPANY

Wiregrass Central Railway, LLC

WISCONSIN NORTHERN RAILROAD

WASHINGTON AND IDAHO RAILWAY

WESTERN NEW YORK & PENNSYLVANIA RAILROAD

WILLIAMETTE AND PACIFIC RAILROAD, INC.

Respondent Names

Respondent

12-13-13

75

WSOR

WTA

WTNN

WVR

WW

XATH

XAWH

XCEA

XCRO

XCRQ

XDCT

XDPU

XDYN

XEEN

XFEF

XHNT

XICP

XJEI

XLDI

XLOR

XLPF

XLPQ

XMPS

XMRS

XNBP

XPAZ

XPGF

XPKR

XPMC

XPTC

XROA

XRRT

XRTM

XRWC

XRWQ

XSDR

XSGC

XSLA

XTWK

Codes

WISCONSIN & SOUTHERN RAILROAD

WICHITA TERMINAL ASSOCIATION

WEST TENNESSEE RAILROAD CORPORATION

WILLIAMETE VALLEY RAILWAY COMPANY

WINCHESTER AND WESTERN RAILROAD COMPANY

ARC TERMINALS HOLDINGS, LLC

Adams Warehousing LLC

Century Aluminum

CROSSTEX

CRYOTECH

Danchem Technologies Inc.

Department of Public Works, Clark County WA

Dynamic Railroad Consulting

Enserco Energy LLC.

FedEx Freight, Inc.

HNTB Corporation

Illinois Corn Processing, LLC

JEBRO, INC.

Lawrenceburg Distillers Indiana LLC

LORAM RAIL GRINDING COMPANY

Land O'Lakes Purina Feed, LLC

LUKE PAPER COMPANY

MARTIN PRODUCT SALES, LLC

MAURER & SCOTT SALES, Inc.

NATIONAL BY-PRODUCTS

Purac America

PETE GRIFFIN

PROKAR INC.

PPL Martins Creek

Peninsula Terminal Company

RRR Tank Properties, LLC

Railroad Traffic Control

Rail Term

Right Of Way Consulting

RAILWORKS COMPANY

Steel Dust Recycling

Scoular Company

SL Alabama, LLC

Trac-Work, Inc.

Respondent Names

Respondent

12-13-13

76

XURW

XUSD

XVAL

XWCR

XWGZ

XWNC

XWSV

XWYC

XYRC

YARR

YSVR

ZABS

ZACE

ZACR

ZADB

ZADI

ZADQ

ZADR

ZAEN

ZAER

ZAFQ

ZAGA

ZAGE

ZAGF

ZAIA

ZAIL

ZAIN

ZAJE

ZAKQ

ZALN

ZALQ

ZAMC

ZAMM

ZAMP

ZAMU

ZAND

ZANE

ZAOL

ZAOW

Codes

UNIVERSAL RAILWAY

West Colton Rail Terminal, LLC

Valvoline Oil Company

WEST COAST RAILROAD

Wenner Gas Company

Western Convenience Stores Inc.

W. SILVER, INC.

Waycross Recycling

YRC Freight

The Youngstown & Austintown Railroad, Inc.

Yellowstone Valley Railroad, Inc.

ABF Freight System, Inc.

Albemarle Corporation

ADM CORN PROCESSING

Advanced Bioenergy

ARM-DAT, INC.

Alberta Distillers Limited

Archer Daniels Midland Co.

Altex Energy Ltd.

AEROPRES CORPORATION

Afton Chemical Corporation

Airgas Carbonic

AGE Refining, Inc.

AGRIFOS FERTILIZER

The Andersons, Inc.

AIR LIQUIDE USA LLC

Arclin

A & J ENTERPRISES

AK Steel

ALON, USA, LP

Air Liquide Industrial U.S. LP

ARCHER DANIELS MIDLAND CO.

ALUMINUM COMPANY OF AMERICA

American President Lines, Ltd.

ArrMaz Custom Chemicals

THE ANDERSONS, INC.

Akzo Nobel Coatings Inc.

Aaron Oil Company

Arrow Reload Systems Inc.

Respondent Names

Respondent

12-13-13

77

ZAPC

ZAPL

ZAPV

ZAPX

ZARCH

ZARCI

ZARK

ZASY

ZATO

ZAUI

ZAUL

ZAWO

ZAXI

ZBAK

ZBAS

ZBCB

ZBEI

ZBEL

ZBEY

ZBFE

ZBKO

ZBMA

ZBORE

ZBOW

ZBRP

ZBRQ

ZBRZ

ZBSF

ZBSN

ZBSW

ZBTA

ZBTN

ZBTS

ZBUK

ZBUT

ZBVD

ZBWS

ZCACT

ZCALC

Codes

Air Products Manufacturing Corp.

AMERICAN PRESIDENT LINES LTD.

Allstate Power Vac

Apex Oil Company

ARCH CHEMICALS INC.

ARIZONA CHEMICAL INC.

ARKEMA INC.

Americas Styrenics

Atlas Oil Company

AGRIUM U.S. INC.

ALLIED UNIVERSAL CORPORATION

Arch Wood Protection, Inc.

Axiall Corporation

BAKER PETROLITE CORPORATION

BASF CORPORATION

Bossier City Bioenergy Partners

BARTON ENTERPRISES

Biofuel Energy Corp.

Beacon Energy Corp

BLUE FLINT ETHANOL

Bakken Oil Express LLC.

Bayer MaterialScience LLC

BORDEN & REMINGTON CORPORATION

Brown Forman Distillers Corporation

BRENNTAG PACIFIC, INC.

BIG RIVER RESOURCES

Big River Zinc Corporation

BASF CATALYSTS

Basin Transload

BRENNTAG SOUTHWEST

Bio Trans Modal, LLC

Brenntag Northeast

BRENNTAG SOUTHEAST, INC.

Buckeye Technologies

BioUrja Trading LLC

BLACK VELVET DISTILLING COMPANY

B & W SERVICES

CELANESE ACETATE

CALABRIAN CORP.

Respondent Names

Respondent

12-13-13

78

ZCAX

ZCBM

ZCBP

ZCGL

ZCHEV

ZCIE

ZCLAR

ZCLU

ZCMT

ZCNC

ZCPCL

ZCSU

ZCXU

ZCYZ

ZDAA

ZDAK

ZDANT

ZDAS

ZDBW

ZDCL

ZDCN

ZDCPC

ZDCS

ZDCU

ZDF

ZDGA

ZDGC

ZDKE

ZDKR

ZDLT

ZDNC

ZDOW

ZDRY

ZDTI

ZDTLP

ZDTR

ZDUP

ZDWC

ZDYI

Codes

Canexus Corporation

CROWN BATTERY MANUFACTURING COMPANY INC

Collins Bioenergy Partners, LLC

Cargill Incorporated

Chevron Products Company

CENTRAL INDIANA ETHANOL

CLARIANT CORPORATION

CALUMET SPECIALTY PRODUCTS PARTNERS L.P.

COMET CHEMICAL COMPANY, LTD.

CHEROKEE NITROGEN

Chevron Phillips Chemical Company LP

Calumet Superior, LLC

Canexus Corporation

CYANCO

Daikin America, Inc.

DAK AMERICAS

DANA TRANSPORT INC.

Dow Agrosciences LLC.

D.B. WESTERN, INC

Diversey, Inc.

Deltech Resin Company

DIVERSIFIED CPC INTERNATIONAL, INC.

DUPONT CHEMICAL SOLUTIONS ENTERPRISE

The Dow Chemical Company

DUPONT

DEVON GAS SERVICES

Diageo Canada, Inc.

DAKOTA ETHANOL

DELEK REFINING, LTD.

DELTA TERMINAL SERVICES LLC

Dana Railcare

DOW CORNING CORPORATION

American Dry Ice Corporation

Domtar

DELTA TRADING LP

DOMINION TRANSMISSION, INC.

E.I. DUPONT DE NEMOURS AND COMPANY

Delaware City Refining Company LLC

DYNO NOBEL, INC.

Respondent Names

Respondent

12-13-13

79

ZECB

ZECN

ZEDC

ZEJG

ZEMB

ZEMCC

ZEOB

ZEOR

ZEPC

ZEQU

ZERI

ZERV

ZERX

ZEWW

ZEZZ

ZFCL

ZFHR

ZFIE

ZFRQ

ZGATX

ZGAV

ZGCC

ZGCL

ZGEO

ZGEPA

ZGEU

ZGIP

ZGLE

ZGLM

ZGPS

ZGRR

ZGSZ

ZGTM

ZGTR

ZHCG

ZHCP

ZHCQ

ZHET

ZHFO

Codes

EES COKE BATTERY LLC

ETHYL CORPORATION

EL DORADO CHEMICAL CO.

E. J. GALLO WINERY

ExxonMobil Pipeline Company

Exxon Mobil Corporation

ECOLAB, Inc.

EOG Resources, Inc.

Enterprise Products Operating LLC

EQUISTAR CHEMICALS LP

Ergon Inc.

Elbow River Resources

EnergySolutions, LLC

ERCO WORLDWIDE (USA), INC.

EMULSICOAT, INC.

FEDERATED COOPERATIVES, LTD.

FLINT HILLS RESOURCES

First Energy

POET Biorefining-Gowrie

GATX Corporation

Gavilon, LLC.

GEORGIA GULF CORPORATION

GEOCYCLE LLC

GEO SPECIALITY CHEMICALS

Georgia Pacific Company

GIBSON ENERGY ULC

GIBSON ENERGY LTD.

Glacial Lakes Energy, LLC

Glencore Limited

GRAIN PROCESSING CORP.

GIANT RESOURCE RECOVERY CO., INC.

SGS

Gladieux Trading & Marketing Company L.P.

The Goodyear Tire & Rubber Co.

HUNTSMAN CORPORATION

Heartland Corn Products

Heritage-Crystal Clean, LLC

POET Biorefining-Jewell

Houston Fuel Oil Terminal Co.

Respondent Names

Respondent

12-13-13

80

ZHFR

ZHGL

ZHKD

ZHLA

ZHLLC

ZHMI

ZHNI

ZHOI

ZHRM

ZHSL

ZHUD

ZHUNT

ZHUT

ZHVC

ZHWH

ZIBS

ZIDA

ZIDS

ZIDY

ZIES

ZIGM

ZIMO

ZINTT

ZIOD

ZIOL

ZIOW

ZIP

ZIPB

ZIRO

ZISRV

ZITT

ZITX

ZJHO

ZJLM

ZJPC

ZJXN

ZKEL

ZKFC

ZKML

Codes

HollyFrontier Refining & Marketing

Hawkeye Gold, LLC

Hawkeye Renewables LLC.

HAPAG - LLOYD AMERICA, INC.

HORIZON LINES, LLC.

H & M INTERNATIONAL TRANSPORTATION

Honeywell International Inc.

Husky Oil Operations

HOLLY ENERGY PARTNERS

Hunt Southland Refining Company

Sun Products Corp.

HUNT REFINING COMPANY

HUNTSMAN INTERNATIONAL LLC

Haverhill Chemicals LLC

Honeywell International, Inc.

INTERNATIONAL BULK SERVICES

Idaho County Propane - ICP, Inc.

Industrial Service Oil Company, Inc.

Interdynamics Inc.

INEOS

INERGY MIDSTREAM LLC

Imperial Oil Ltd.

International Matex Tank Terminals

Imperial Oil Chemical Div.

IRVING OIL LTD.

POET Biorefining-Hanlontown

INTERNATIONAL PAPER COMPANY

INNOPHOS INC

IRVING OIL COMPANY

INERGY SERVICES

INTERCONTINENTAL TERMINALS COMPANY

Itero Energy

JONES HAMILTON COMPANY

JLM INDUSTRIES

John Pryor Company

JX Nippon Chemical Texas Inc.

KAAPA ETHANOL LLC

KOCH FERTILIZER CANADA, ULC

Kinder Morgan Liquids Terminals, LLC

Respondent Names

Respondent

12-13-13

81

ZKMM

ZKMQ

ZKOR

ZKPI

ZLAN

ZLDE

ZLFI

ZLGL

ZLOU

ZLQT

ZLUB

ZMAI

ZMCO

ZMDI

ZMDX

ZMED

ZMEG

ZMFQ

ZMIO

ZMIR

ZMMM

ZMNB

ZMNP

ZMOR

ZMOSK

ZMPA

ZMPT

ZMQE

ZMTE

ZMTQ

ZMU

ZMUR

ZMUSK

ZMWC

ZMWV

ZMYT

ZNA

ZNAL

ZNBX

Codes

KINDER MORGAN MATERIALS SERVICES, LLC

Kinder Morgan Terminal, Inc.

KERN OIL AND REFINING COMPANY

Koppers Inc.

Lanxess Inc.

LYONDELL CHEMICAL CO.

Lamplight Farms, Inc.

Logibio Louisiana LLC

Louis Dreyfus Claypool Holdings, LLC.

LIQUIDS TRANSLOADING

Lubrizol Corporation

MATLACK, INC.

MERCK & CO., INC.

Mason Dixon Intermodal

Mode Transportation

MEDITERRANEAN SHIPPING COMPANY (USA), INC.

Meglobal Americas, Inc.

Mosaic Fertilizer LLC

Imperial Oil Limited

Meiers Wine Cellar

3-M MINNESOTA MINING & MFG. CO.

Magnablend, Inc.

Marathon Petroleum Company

MRCX Mobile Railcar Cleaning LLC d/b/a/ Waycross R

MITSUI O.S.K. LINES

PLAINS MARKETING CO.

MISSISSIPPI PHOSPHATES CORPORATION

MARQUIS ENERGY

MOTIVA ENTERPRISES LLC

MIDWEST TRACK

MUREX N.A. LTD

MURPHY OIL USA, INC.

MUSKET CORPORATION

MeadWestvaco Corporation

MEADWESTVACO TEXAS, LP

Manly Terminal

NA INDUSTRIES

Nalco Company

NATIONAL BY-PRODUCTS

Respondent Names

Respondent

12-13-13

82

ZNCAS

ZNCH

ZNCP

ZNCPI

ZNCR

ZNDM

ZNEW

ZNGL

ZNIP

ZNMU

ZNOS

ZNOV

ZNOVI

ZNRC

ZNRCI

ZNSI

ZNSL

ZNSQ

ZNTR

ZNUS

ZNXE

ZNYT

ZOCC

ZOEE

ZOLI

ZOME

ZORI

ZORM

ZORR

ZOTER

ZOTT

ZOWC

ZOWP

ZOXV

ZPBB

ZPBH

ZPBQ

ZPCSS

ZPEK

Codes

NACHURS-ALPINE SOLUTIONS

NA-CHURS PLANT FOOD CO.

NORTH CENTRAL PETROLEUM

NELSONITE CHEMICAL PRODUCTS, INC.

NATIONAL COOPERATIVE REFINERY ASSOCIATES

Domtar Paper Company LLC

Newalta Corp.

NGL Supply Wholesale, LLC

NECHES INDUSTRIAL PARK, INC.

Plains Marketing LP

NORFALCO, INC.

NOVA CHEMICALS, LTD.

NOVEON INCORPORATED

NAVAJO REFINING COMPANY

NATIONAL RAIL CAR INC.

NORFOLK SOUTHERN INTERMODAL

NGL SUPPLY COMPANY, LTD.

North Shore Mining

NATIONAL REFRIGERANT

NuStar Energy

Nexeo Solutions Co.

New York Terminals

Occidental Chemical Corporation

One Earth Energy, LLC

OLIN CORPORATION

OMI Environmental Solutions

ORICA USA Inc.

Oneok Rockies Midstream LLC

Oil Re-Refining Company, Inc.

ODFJELL TERMINALS (HOUSTON), INC.

Oiltanking Texas City L.P.

Owens Corning Roofing and Asphalt LLC

Osmose Holdings, Inc.

OxyVinyls, LP

POET Biorefining-Big Stone

POET Biorefining-Hudson

POET Biorefining-Coon Rapids

PCS SALES (USA) INC.

Pacer Energy Marketing, LLC

Respondent Names

Respondent

12-13-13

83

ZPEL

ZPFA

ZPFP

ZPFW

ZPG

ZPGI

ZPHO

ZPHP

ZPLP

ZPLS

ZPMS

ZPND

ZPNF

ZPOW

ZPPG

ZPTE

ZPXC

ZPXR

ZQCP

ZRBW

ZRCA

ZRCQ

ZRDI

ZREM

ZRHQ

ZRKT

ZRLC

ZRLO

ZRMZ

ZRNS

ZRSH

ZRTN

ZSAB

ZSCC

ZSCPI

ZSDI

ZSEU

ZSFI

ZSGQ

Codes

PROVIDENT ENERGY LTD.

PACIFIC ATLANTIC TERMINALS

PENFORD PRODUCTS

Pacific West LLC

PROCTER & GAMBLE

Petrogas Inc.,

PCS PHOSPHATE COMPANY

PHARMCO PRODUCTS INC.

PARALLEL PRODUCTS

PLAINS LPG SERVICES, L.P.

Plains Midstream Canada, LLC.

Practical Needs, Inc.

PCS Nitrogen Fertilizer

Power Energy Partners LP

Pittsburgh Plate Glass Co.

Platinum Ethanol LLC.

Phoenix Chemical Company

Praxair Canada Inc.

Quimica Pima S.A. de C.V.

ROBERTSON BONDED WAREHOUSE INCORPORATED

Ruetgers Canada, Inc.

REAGENT CHEMICAL & RESEARCH

RED RIVER SUPPLY, INC.

REMET CORPORATION

Rymes Propane

ROCKTENN CP, LLC

Greenwood Motor Line

Rail Loading Services, LLC.

ROYAL MANUFACTURING CO.

Renessenz LLC

RSI LOGISTICS, INC.

RailTran LLC.

SABIC Innovative Plastics

SHELL CHEMICAL LP

SYNGENTA CROP PROTECTION, INC.

STEEL DYNAMICS INCORPORATED

SUNCOR ENERGY (USA), INC.

SOLVAY FLUORIDES, INC.

Schagrin Gas

Respondent Names

Respondent

12-13-13

84

ZSHI

ZSHL

ZSI

ZSIMP

ZSLG

ZSLI

ZSLQ

ZSMS

ZSNWO

ZSOLI

ZSOT

ZSPH

ZSRM

ZSSCO

ZSSN

ZSSP

ZSTE

ZSTQ

ZSUB

ZSUI

ZSVM

ZSXT

ZTAM

ZTCQ

ZTCZ

ZTDL

ZTEY

ZTGT

ZTHS

ZTIT

ZTLY

ZTQT

ZTRG

ZTRN

ZTSS

ZTTS

ZUBE

ZUBI

ZUDG

Codes

Shield Packaging Company

Shell Canada Products

Southern Ionics Incorporated

SIMPLOT COMPANY

SANDHILL GROUP LLC

SOLUTIA, INC.

Sunoco Logistics

Smitty's Supply, Inc.

STOLTHAVEN (NEW ORLEANS), LLC

SOLUTIA, INC.

SHIPCO TRANSPORT INC.

SPI Pharma, Inc.

SUN REFINING & MARKETING

SAVAGE SERVICES CORPORATION

SMALL AND SONS OIL COMPANY

Southern States Chemical

STEPAN COMPANY

STEPAN COMPANY

SUBURBAN PROPANE, LP

SUNOCO INC. (R&M)

SEARLES VALLEY MINERALS

SIOUX TANK LINE, INC

TAMINCO

THIRD COAST TERMINALS

Samuel Coraluzzo Co., Inc.-Torrissi Transport

TDC LLC

TAC ENERGY

Targa Transportation, LLC

Thermo Fisher Scientific Inc.

TEXAS INTERNATIONAL TERMINALS

TATE & LYLE INGREDIENTS AMERICAS, INC.

Torq Transloading Inc.

Toledo Refining Company LLC

TERRA NITROGEN CORPORATION

Tessenderlo Kerley, Inc.

Trimac Transportation Services, Inc.

US BIOENERGY

UNITED BIO ENERGY FUELS

U.S. DEVELOPMENT GROUP

Respondent Names

Respondent

12-13-13

85

ZUED

ZUHP

ZULM

ZUNIV

ZUNR

ZUNT

ZUPS

ZURC

ZUSEP

ZUSF

ZUSG

ZUSNQ

ZUST

ZUTC

ZVES

ZVIT

ZVLC

ZVPA

ZVPR

ZVTC

ZVTZ

ZWAL

ZWATC

ZWAY

ZWBM

ZWCM

ZWDB

ZWER

ZWERZ

ZWEY

ZWHE

ZWIL

ZWLC

ZWLT

ZWMS

ZWNV

ZWPCO

ZWPE

ZWPO

Codes

UNITED ENERGY DISTRIBUTORS

UNILEVER HOME & PERSONAL CARE - USA

Ultramar, Inc.

UNIVAR USA INC.

United Rail Service, Inc.

UNITED SUPPLIERS, INC.

UNITED PARCEL SERVICE, INC.

UNITED REFINING COMPANY

U.S. ENERGY PARTNERS, LLC

US FILTER RECOVERY SERVICE

UNITED STATES GYPSUM CO.

US XPRESS INC.

UNITED STATES STEEL CORPORATION

UNION TANK CAR COMPANY

Veolia ES Technical Solutions, L.L.C.

Vitol Inc.

VENTURA LESBRO COMPANY

Vopak North America

VP Racing Fuels

VENTURA TRANSFER COMPANY

VOPAK TERMINAL DEER PARK

Walmart

Watco Companies LLC

WPC Technologies, Inc.

W. M. BARR AND COMPANY

WEGO Chemical & Mineral Corp.

Western Dubuque Biodiesel LLC.

WILLIAMS ENERGY SERVICE

WESTERN REFINING COMPANY

Weyerhaeuser NR Company

White Energy

Watseka Interstate LLC

WESTLAKE CHEMICAL CORPORATION

WOLF LAKE TERMINALS, INC.

WILLIAMS MIDSTREAM

Weavertown Environmental Group

WESTERN PETROLEUM COMPANY

WESTERN PLAINS ENERGY, LLC.

WESTPOINT TRANSPORTATION, Inc.

Respondent Names

Respondent

12-13-13

86

ZWPQ

ZWRB

ZWRC

ZWRE

ZWRG

ZWST

ZWTP

ZWTS

Codes

WATERFRONT PETROLEUM TERMINAL

WRB Refining, LLC

WYOMING REFINING COMPANY

WESTERN REFINING COMPANY

W.R. GRACE & COMPANY-CONN.

Westway Terminal Co. LLC

WITTIG TRANSPORT INC.

Watco Transportation Services

Respondent Names

Respondent

12-13-13

Documents

Federal Railroad Administration - Violation Tracker · BNSF Railway Company 2. Canadian National Railway/Grand Trunk Corporation 3. Canadian Pacific Railway/Soo Line Railroad Company