Federal Railroad Administration Fiscal Year 2018 ......This is consistent with Sections 303 and 307...

Federal Railroad Administration

Fiscal Year 2018 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 2018 A. Railroad Safety and Hazmat Compliance Inspections and Audits

1. All Railroads and Other Entities (e.g., Hazmat Shippers) Except Individuals 2. Railroads Only

B. Summary of Railroad Safety Violations Cited by Inspectors, by Regulatory Oversight Discipline or Subdiscipline 1. Accident/Incident Reporting 2. Grade Crossing Signal System Safety 3. Hazardous Materials 4. Industrial Hygiene 5. Motive Power and Equipment 6. Railroad Operating Practices 7. Signal and train Control 8. Track

C. FRA and State Inspections of Railroads, Sorted by Railroad Type 1. Class I Railroads 2. Probable Class II Railroads 3. Probable Class III Railroads

D. Inspections and Recommended Enforcement Actions, Sorted by Class I Railroad 1. BNSF Railway Company 2. Canadian National Railway/Grand Trunk Corporation 3. Canadian Pacific Railway/Soo Line Railroad Company 4. CSX Transportation, Inc. 5. The Kansas City Southern Railway Company 6. National Railroad Passenger Corporation 7. Norfolk Southern Railway Company 8. Union Pacific Railroad Company

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

in FY 2018 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 2018 2. For Probable Class II Railroads in the Aggregate in FY 2018 3. For Probable Class III Railroads in the Aggregate in FY 2018 4. For Hazmat Shippers in the Aggregate in FY 2018 5. For Contractors in the Aggregate in FY 2018 6. For Other Cases in the Aggregate in FY 2018

D. Summary 2—More Detailed Summary of Settlements and Final Assessments of Civil Penalties in FY 2018

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E. Breakdown of Settlements and Final Assessments in Summary 2 1. For Each Class I Railroad Individually in FY 2018 2. For Probable Class II Railroads in the Aggregate in FY 2018 3. For Probable Class III Railroads in the Aggregate in FY 2018 4. For Hazmat Shippers in the Aggregate in FY 2018 5. For Contractors in the Aggregate in FY 2018 6. For Other Cases in the Aggregate in FY 2018

IV. Enforcement Actions against Individuals in FY 2018

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

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

Accidents or Incidents

VI. Summary and Analysis of Operating Crew Certification Cases A. Locomotive Engineer and Operating Crew Review Board (LERB/OCRB) B. Administrative Hearings C. Appeals to the Administrator

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

Violations or Enforcement Actions against Individuals

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

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

Appendix A—“Railroad Safety Civil Penalty Cases Closed during Fiscal Year 2018”

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Federal Railroad Administration Fiscal Year 2018 Enforcement Report

I. INTRODUCTION

For several decades, the Federal Railroad Administration (FRA) has compiled an annual civil penalty report summarizing the civil penalty claims for violations of Federal railroad safety and hazardous materials (hazmat) statutes, regulations, and orders FRA has closed.1 As authorized by law, FRA negotiates settlements with railroads and other entities subject to its safety jurisdiction to resolve claims for civil penalties imposed for failures to comply with specific requirements that promote and ensure the safety of the Nation’s freight and passenger railroad operations.2 Also, as authorized by law, FRA issues orders assessing civil penalties for violations of the hazardous materials statutes, regulations, and orders.3 In April 2010, FRA posted an expanded enforcement report pursuant to 49 U.S.C. § 20120 on FRA’s Web site (http://www.fra.dot.gov) to include more information.4 FRA intends to make this additional safety enforcement information available each year by December 31 for the preceding fiscal year (FY), October 1 through September 30. This FY 2018 report includes the following:

• A summary of rail safety and hazmat compliance inspections and audits FRA or State inspectors conducted and enforcement actions FRA recommended;

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

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

• An analysis of locomotive engineer certification cases brought before FRA; and • A list of civil penalty cases FRA closed (at Appendix A to this report).

1 See primarily title 49 of the United States Code, chapters 201-213 and 51, respectively (49 U.S.C. ch. 201-213 and 51, respectively); title 49 of the Code of Federal Regulations (C.F.R.), subtitle B, chapter II (parts 209-244, 272) 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 This is consistent with Sections 303 and 307 of the Rail Safety Improvement Act of 2008 (RSIA), Public Law No. 110-432, Division A (122 Stat. 4848), enacted October 16, 2008 (codified at 49 U.S.C. §§ 20120 and 103, note, respectively).

http://www.fra.dot.gov/

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

IN FY 2018

A. RAILROAD SAFETY AND HAZMAT COMPLIANCE INSPECTIONS AND AUDITS

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

Number of Inspection Reports: 71,569 Defects: 280,607 Units: 3,288,361 Number of Observations: 315,660 Number of Reports with a Recommended Violation: 3,968 Number of Recommended Violation Defects: 9,940 Number of Inspection Days: 56,057

2. Railroads Only

Number of Inspection Reports: 65,417 Defects: 270,717 Units: 3,230,794 Number of Observations: 297,224 Number of Reports with a Recommended Violation: 3,137 Number of Recommended Violation Defects: 7,294 Number of Inspection Days: 53,253

B. SUMMARY OF RAILROAD SAFETY VIOLATIONS CITED BY INSPECTORS,

BY REGULATORY OVERSIGHT DISCIPLINE OR SUBDISCIPLINE

1. Accident/Incident Reporting Violation Type Number of Recommended Violations

Accident Reporting 322

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

Grade Crossing Signal Safety 308

3. Hazardous Materials Violation Type Number of Recommended Violations

Hazardous Materials 3,026

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4. Industrial Hygiene Violation Type Number of Recommended Violations

Occupational Noise Exposure 0

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

Freight Car Safety Standards 629

Locomotive Safety Standards 457

Passenger Equipment Safety Standards 29

Passenger Train Emergency Preparedness 5

Rear End Marking Devices 1

Safety Appliance Statutes and Regulations 1,539

Safety Glazing Standards 0

Steam Locomotive Inspection and Maintenance 0

All 2,660

6. Railroad Operating Practices Violation Type Number of Recommended Violations

Alcohol and Drug Use 316

Conductor Qualifications 83

Critical Incident Stress Plans 1

Engineer Qualifications 99

FRA Emergency Order(s) 0

Hours of Service Laws and Regulations 192

Hours of Service Record Keeping 210

Railroad Communications 9

Railroad Operating Practices 404

Railroad Operating Rules 514

Railroad Safety Enforcement Procedures 9

Train Horn/Quiet Zone 4

All 1,841

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7. Signal and Train Control Violation Type Number of Recommended Violations

Signal Inspection Regulations 118

PTC System Implementation 13

All 131

8. Track Violation Type Number of Recommended Violations

Bridge Safety Standards 7

Bridge Worker Safety Standards 19

Roadway Worker Protection 74

Track Safety Standards 1,552

All 1,652

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

1. Class I Railroads

Number of Inspection Reports: 47,659 Defects: 202,100 Units: 2,576,138 Number of Observations: 222,502 Number of Reports with a Recommended Violation: 2,490 Number of Recommended Violation Defects: 5,669 Number of Inspection Days: 5 39,859

5 The total number of inspection days for Class I Railroads in II.C.1 of this report is less than the sum of all the individual Class I railroads’ inspection days cited in II.D.1-8 of this report because FRA inspectors may visit more than one Class I railroad in a day. The same is true for the total number of inspection days for railroads FRA believes are Class II and Class III railroads. See note six for an explanation regarding FRA’s determination of Class I, Class II and Class III railroads.

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2. Probable Class II Railroads6

Number of Inspection Reports: 1,957 Defects: 7,489 Units: 155,949 Number of Observations: 9,280 Number of Reports with a Recommended Violation: 48 Number of Recommended Violation Defects: 71 Number of Inspection Days: 1,784

3. Probable Class III Railroads

Number of Inspection Reports: 15,801 Defects: 61,128 Units: 498,707 Number of Observations: 65,442 Number of Reports with a Recommended Violation: 599 Number of Recommended Violation Defects: 1,554 Number of Inspection Days: 13,679

6 FRA has identified seven of the eight Class I railroads based on information they filed with the Surface Transportation Board (STB) for calendar year 2017—the latest year available—regarding their annual operating revenues. See STB Web site (http://www.stb.dot.gov) under “All Economic Data” and then “Annual Report Financial 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.). Therefore, FRA identified the eighth Class I railroad, Amtrak based on FRA research of other data. Generally, Class II and III railroads are not required to report their annual operating revenues to STB. As a result, FRA identified railroads that are probably Class II and Class III railroads based on its research of railroad revenues, which does not cover commuter railroads. FRA concludes that the following railroads are probably Class II railroads: Alaska Railroad Corp.; Buffalo & Pittsburgh Railroad, Inc.; Florida East Coast Railway Co.; Indiana Rail Road Co.; Iowa Interstate Railroad, Ltd.; Montana Rail Link; Paducah & Louisville Railway Co.; Springfield Terminal Railway Co. and other regional railroads (including Boston & Maine Corp., Maine Central Railroad Co., Pan Am Southern LLC, and Portland Terminal Co.) (all held by Pan Am Railways, Inc.); Rapid City, Pierre & Eastern Railroad, Inc.; Wheeling & Lake Erie Railway Co.; and Wisconsin & Southern Railroad Co. Note that switching and terminal railroads are, by definition, Class III railroads, without regard to their annual operating revenues. 49 C.F.R. § 1201.1-1(d).

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

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

1. BNSF Railway Company


2. Canadian National Railway/Grand Trunk Corporation


3. Canadian Pacific Railway/Soo Line Railroad Company


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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


III. SUMMARIES OF CIVIL PENALTY INITIAL ASSESSMENTS, SETTLEMENTS, AND FINAL ASSESSMENTS IN FY 2018

A. IN GENERAL7

Summary 1 Summary 1 provides a broad overview of penalties FRA initially assessed during FY 2018, the initial penalty assessment for cases closed during FY 2018, and the amount of the settlement or the final assessment of civil penalty. FRA has transitioned to a paperless enforcement system for most of the major railroads and under that system, to enhance the readability of the cases on the computer screen, a case includes only one violation report, and not multiple reports, as in the past. Summary 1, below, provides the following:

• The number of violations for which FRA assessed a civil penalty in FY 2018 (through demand letters or, in hazmat cases, notices of probable violation);

• The number of violation reports that FRA declined to enforce in FY 2018 after legal review;

• The initial amount of civil penalties assessed in FY 2018 (the amount of the civil penalty specified in FRA’s demand letter or, for hazmat cases, a notice of probable violation that was transmitted to a respondent (railroad, hazmat shipper, or individual that received the penalty assessment)) regardless of whether FRA closed the cases during FY 2018;

• The civil penalties FRA initially assessed (the “potential collectible amount” or “POCA” listed in in Appendix A) in all cases FRA settled or otherwise closed during FY 2018 (because FRA issued an order assessing a civil penalty in a hazmat case or the respondent paid the civil penalty in full without settling with FRA); and

• The total amount of civil penalties assessed or settled during FY 2018.8

7 The totals in this section exclude civil penalties against individuals. Those are addressed in section IV.A. of this report. 8 In this report, FRA rounded settlement amounts to the nearest whole dollar.

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Summary 2

To provide more transparency, Summary 2, below, shows initial assessment information only for those cases closed during FY 2018. All numbers in Summary 2 reflect the initial assessments that resulted in FY 2018 settlements or final assessments even though the initial assessments may have occurred in a prior fiscal year. This summary shows (1) the difference between the initial amount of civil penalties assessed and the settlement or final assessment amount, and (2) the difference between the revised assessment amount (or what Attachment A describes as the “provable collectible amount” or “PRCA”) and the final assessment or settlement amount. The revised assessment amount is the amount FRA calculated it could legally collect after evaluating the facts of the violation. Caveat: The number of violation reports in a single case ranges from one to five or more, depending on a number of factors, and a single violation report may allege one or more violations. Therefore, the number of cases with civil penalties initially assessed or settled or finally assessed during a specific period cannot be used for a realistic comparison. This report provides the information, as required by the statute, in Assessment and Summary 2. However, the number of violations provides a better opportunity for standardized review and comparison than does the number of cases.

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

ASSESSMENTS TRANSMITTED Total number of cases with civil penalties initially assessed in FY 2018:

4,567

Total number of violations with civil penalties initially assessed in FY 2018:

6,225

Total number of violation reports declined during legal review in FY 2018:

325

Total amount of civil penalties initially assessed (POCA) for violations in cases transmitted in FY 2018:

$22,474,257

Total amount of civil penalties initially assessed (POCA) for violations in cases finally assessed or settled in FY 2018:

$25,270,025

Total final civil penalty assessment or settlement in FY 2018:

$17,686,116

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C. BREAKDOWN OF INITIAL ASSESSMENTS IN SUMMARY 1 1. For Each Class I Railroad Individually in FY 2018

AMTRAK

Number of cases with civil penalties initially assessed:

65

Number of violations with civil penalties initially assessed:

90

Number of violation reports declined during legal review:

12

Initial amount of civil penalty assessed: $334,403 BNSF RAILWAY COMPANY


702


971


51

Initial amount of civil penalty assessed: $3,170,904

CANADIAN NATIONAL RAILWAY/GRAND TRUNK CORPORATION


193


234


27

Initial amount of civil penalty assessed: $766,904

CANADIAN PACIFIC RAILWAY/SOO LINE RAILROAD COMPANY


96


113


25


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CSX TRANSPORTATION, INC.


491


654


39

Initial amount of civil penalty assessed: $2,155,000 THE KANSAS CITY SOUTHERN RAILWAY COMPANY


48


54


7

Initial amount of civil penalty assessed: $210,904 NORFOLK SOUTHERN RAILWAY COMPANY


504


595


35

Initial amount of civil penalty assessed: $2,164,000 UNION PACIFIC RAILROAD COMPANY


1,022


1,383


81

Initial amount of civil penalty assessed: $4,474,007

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2. For Probable Class II Railroads in the Aggregate in FY 2018


109


143


6

Initial amount of civil penalty assessed: $553,500 3. For Probable Class III Railroads in the Aggregate in FY 20189


585


870


31

Initial amount of civil penalty assessed: $3,487,732 4. For Hazmat Shippers in the Aggregate in FY 2018


688


1,034


7

Initial amount of civil penalty assessed: $4,430,499 5. For Contractors in the Aggregate in FY 2018


14


17


4


9 This category may be over-inclusive as STB jurisdiction may not extend to some of the commuter railroads that FRA has listed as Class III railroads. Regardless, the “Total final civil penalty assessment or settlement in FY 2018” amount remains correct as FRA includes data from enforcement actions against regulated entities that are otherwise not subject to STB jurisdiction.

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6. For other cases in the Aggregate in FY 201810


50


67


0


10 The category of “other cases” includes all hazardous materials civil penalty cases against respondents that are coded in FRA’s Railroad Enforcement System as contractors rather than shippers. Some entities have been classified as contractors based on criteria unrelated to the shipment of hazardous materials but perform functions under hazardous materials regulations that are associated with shippers.

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D. SUMMARY 2—MORE DETAILED SUMMARY OF SETTLEMENTS AND FINAL ASSESSMENTS OF CIVIL PENALTIES IN FY 2018

Total number of cases closed in FY 2017:

5,027

Total number of violations in cases closed in FY 2017:

7,157

Total initial amount of civil penalty assessed for cases closed (POCA):

$25,270,025

Total final amount of civil penalty assessed or settlement for cases closed:

$17,686,116

Amount terminated (generally due to legal defenses presented during settlement negotiations):

$1,840,500

Amount of revised assessment after terminations (PRCA):

$23,429,525

Difference between initial civil penalty assessment (POCA) and final assessment or settlement amount for cases closed:

$7,583,909

Difference between revised assessment (PRCA) and final assessment or settlement amount for cases closed:

$5,743,409

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E. BREAKDOWN OF SETTLEMENTS AND FINAL ASSESSMENTS IN SUMMARY 2

1. For Each Class I Railroad Individually in FY 2018

AMTRAK

Number of cases closed:

42

Number of violations in cases closed:

43

Initial amount of civil penalty assessed for cases closed (POCA):

$129,500

Final amount of civil penalty assessed or settlement for cases closed:

$90,645


$9,500


$120,000


$38,855


$29,355

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BNSF RAILWAY COMPANY


840


1,200


$4,000,500


$2,748,053


$245,500


$3,746,000


$1,252,447


$997,947

CANADIAN NATIONAL RAILWAY/GRAND TRUNK CORPORATION


143


226


$667,500


$470,585


$20,000


$647,500


$196,915


$176,915

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CANADIAN PACIFIC RAILWAY/SOO LINE RAILROAD COMPANY


125


200


$630,500


$421,000


$20,000


$610,500


$209,500


$189,500



679


927


$3,134,455


$2,290,466


$114,500


$3,019,955


$843,989


$729,489

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THE KANSAS CITY SOUTHERN RAILWAY COMPANY


55


58


$231,000


$165,830


$0


$231,000


$65,170


$65,170

NORFOLK SOUTHERN RAILWAY COMPANY


468


557


$1,854,500


$1,336,278


$68,500


$1,786,000


$518,222


$449,722

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UNION PACIFIC RAILROAD COMPANY


1,057


1,300


$4,303,404


$3,175,113


$59,000


$4,244,404


$1,128,291


$1,069,291

2. For Probable Class II Railroads in the Aggregate in FY 2018


90


122


$466,500


$376,651


$1,000


$465,500


$89,849


$88,849

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3. For Probable Class III Railroads in the Aggregate in FY 2018


789


1,358


$4,977,167


$3,240,461


$538,500


$4,438,667


$1,736,706


$1,198,206

4. For Hazmat Shippers in the Aggregate in FY 2018


647


948


$4,248,999


$3,090,734


$465,000


$3,783,999


$1,158,265


$693,265

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5. For Contractors in the Aggregate in FY 2018


44


142


$336,500


$68,050


$251,500


$85,000


$268,450


$16,950

6. For other cases in the Aggregate in FY 201811


48


76


$289,500


$212,250


$38,500


$251,000


$77,250


$38,750

IV. ENFORCEMENT ACTIONS AGAINST INDIVIDUALS IN FY 2018 11 The category of “other cases” includes all hazardous materials civil penalty cases against respondents that are coded in FRA’s Railroad Enforcement System as contractors rather than shippers. Some entities have been classified as contractors based on criteria unrelated to the shipment of hazardous materials but perform functions under hazardous materials regulations that are associated with shippers.

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A. CIVIL PENALTY CASES AGAINST INDIVIDUALS IN THE AGGREGATE

Total number of civil penalty cases initially assessed in FY 2018:

1

Total number of violations with civil penalties initially assessed in FY 2018:

1

Total initial amount of civil penalty assessed in FY 2018:

$2,500

Number of civil penalty cases closed in FY 2018:

2

Total number of violations in cases closed in FY 2018:

2

Total initial amount of civil penalty assessed for cases closed in FY 2018:

$5,000

Total final amount of civil penalty assessed (or settlement) for cases closed in FY 2018:

$2,500

Amount terminated (generally due to legal defenses presented during settlement negotiations) for cases closed in FY 2018:

$0

Amount of revised assessment (PRCA) after terminations:

$5,000

Difference between revised civil penalty assessment (PRCA) and final civil penalty assessment for cases closed in FY 2018:

$2,500

Difference between initial amount of civil penalty assessed (POCA) and final settlement amount for a violation in a case closed in FY 2018:

$2,500

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B. OTHER ENFORCEMENT ACTIONS AGAINST INDIVIDUALS IN THE AGGREGATE

Number of notices of proposed disqualification issued and served in FY 2018:

1

Number of proposed disqualification cases closed in FY 2018:

6

Number of warning letters issued by Office of Chief Counsel in FY 2018:

0

Number of warning letters issued by regional offices of FRA Office of Railroad Safety (regional warning letters) in FY 2018:

23

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

INCIDENTS FRA was statutorily mandated12 to commission a report by an independent consultant examining FRA’s approach to achieving industry compliance with the Federal railroad safety laws and the hazmat safety laws and their implementing regulations, and the role of civil penalties in that process. The final report, dated July 15, 2009, was entitled, “The Federal Railroad Administration’s Use of Civil Penalties in the Federal Railroad Safety Program.” This report concludes on page 13 that—

[t]he fair and professional conduct of an agency’s regulatory function requires the informed exercise of discretion beginning with the FRA inspector on the ground and continuing with FRA’s regional discipline specialist, the regional administrator, and headquarters officials in FRA’s Office of Railroad Safety and Office of Chief Counsel. This use of discretion helps ensure that the agency’s exercise of enforcement power is calibrated to achieve an effect that is proportional to the specific circumstances of a given violation. The final element of the agency’s discretion in the civil penalty context is the exercise of the power to compromise authorized and guided by law, directed by the Executive, and strongly encouraged the Judiciary. FRA’s exercise of the statutory authority to compromise civil penalty assessments serves the purpose of encouraging compliance by ensuring that the enforcement process is proportional in those cases [in which FRA assesses penalties]. [Using] the enforcement hand, seen (as in the case of civil penalty assessments) or unseen (as during FRA inspectors’ daily interactions with railroad personnel regarding safety issues), as consistently as possible across the railroad industry . . . results in a rational, effective safety program.

As the independent consultant noted, FRA has long sought to determine whether enforcement actions measurably correlate with the imposition of civil penalties and with specific safety performance improvements. Previously, FRA found that the available data permits some measurement of safety improvements in a functional area covered by an entire rule or an entire safety program. However, FRA cannot determine from the data 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 issuing civil penalties yields observable improvements in safety practices and compliance with the law. However, it is important to note that civil penalties are by no means FRA’s only enforcement tool.

12 Consolidated Appropriations Act, 2008 (H.R. 2764; Public Law 110-161), House Appropriations Committee Print, Division K—Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2008, Explanatory Statement, at 2367.

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Thus, while FRA cannot precisely quantify the impact of civil penalties, it carefully monitors railroad reactions and responses to enforcement activity, and adjusts the intensity and duration of focused oversight as necessary. FRA compiles and analyzes a vast amount of data derived from reports the regulated railroads prepare and file with FRA. However, the report to Congress found that the data FRA uses to identify and track safety trends is typically developed separately from regulatory provisions that ameliorate the conditions leading to particular accident causes that have civil penalties associated with them. Results of this research found no meaningful correlation between specific accident cause codes and use of a civil penalty to enforce a specific regulatory provision, making statistically valid and reliable comparisons exceedingly difficult and statistically suspect or grossly inaccurate. In addition, examining FRA’s civil penalty enforcement in a vacuum, without considering the numerous other factors influencing positive safety outcomes, such as railroad management and individual rail worker behavior and activity, is not possible. One must consider FRA’s regulatory regime as a whole instead of as its component parts. Specific regulatory provisions can complement one another to minimize or prevent conditions that contribute to an accident. However, the complexity of the regulatory scheme may conceal the magnitude of any one regulatory provision’s contribution to the positive safety outcome.

As stated in the independent consultant’s report on page 41—

[o]ne fruitful way to take a holistic view of the effects of the safety program is to look at accident rates over the long term. Rates, which are normalized by million train miles traveled, more reliably indicate the true state of railroad safety than do raw accident numbers. As FRA began to promulgate the first versions of major rules such as track safety standards and power brakes in the 1970’s, the adverse trend in railroad safety was slowed and then sharply reversed. There are few sharp lines of demarcation because railroads and shippers often began to modify their behavior during the rulemaking process; a new safety rule typically takes effect a considerable time after it is issued; and enforcement can occur only after the effective date of the rule. 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.

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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 CASES13

A. LOCOMOTIVE ENGINEER AND OPERATING CREW REVIEW BOARD (LERB/OCRB) Petitions for relief filed with the LERB/OCRB in FY 2018: 66 [27 Conductor + 39 Locomotive Engineer] Decisions issued by the LERB/OCRB in FY 2018: 89 [37 Conductor + 52 Locomotive Engineer] Average length of time for decision in FY 2018: 283 days from the date petition filed14

(179 days from the date of the railroad’s response to the appeal to the date that a decision was issued15)

B. ADMINISTRATIVE HEARINGS Number of pending cases before the Administrative Hearing Officer (AHO) as of October 1, 2017: 6 Number of requests for review by the AHO received during FY 2018: 11 Number of cases closed by the AHO during FY 2018: 16 2

Number of pending AHO cases as of October 1, 2018: 15 Average length of time for decision or other disposition: 12 months

13 FRA’s Locomotive Engineer Review Board (LERB) reviews petitions for initial review of railroad decisions denying or revoking locomotive engineer certifications (49 C.F.R. part 240), while the Operating Crew Review Board (OCRB) reviews petitions for initial review of railroad decisions denying or revoking conductor certifications (49 C.F.R. part 242). Since both Boards share the same board members, FRA intends to merge the two review boards so that both crew members will have their petitions reviewed solely by the OCRB. 14 This excludes any delay issuing an interim order caused, where one or more of the parties initially provided incomplete information. 15 See preceding footnote. 16 This number of cases the AHO closed includes cases closed by decision, stipulation, or dismissal.

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C. APPEALS TO THE ADMINISTRATOR Appeals to the Administrator from the AHO decisions filed in FY 2018: 2 Number of Appeals Pending during FY 2018: 4 (as of October 1, 2017, there were 2 cases pending) Decisions issued by the Administrator during FY 2018: 0 Average length of time for decision issued in FY 2018: N/A (calendar 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 2018: 4 Number of hearing-request cases completed in FY 2018: 1

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 2018: 0 Number of cases referred to the Attorney General for criminal enforcement in FY 2018: 0

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

During FY 2018, FRA did not issue any compliance or emergency orders, or enter into any precursor agreements.

APPENDIX A “Railroad Safety Civil Penalty Cases Closed during Fiscal Year 2018”

0 Federal Railroad Administration

OFFICE OF CHIEF COUNSEL Safety Law Division

RAILROAD SAFETY CIVIL PENAL TY CASES CLOSED DURING FISCAL YEAR 2018

This report summarizes the disposition of all civil penalty cases for which the Federal Railroad Administration (FRA) reached an agreement to collect a civil penalty, issued an order requiring the payment of a civil penalty, or otherwise closed under the Federal railroad safety statutes and regulations, and the hazardous materials transportation laws (HMT) during fiscal year 2018. FRA closed cases under most of these statutes by settlement, and under the HMT generally by final orders of assessment. An overview of FRA's Railroad Safety Enforcement procedures is provided in 49 C.F.R. Part 209, Appendix A.

Total penalty settlements and final assessments against companies, summarized in this report, were as follows:

Railroad safety statutes (except HMT)

HMT

Total Civil Penalties

$12,970,356

$4,715,760

$17,686,116

FRA collected $2,500 in civil penalty settlements or final assessments from individuals for alleged violations of the railroad safety laws in fiscal year 2018.

3

Abbreviations and Explanations of Terms Used in this Report

The type of violation alleged in each civil penalty case can be identified using the following codes, one of which appears as a suffix to each case number:

AD

AR

BSS

BW

CC

EO

EP

EQ

FCS

GC

GS

HMT

HS

HSR

LI

PEQ

REF

REM

RMM

ROP

ROR

RSP

RW

SA

SI

SI

TH

TS

Alcohol and Drug Use

Accident Reports Regulations

Bridge Safety Standards

Bridge Worker Safety Standards

Conductor Certification Regulations

FRA Emergency Order

Railroad Safety Enforcement

Engineer Qualifications

Freight Car Safety Standards

Grade Crossing Signal Safety

Safety Glazing Standards

Hazardous Materials Regulations

Hours of Service Laws

Hours of Service Record Keeping

Locomotive Safety Standards

Passenger Equipment Safety Standards

Reflectorization of Railroad Rolling Stock

Rear End Marking Devices

Roadway Maintenance Machines

Railroad Operating Practices

Railroad Operating Rules

Railroad Standards and Procedures

Roadway Worker Protection

Safety Appliance Statutes

Positive Train Control

Signal Inspection Regulations

TRAIN HORN/QUIET ZONE

Track Safety Standards

4

FRA identifies railroads and other respondents are by a respondent code (see the legend provided at the end of this report), which appears as the letters in the case number after "FRA No. ". FRA identifies hazardous materials and emergency order cases involving shippers by a respondent code beginning with the letter "Z". FRA identifies cases involving contractors by a respondent code beginning with the letter "X". The column labeled "POCA" shows the initial penalty assessed in the case. The column labeled "PRCA" shows the total amount of the initial assessment for alleged violations that FRA concluded it would be able to sustain if the case were litigated. There are two situations when PRCA does not equal to POCA. First, would be if FRA concluded one or more of the violations initially alleged could likely not be sustained. FRA considers such violations terminated. Second, would be if FRA decided the violation could be sustained but the initial penalty assessment for the violation was incorrect. For such cases, FRA corrects the penalty amount and the violation is considered "partially terminated." Cases against individuals (who are liable for civil penalties for willful violations) are identified by the prefix "Indpen" and are listed separately. The "Comments" column shows the violation number of terminated or partially terminated violations.

5

INDPEN 2016-1

INDPEN 2017-2

FRA No.

$2,500

$2,500

Initial Penalty Demanded

$1,250

$1,250

Settlement Amount

11/21/2017

04/12/2018

Settlement Date

FRA Civil Penalty Cases against IndividualsClosed in Fiscal Year 2018

Total $5,000 $2,500

6

ABS 2017-1(ROP)

ABS 2017-2(AR)ACWR 2017-2(GC)ADCX 2017-1(CC)ADCX 2017-2(EQ)AERC 2018-1(HS)AGR 2017-3(AD)AGR 2017-4(SA)AGR 2017-5(FCS)AGR 2017-6(GC)AGR 2017-7(AD)AIKR 2017-2(TS)AIKR 2017-3(TS)ALAB 2017-1(GC)AM 2018-1(GC)AM 2018-2(TS)APRR 2018-1(ROP)ARR 2017-3(ROP)ARR 2018-1(HMT)ASRY 2017-1(HMT)ATAX 2017-1(TS)ATK 2017-30(PEQ)ATK 2017-31(LI)ATK 2017-32(ROP)ATK 2017-33(CC)ATK 2017-34(ROR)ATK 2017-35(AR)ATK 2017-36(ROP)ATK 2017-37(TS)ATK 2017-39(GC)ATK 2017-40(TS)ATK 2017-41(RW)ATK 2017-42(AD)ATK 2017-43(TH)ATK 2017-44(RW)ATK 2017-45(SI)ATK 2017-46(TS)ATK 2017-47(TS)ATK 2017-48(PEQ)ATK 2017-49(AR)ATK 2017-50(PEQ)ATK 2017-51(SI)ATK 2017-52(HSR)ATK 2017-53(CC)ATK 2017-54(LI)ATK 2017-55(AR)ATK 2017-56(AR)ATK 2017-57(AR)ATK 2017-58(AR)

FRA No.

09/24/2018

09/24/201811/14/201710/17/201710/17/201704/24/201809/27/201809/27/201809/27/201809/27/201809/27/201801/04/201801/04/201808/01/201803/01/201803/01/201808/16/201801/09/201806/21/201810/29/201712/05/201709/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/2018

SettlementDate Comments

1

111121111111511111211111111111111112111111111111

No. ofViolations

$7,500

$2,500 $2,500 $2,500 $1,000 $2,000 $2,500 $2,500 $2,500 $1,000 $5,000 $2,500 $1,000 $6,500 $5,000 $5,000 $7,500 $7,500 $7,500 $5,000 $1,000 $5,000 $2,500 $9,500 $2,500 $9,500 $2,500 $9,500 $2,500 $5,000 $5,000 $1,500 $2,500 $5,000 $3,000 $2,500 $7,500 $2,500 $2,500 $2,500 $2,500 $2,500 $1,000 $1,000 $2,500 $2,500 $2,500 $2,500 $2,500

PRCA

$2,000

$1,750 $2,500 $2,500 $1,000 $2,000 $1,950 $1,950 $1,950 $900 $3,950 $853 $853 $4,059 $3,350 $3,250 $4,500 $5,700 $5,900 $3,500 $1,000 $3,900 $1,950 $6,800 $1,900 $5,700 $1,900 $0 $1,950 $4,000 $3,900 $1,200 $1,900 $3,600 $2,100 $2,000 $5,850 $1,950 $1,950 $1,900 $1,950 $1,625 $900 $860 $1,950 $1,900 $1,900 $1,900 $1,900

SettlementAmount

Federal Railroad Administration Safety Cases Closed in FY 2018

POCA

$2,000

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

Partially Terminated Violation(s): 1.

Terminated violation(s): 2.

Case Terminated.

7

ATK 2017-59(AR)ATK 2017-60(AR)ATK 2017-61(AR)ATK 2017-62(AR)ATK 2017-63(AR)ATK 2017-64(AR)ATK 2017-65(AR)ATK 2017-66(AR)ATK 2017-67(HSR)ATK 2017-68(LI)ATK 2018-1(HSR)ATK 2018-2(HSR)ATK 2018-3(HSR)ATK 2018-4(RW)ATN 2017-4(AD)ATN 2017-5(GC)ATN 2018-1(TS)AVR 2017-1(ROP)AWRR 2017-2(SA)BAP 2017-3(SA)BAP 2017-4(SA)BB 2017-1(AR)BB 2018-1(TS)BBAY 2016-1(AD)BJRY 2017-1(AD)BJRY 2017-2(AD)BJRY 2017-3(AD)BML 2017-1(TS)BNSF 2012-159(SA)BNSF 2012-376(RSP)BNSF 2012-377(RSP)BNSF 2013-505(LI)BNSF 2014-39(TS)BNSF 2014-87(LI)BNSF 2014-102(TS)BNSF 2014-183(LI)BNSF 2014-258(TS)BNSF 2014-282(EO)

BNSF 2014-377(TS)BNSF 2014-501(HMT)BNSF 2014-579(SA)BNSF 2014-607(LI)BNSF 2014-747(SA)BNSF 2015-88(HMT)BNSF 2015-173(HS)BNSF 2015-328(ROP)BNSF 2015-372(HSR)BNSF 2015-395(AD)BNSF 2015-404(TS)

FRA No.

09/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201803/29/201803/29/201803/29/201810/17/201709/24/201811/14/201711/14/201710/20/201704/05/201809/24/201812/08/201712/08/201712/08/201712/21/201709/28/201809/28/201811/16/201709/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


11111111111111112111111111111111111111

31111111916

No. ofViolations

$2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $1,000 $1,000 $2,500 $1,000 $1,000 $1,000 $2,000 $2,500 $5,000 $5,000 $2,000 $2,500 $5,000 $5,000 $1,000 $2,500 $5,000 $5,000 $2,500 $2,500 $2,500 $10,000 $5,500 $9,500 $2,500 $1,000 $2,500 $5,000 $1,000 $2,500 $22,000

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

PRCA

$1,900 $1,900 $1,900 $1,900 $1,900 $1,900 $1,900 $860 $900 $1,950 $900 $900 $900 $1,600 $1,700 $3,700 $3,500 $1,100 $1,750 $2,500 $2,500 $853 $1,625 $3,200 $3,750 $1,875 $1,875 $1,500 $0 $0 $0 $0 $785 $1,900 $3,600 $750 $1,800 $2,500

$5,400 $1,825 $785 $750 $3,650 $1,475 $853 $1,450 $0 $2,000 $12,240

SettlementAmount


POCA

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

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

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


Case Terminated.

8

BNSF 2015-414(RW)BNSF 2015-515(LI)BNSF 2015-552(FCS)BNSF 2015-571(HMT)BNSF 2015-574(HMT)BNSF 2015-608(TS)BNSF 2015-637(LI)BNSF 2015-650(TS)BNSF 2015-652(TS)BNSF 2015-703(TS)BNSF 2016-48(TS)BNSF 2016-56(TS)BNSF 2016-68(AR)BNSF 2016-70(AR)BNSF 2016-71(AR)BNSF 2016-73(AR)BNSF 2016-107(ROP)BNSF 2016-131(AR)BNSF 2016-167(FCS)BNSF 2016-172(RW)BNSF 2016-221(RMM)BNSF 2016-338(TS)BNSF 2016-499(TS)BNSF 2016-564(HMT)BNSF 2016-576(HSR)BNSF 2016-589(HMT)BNSF 2016-606(EQ)BNSF 2016-612(TS)BNSF 2016-617(TS)BNSF 2016-654(HMT)BNSF 2016-674(HMT)BNSF 2016-677(EP)BNSF 2016-680(EP)BNSF 2016-706(REM)BNSF 2016-724(HMT)BNSF 2016-739(HMT)BNSF 2016-826(TS)BNSF 2016-863(TS)BNSF 2017-14(HMT)BNSF 2017-33(HMT)BNSF 2017-133(TS)BNSF 2017-179(HS)BNSF 2017-183(SA)BNSF 2017-185(SI)BNSF 2017-186(SI)BNSF 2017-187(HMT)BNSF 2017-188(HMT)BNSF 2017-191(TS)BNSF 2017-192(TS)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1311110182182111111112

3424218116511111117131221111111

No. ofViolations

$25,000 $12,000 $2,500 $1,500 $2,000 $25,000 $2,500 $20,000 $2,000 $5,000 $22,500 $5,000 $2,500 $2,500 $2,500 $2,500 $7,500 $2,500 $2,000 $15,000 $10,000

$34,000 $60,000 $7,000 $18,000 $2,000 $1,000 $22,500 $6,500 $2,000 $3,000 $1,000 $1,000 $2,500 $2,000 $20,000 $17,500 $2,500 $18,500 $5,000 $7,500 $2,000 $5,000 $1,000 $1,000 $2,000 $2,000 $2,500 $5,000

PRCA

$20,500 $9,300 $1,850 $1,100 $1,450 $18,000 $1,900 $14,400 $1,740 $3,600 $16,200 $3,600 $1,875 $1,875 $1,875 $1,875 $5,400 $1,875 $1,500 $12,200 $7,000

$0 $43,000 $5,200 $0 $1,475 $853 $16,200 $4,700 $1,475 $2,200 $853 $853 $1,850 $1,475 $14,500 $12,600 $1,800 $13,500 $3,700 $5,400 $1,678 $3,650 $853 $853 $1,450 $1,450 $1,800 $3,600

SettlementAmount


POCA

$25,000 $12,000 $2,500 $1,500 $2,000 $25,000 $2,500 $20,000 $2,000 $5,000 $22,500 $5,000 $2,500 $2,500 $2,500 $2,500 $7,500 $2,500 $2,000 $15,000 $10,000

$0 $60,000 $7,000 $0 $2,000 $1,000 $22,500 $6,500 $2,000 $3,000 $1,000 $1,000 $2,500 $2,000 $20,000 $17,500 $2,500 $18,500 $5,000 $7,500 $2,000 $5,000 $1,000 $1,000 $2,000 $2,000 $2,500 $5,000

Case Terminated.

Case Terminated.

9

BNSF 2017-193(FCS)BNSF 2017-194(SA)BNSF 2017-195(SA)BNSF 2017-196(SA)BNSF 2017-198(TS)BNSF 2017-199(TS)BNSF 2017-200(ROP)BNSF 2017-201(ROP)BNSF 2017-202(ROP)BNSF 2017-203(ROP)BNSF 2017-204(FCS)BNSF 2017-205(ROP)BNSF 2017-206(ROP)BNSF 2017-207(SA)BNSF 2017-208(SA)BNSF 2017-209(SA)BNSF 2017-210(SA)BNSF 2017-211(SA)BNSF 2017-212(SA)BNSF 2017-213(SA)BNSF 2017-214(SI)BNSF 2017-215(SA)BNSF 2017-216(ROP)BNSF 2017-217(SA)BNSF 2017-218(SA)BNSF 2017-219(SA)BNSF 2017-220(SA)BNSF 2017-221(SA)BNSF 2017-222(SA)BNSF 2017-223(SA)BNSF 2017-224(SA)BNSF 2017-225(SA)BNSF 2017-226(SA)BNSF 2017-227(LI)BNSF 2017-228(LI)BNSF 2017-229(LI)BNSF 2017-230(LI)BNSF 2017-231(LI)BNSF 2017-232(LI)BNSF 2017-233(LI)BNSF 2017-234(RW)BNSF 2017-235(GC)BNSF 2017-236(LI)BNSF 2017-237(HS)BNSF 2017-238(SA)BNSF 2017-239(SA)BNSF 2017-240(ROP)BNSF 2017-241(ROP)BNSF 2017-242(ROP)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111231111111111111111211111111112111111111211111

No. ofViolations

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

PRCA

$1,850 $1,825 $1,825 $3,650 $5,400 $9,075 $5,400 $5,450 $5,450 $5,450 $1,850 $5,450 $1,440 $1,825 $3,650 $3,650 $3,600 $1,825 $3,650 $1,825 $3,675 $3,660 $2,900 $3,660 $3,350 $3,660 $1,825 $3,660 $3,660 $3,660 $3,660 $1,825 $3,660 $2,725 $1,825 $1,825 $1,900 $853 $853 $1,900 $1,450 $3,700 $1,900 $1,706 $3,660 $3,660 $5,450 $5,450 $5,450

SettlementAmount


POCA

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

10

BNSF 2017-243(ROP)

BNSF 2017-244(TS)BNSF 2017-245(TS)BNSF 2017-246(ROP)BNSF 2017-247(ROP)BNSF 2017-248(SA)BNSF 2017-249(SA)BNSF 2017-250(SA)BNSF 2017-251(SA)BNSF 2017-252(SA)BNSF 2017-253(ROP)BNSF 2017-254(ROP)

BNSF 2017-255(ROP)

BNSF 2017-256(SA)BNSF 2017-257(TS)BNSF 2017-258(TS)BNSF 2017-259(LI)BNSF 2017-260(LI)BNSF 2017-261(SA)BNSF 2017-262(SA)BNSF 2017-263(HS)BNSF 2017-264(TS)BNSF 2017-265(TS)BNSF 2017-266(ROP)BNSF 2017-267(ROP)BNSF 2017-268(SA)BNSF 2017-269(FCS)BNSF 2017-270(FCS)BNSF 2017-271(FCS)BNSF 2017-272(SA)BNSF 2017-273(SA)BNSF 2017-274(FCS)BNSF 2017-275(SA)BNSF 2017-276(SA)BNSF 2017-277(SA)BNSF 2017-278(GC)BNSF 2017-279(SA)BNSF 2017-280(SA)BNSF 2017-281(SA)BNSF 2017-282(SA)BNSF 2017-283(SA)BNSF 2017-284(TS)BNSF 2017-285(ROP)BNSF 2017-286(ROP)BNSF 2017-287(ROP)BNSF 2017-288(SI)BNSF 2017-289(SA)

FRA No.

09/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1

11111111111

1

1131111111111111111111111111411111

No. ofViolations

$7,500

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

$9,500

$5,000 $5,000 $7,500 $2,500 $2,500 $5,000 $5,000 $1,000 $2,500 $5,000 $9,500 $7,500 $5,000 $2,500 $2,500 $5,000 $2,500 $5,000 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $4,000 $7,500 $7,500 $7,500 $1,000 $5,000

PRCA

$2,000

$1,800 $1,800 $0 $5,450 $1,825 $3,660 $1,825 $3,660 $3,660 $6,900 $4,100

$5,000

$3,660 $3,600 $5,400 $1,900 $853 $3,660 $3,660 $853 $1,975 $3,600 $6,900 $5,500 $3,660 $1,850 $1,850 $3,650 $1,825 $3,660 $1,850 $3,660 $3,600 $3,600 $3,700 $3,600 $3,600 $3,600 $3,600 $3,660 $3,412 $5,500 $5,500 $5,475 $853 $3,660

SettlementAmount


POCA

$2,000

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

$5,000

$5,000 $5,000 $7,500 $2,500 $2,500 $5,000 $5,000 $1,000 $2,500 $5,000 $9,500 $7,500 $5,000 $2,500 $2,500 $5,000 $2,500 $5,000 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $4,000 $7,500 $7,500 $7,500 $1,000 $5,000


Case Terminated.

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

11

BNSF 2017-290(SA)BNSF 2017-291(SA)BNSF 2017-292(SA)BNSF 2017-293(SA)BNSF 2017-294(ROR)BNSF 2017-295(SA)BNSF 2017-296(SA)BNSF 2017-297(ROP)

BNSF 2017-298(TS)BNSF 2017-299(TS)BNSF 2017-300(RW)BNSF 2017-301(RW)BNSF 2017-302(TS)BNSF 2017-303(TS)BNSF 2017-304(TS)BNSF 2017-305(TS)BNSF 2017-306(HMT)BNSF 2017-307(SA)BNSF 2017-308(SA)BNSF 2017-309(SA)BNSF 2017-310(FCS)BNSF 2017-311(FCS)BNSF 2017-312(ROP)BNSF 2017-313(FCS)BNSF 2017-314(TS)BNSF 2017-315(TS)BNSF 2017-316(SA)BNSF 2017-317(SA)BNSF 2017-318(FCS)BNSF 2017-319(SA)BNSF 2017-320(SA)BNSF 2017-321(SA)BNSF 2017-322(SA)BNSF 2017-323(SA)BNSF 2017-324(SA)BNSF 2017-325(TS)BNSF 2017-326(TS)BNSF 2017-327(TS)BNSF 2017-328(TS)BNSF 2017-329(TS)BNSF 2017-330(TS)BNSF 2017-331(TS)BNSF 2017-332(TS)BNSF 2017-333(TS)BNSF 2017-334(TS)BNSF 2017-335(ROP)BNSF 2017-336(ROP)BNSF 2017-337(TS)BNSF 2017-338(TS)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


11111111

11111212111111114211111121121121111121112

No. ofViolations

$5,000 $5,000 $5,000 $5,000 $7,500 $5,000 $5,000 $9,500

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

PRCA

$3,660 $3,660 $3,660 $3,660 $5,500 $3,660 $3,660 $5,000

$1,800 $1,800 $853 $1,450 $1,800 $7,200 $853 $5,400 $1,450 $3,660 $1,825 $1,825 $3,650 $1,800 $5,850 $1,800 $3,412 $5,400 $1,825 $1,825 $3,650 $0 $1,800 $1,825 $2,920 $3,660 $3,660 $5,400 $1,800 $853 $1,706 $853 $3,600 $3,650 $853 $3,600 $5,400 $1,450 $1,450 $1,800 $5,400

SettlementAmount


POCA

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

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


Case Terminated.

12

BNSF 2017-339(TS)BNSF 2017-340(TS)BNSF 2017-341(FCS)BNSF 2017-342(SA)BNSF 2017-343(SA)BNSF 2017-344(SA)BNSF 2017-345(SA)BNSF 2017-346(SA)BNSF 2017-347(SA)BNSF 2017-348(SA)BNSF 2017-349(SA)BNSF 2017-350(SA)BNSF 2017-351(SA)BNSF 2017-352(SA)BNSF 2017-353(SA)BNSF 2017-354(SA)BNSF 2017-355(SA)BNSF 2017-356(SA)BNSF 2017-357(ROP)

BNSF 2017-358(ROP)BNSF 2017-359(RW)BNSF 2017-360(RW)BNSF 2017-361(LI)BNSF 2017-362(RMM)BNSF 2017-363(LI)BNSF 2017-364(GC)BNSF 2017-365(LI)BNSF 2017-366(GC)BNSF 2017-367(SA)BNSF 2017-368(SA)BNSF 2017-369(SI)BNSF 2017-370(ROP)BNSF 2017-371(ROP)BNSF 2017-372(ROP)BNSF 2017-373(FCS)BNSF 2017-374(SA)BNSF 2017-375(AD)BNSF 2017-376(AD)BNSF 2017-377(SI)BNSF 2017-378(SA)BNSF 2017-379(HMT)BNSF 2017-380(SA)BNSF 2017-381(SA)BNSF 2017-382(SA)BNSF 2017-383(SA)BNSF 2017-384(SA)BNSF 2017-385(TS)BNSF 2017-386(FCS)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


64111111111111111111

11112

111111111111221111111111

No. ofViolations

$64,000 $2,500 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $5,000 $2,500 $7,500

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

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

PRCA

$0 $2,125 $3,650 $3,660 $3,660 $1,825 $1,825 $1,825 $3,660 $3,660 $3,660 $3,660 $3,660 $1,825 $1,825 $1,825 $3,660 $1,825 $3,840

$1,450 $853 $1,450 $1,900 $3,500

$1,140 $3,700 $1,900 $853 $3,660 $1,825 $3,675 $1,450 $5,500 $6,900 $1,850 $1,825 $7,500 $8,000 $5,550 $3,660 $0 $3,660 $3,660 $1,825 $3,660 $3,660 $853 $1,850

SettlementAmount


POCA

$0 $2,500 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $5,000 $2,500 $4,000

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

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

Case Terminated.


Case Terminated.

13

BNSF 2017-387(SA)BNSF 2017-388(SA)BNSF 2017-389(SA)BNSF 2017-390(SA)BNSF 2017-391(HS)BNSF 2017-392(SA)BNSF 2017-393(ROP)BNSF 2017-394(ROP)BNSF 2017-395(ROP)BNSF 2017-396(ROP)BNSF 2017-397(ROP)BNSF 2017-398(ROP)BNSF 2017-399(ROP)BNSF 2017-400(ROP)BNSF 2017-401(TS)BNSF 2017-402(TS)BNSF 2017-403(TS)BNSF 2017-404(TS)BNSF 2017-405(TS)BNSF 2017-406(GC)BNSF 2017-407(GC)BNSF 2017-408(RW)BNSF 2017-409(RW)BNSF 2017-410(ROP)BNSF 2017-411(HMT)BNSF 2017-412(SA)BNSF 2017-413(FCS)BNSF 2017-414(LI)

BNSF 2017-415(FCS)BNSF 2017-416(ROP)BNSF 2017-417(ROP)BNSF 2017-418(TS)BNSF 2017-419(ROP)BNSF 2017-421(SA)BNSF 2017-422(HSR)BNSF 2017-423(ROP)BNSF 2017-424(ROP)BNSF 2017-425(SA)BNSF 2017-426(SA)BNSF 2017-427(FCS)BNSF 2017-428(FCS)BNSF 2017-429(FCS)BNSF 2017-430(FCS)BNSF 2017-431(FCS)BNSF 2017-432(ROP)BNSF 2017-433(ROP)BNSF 2017-434(FCS)BNSF 2017-435(ROP)BNSF 2017-436(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


11111111111111411212111113111

211111111111111121311

No. ofViolations

$2,500 $2,500 $2,500 $2,500 $1,000 $5,000 $7,500 $7,500 $2,000 $2,000 $2,000 $2,000 $2,000 $7,500 $15,000 $42,500 $7,500 $2,500 $2,000 $5,000 $5,000 $3,000 $3,000 $7,500 $15,000 $5,000 $2,500 $2,500

$10,000 $7,500 $2,000 $5,000 $7,500 $5,000 $2,500 $7,500 $9,500 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $4,000 $9,500 $7,500 $5,000 $2,500

PRCA

$1,825 $1,800 $1,800 $1,800 $853 $3,660 $5,500 $5,475 $1,460 $1,460 $1,460 $1,460 $1,460 $5,500 $10,800 $30,600 $5,400 $1,800 $1,706 $3,700 $3,700 $2,175 $2,175 $5,500 $10,800 $3,660 $1,825 $853

$7,450 $5,500 $1,460 $3,600 $5,500 $3,660 $1,800 $5,500 $6,900 $3,660 $3,660 $1,850 $1,825 $1,825 $1,825 $1,825 $2,900 $6,900 $5,000 $3,650 $1,825

SettlementAmount


POCA

$2,500 $2,500 $2,500 $2,500 $1,000 $5,000 $7,500 $7,500 $2,000 $2,000 $2,000 $2,000 $2,000 $7,500 $15,000 $42,500 $7,500 $2,500 $2,000 $5,000 $5,000 $3,000 $3,000 $7,500 $15,000 $5,000 $2,500 $1,000

$10,000 $7,500 $2,000 $5,000 $7,500 $5,000 $2,500 $7,500 $9,500 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $4,000 $9,500 $7,500 $5,000 $2,500


14

BNSF 2017-437(SA)BNSF 2017-438(SA)BNSF 2017-439(SA)BNSF 2017-440(TS)BNSF 2017-441(TS)BNSF 2017-442(ROP)BNSF 2017-443(LI)BNSF 2017-444(SA)BNSF 2017-445(SA)BNSF 2017-446(FCS)BNSF 2017-447(FCS)BNSF 2017-448(FCS)BNSF 2017-449(ROP)BNSF 2017-450(ROP)BNSF 2017-451(SA)BNSF 2017-452(ROP)BNSF 2017-453(SA)BNSF 2017-454(SA)BNSF 2017-455(RW)BNSF 2017-456(SA)BNSF 2017-457(TS)BNSF 2017-458(GC)BNSF 2017-459(ROP)BNSF 2017-460(TS)BNSF 2017-461(TS)BNSF 2017-462(TS)BNSF 2017-463(TS)BNSF 2017-464(TS)BNSF 2017-465(TS)BNSF 2017-466(TS)BNSF 2017-467(TS)BNSF 2017-468(TS)BNSF 2017-469(TS)BNSF 2017-470(ROP)BNSF 2017-471(ROP)BNSF 2017-472(ROP)BNSF 2017-474(SA)BNSF 2017-475(SA)BNSF 2017-476(SA)BNSF 2017-477(SA)BNSF 2017-478(FCS)BNSF 2017-479(TS)BNSF 2017-480(ROP)BNSF 2017-481(SA)BNSF 2017-482(FCS)BNSF 2017-483(LI)BNSF 2017-484(HS)BNSF 2017-486(SA)BNSF 2017-487(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1113111111111111111111112222211111111111111111211

No. ofViolations

$5,000 $5,000 $5,000 $4,500 $2,500 $9,500 $1,500 $5,000 $2,500 $2,500 $5,000 $2,500 $2,000 $2,000 $2,500 $7,500 $2,500 $5,000 $2,000 $5,000 $5,000 $2,500 $1,000 $2,500 $10,000 $5,000 $5,000 $7,500 $5,000 $5,000 $2,500 $5,000 $5,000 $9,500 $7,500 $2,000 $5,000 $2,500 $5,000 $5,000 $2,500 $5,000 $7,500 $5,000 $2,500 $2,500 $2,000 $5,000 $2,500

PRCA

$3,660 $3,660 $3,660 $3,250 $1,800 $6,900 $1,140 $3,660 $1,825 $1,825 $3,700 $1,825 $1,460 $1,460 $1,825 $5,500 $1,825 $3,660 $1,450 $3,660 $3,600 $1,900 $853 $1,800 $7,200 $3,600 $3,600 $5,400 $3,600 $3,600 $1,800 $3,600 $3,600 $6,900 $5,500 $1,450 $3,700 $1,825 $3,660 $3,660 $1,825 $3,600 $5,500 $3,660 $1,825 $1,900 $1,706 $3,660 $1,825

SettlementAmount


POCA

$5,000 $5,000 $5,000 $4,500 $2,500 $9,500 $1,500 $5,000 $2,500 $2,500 $5,000 $2,500 $2,000 $2,000 $2,500 $7,500 $2,500 $5,000 $2,000 $5,000 $5,000 $2,500 $1,000 $2,500 $10,000 $5,000 $5,000 $7,500 $5,000 $5,000 $2,500 $5,000 $5,000 $9,500 $7,500 $2,000 $5,000 $2,500 $5,000 $5,000 $2,500 $5,000 $7,500 $5,000 $2,500 $2,500 $2,000 $5,000 $2,500

15

BNSF 2017-488(SA)BNSF 2017-489(FCS)BNSF 2017-490(FCS)BNSF 2017-491(FCS)BNSF 2017-492(TS)BNSF 2017-493(FCS)BNSF 2017-494(ROP)BNSF 2017-495(SA)BNSF 2017-496(SA)BNSF 2017-497(SA)BNSF 2017-498(SA)BNSF 2017-499(SA)BNSF 2017-500(SA)BNSF 2017-501(SA)BNSF 2017-502(SA)BNSF 2017-503(FCS)BNSF 2017-504(FCS)BNSF 2017-505(HMT)BNSF 2017-506(TS)BNSF 2017-507(TS)BNSF 2017-508(LI)BNSF 2017-509(TS)BNSF 2017-510(FCS)BNSF 2017-511(EP)BNSF 2017-512(SA)BNSF 2017-513(SA)BNSF 2017-514(ROP)BNSF 2017-515(SA)BNSF 2017-516(SA)BNSF 2017-517(SA)BNSF 2017-518(FCS)BNSF 2017-519(SA)BNSF 2017-520(FCS)BNSF 2017-521(SA)BNSF 2017-522(SA)BNSF 2017-523(SA)BNSF 2017-524(ROP)BNSF 2017-525(ROP)BNSF 2017-526(SA)BNSF 2017-527(LI)BNSF 2017-528(LI)BNSF 2017-529(SA)BNSF 2017-530(ROP)BNSF 2017-531(EQ)BNSF 2017-532(EP)BNSF 2017-533(EP)BNSF 2017-534(CC)BNSF 2017-535(FCS)BNSF 2017-536(TS)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111111111111131111111111111111131111111311212

No. ofViolations

$2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $7,500 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $5,000 $5,000 $2,500 $2,500 $14,000 $5,000 $2,500 $5,000 $2,500 $2,500 $1,000 $5,000 $5,000 $7,500 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $5,000 $5,000 $12,500 $7,500 $7,500 $5,000 $2,500 $2,500 $2,500 $7,500 $7,500 $1,000 $1,000 $2,000 $2,500 $5,000

PRCA

$1,825 $1,825 $1,825 $1,850 $3,600 $3,700 $5,500 $1,800 $1,800 $3,660 $3,660 $3,660 $1,825 $3,660 $3,660 $1,850 $1,850 $10,250 $3,600 $1,800 $3,700 $1,800 $1,850 $853 $3,660 $3,660 $5,500 $3,660 $3,660 $3,660 $3,700 $3,660 $1,850 $3,660 $3,660 $9,250 $5,500 $5,800 $3,660 $1,900 $1,900 $1,825 $5,500 $5,400 $853 $853 $1,750 $1,850 $3,600

SettlementAmount


POCA

$2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $7,500 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $5,000 $5,000 $2,500 $2,500 $14,000 $5,000 $2,500 $5,000 $2,500 $2,500 $1,000 $5,000 $5,000 $7,500 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $5,000 $5,000 $12,500 $7,500 $7,500 $5,000 $2,500 $2,500 $2,500 $7,500 $7,500 $1,000 $1,000 $2,000 $2,500 $5,000

16

BNSF 2017-537(TS)BNSF 2017-538(TS)BNSF 2017-539(TS)BNSF 2017-540(TS)BNSF 2017-541(SA)BNSF 2017-542(EP)BNSF 2017-543(FCS)BNSF 2017-544(HMT)BNSF 2017-545(SA)BNSF 2017-546(SA)BNSF 2017-547(SA)BNSF 2017-548(SA)BNSF 2017-549(SA)BNSF 2017-550(SA)BNSF 2017-551(ROP)BNSF 2017-552(ROP)BNSF 2017-553(ROP)BNSF 2017-554(ROP)BNSF 2017-555(ROP)BNSF 2017-556(SA)BNSF 2017-557(SA)BNSF 2017-558(SA)BNSF 2017-559(SA)BNSF 2017-560(SA)BNSF 2017-561(SA)BNSF 2017-562(TS)BNSF 2017-563(SA)BNSF 2017-564(SA)BNSF 2017-565(GC)BNSF 2017-566(GC)BNSF 2017-567(TS)BNSF 2017-568(GC)BNSF 2017-569(ROP)BNSF 2017-570(SA)BNSF 2017-571(SA)BNSF 2017-572(LI)BNSF 2017-573(LI)BNSF 2017-574(LI)BNSF 2017-575(SA)BNSF 2017-576(SA)BNSF 2017-577(SA)BNSF 2017-578(SA)BNSF 2017-579(SA)BNSF 2017-580(FCS)BNSF 2017-581(FCS)BNSF 2017-582(ROP)BNSF 2017-583(GC)BNSF 2017-584(EQ)BNSF 2017-585(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


3111111411111111111111111311111111111111111111111

No. ofViolations

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

PRCA

$5,400 $3,600 $853 $1,800 $3,660 $853 $3,700 $14,500 $3,660 $1,800 $3,600 $2,000 $2,500 $3,700 $1,450 $1,450 $5,450 $1,450 $5,400 $3,700 $3,700 $1,850 $3,700 $3,700 $1,850 $9,000 $3,700 $3,700 $1,900 $853 $1,800 $853 $1,450 $3,700 $1,850 $853 $1,900 $1,900 $3,700 $3,700 $3,700 $3,700 $1,850 $3,700 $1,500 $1,450 $853 $853 $3,700

SettlementAmount


POCA

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

17

BNSF 2017-586(ROP)BNSF 2017-587(SA)BNSF 2017-588(SA)BNSF 2017-589(SA)BNSF 2017-590(SA)BNSF 2017-591(TS)BNSF 2017-592(TS)BNSF 2017-593(FCS)BNSF 2017-594(FCS)BNSF 2017-595(FCS)BNSF 2017-596(FCS)BNSF 2017-597(FCS)BNSF 2017-598(FCS)BNSF 2017-599(ROP)BNSF 2017-600(TS)BNSF 2017-601(TS)BNSF 2017-602(HMT)BNSF 2017-603(HMT)BNSF 2017-604(SA)BNSF 2017-605(SA)BNSF 2017-606(HMT)BNSF 2017-607(SA)BNSF 2017-608(RW)BNSF 2017-609(HMT)BNSF 2017-610(LI)BNSF 2017-611(TS)BNSF 2017-612(TS)BNSF 2017-613(TS)BNSF 2017-614(ROP)BNSF 2017-615(TS)BNSF 2017-616(TS)BNSF 2017-617(TS)BNSF 2017-618(TS)BNSF 2017-619(ROP)BNSF 2017-620(ROP)BNSF 2017-621(ROP)BNSF 2017-622(SA)BNSF 2017-623(GC)BNSF 2017-624(HMT)BNSF 2017-625(ROP)BNSF 2017-626(TS)BNSF 2017-627(TS)BNSF 2017-628(ROP)BNSF 2017-629(SA)BNSF 2017-630(TS)BNSF 2017-631(TS)BNSF 2017-632(TS)BNSF 2017-633(SA)BNSF 2017-634(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111131111111111111121121231121211111111131111111

No. ofViolations

$2,000 $2,500 $2,500 $2,500 $5,000 $15,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,000 $5,000 $2,500 $7,500 $2,000 $5,000 $2,500 $7,000 $2,500 $3,000 $11,500 $2,500 $7,500 $8,500 $1,000 $7,500 $5,000 $2,500 $7,000 $1,000 $2,000 $7,500 $9,500 $5,000 $2,500 $7,500 $7,500 $2,500 $7,500 $7,500 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000

PRCA

$1,430 $1,825 $1,825 $1,825 $3,700 $10,800 $3,600 $1,850 $1,850 $1,850 $1,850 $1,850 $1,850 $1,450 $3,600 $1,800 $5,400 $1,450 $3,700 $1,850 $5,100 $1,850 $2,175 $8,400 $1,900 $5,400 $6,125 $853 $5,400 $3,600 $1,800 $5,050 $853 $1,450 $5,400 $6,800 $3,700 $1,900 $5,400 $5,400 $1,800 $5,400 $5,400 $3,700 $1,800 $1,800 $1,800 $3,700 $3,700

SettlementAmount


POCA

$2,000 $2,500 $2,500 $2,500 $5,000 $15,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,000 $5,000 $2,500 $7,500 $2,000 $5,000 $2,500 $7,000 $2,500 $3,000 $11,500 $2,500 $7,500 $8,500 $1,000 $7,500 $5,000 $2,500 $7,000 $1,000 $2,000 $7,500 $9,500 $5,000 $2,500 $7,500 $7,500 $2,500 $7,500 $7,500 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000

18

BNSF 2017-635(RW)BNSF 2017-636(HSR)BNSF 2017-637(HSR)BNSF 2017-638(HSR)BNSF 2017-641(HSR)BNSF 2017-642(TS)BNSF 2017-643(TS)BNSF 2017-644(TS)

BNSF 2017-645(TS)BNSF 2017-646(TS)BNSF 2017-647(TS)BNSF 2017-648(TS)BNSF 2017-649(TS)BNSF 2017-650(TS)BNSF 2017-651(TS)BNSF 2017-652(TS)BNSF 2017-653(ROP)BNSF 2017-654(ROP)BNSF 2017-655(ROP)BNSF 2017-656(FCS)BNSF 2017-657(ROP)BNSF 2017-658(ROP)BNSF 2017-659(SA)BNSF 2017-660(FCS)BNSF 2017-661(FCS)BNSF 2017-662(FCS)BNSF 2017-663(FCS)BNSF 2017-664(FCS)BNSF 2017-665(FCS)BNSF 2017-666(SA)BNSF 2017-667(SA)BNSF 2017-668(SA)BNSF 2017-669(SA)BNSF 2017-670(SA)BNSF 2017-671(SA)BNSF 2017-672(FCS)BNSF 2017-673(FCS)BNSF 2017-674(ROP)BNSF 2017-675(ROP)BNSF 2017-676(AR)BNSF 2017-677(SA)BNSF 2017-678(SA)BNSF 2017-679(FCS)BNSF 2017-680(SA)BNSF 2017-681(SA)BNSF 2017-682(SA)BNSF 2017-683(SA)BNSF 2017-684(HS)BNSF 2017-685(ROP)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


111113120

13131122111111111111111111111111111111121

No. ofViolations

$2,000 $1,000 $1,000 $1,000 $1,000 $6,000 $1,000 $20,000

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

PRCA

$1,450 $853 $853 $853 $853 $4,325 $853 $11,000

$853 $2,559 $1,800 $7,200 $1,850 $1,850 $5,500 $4,400 $3,750 $3,750 $3,750 $3,700 $5,500 $3,500 $1,850 $1,850 $1,850 $1,850 $1,850 $3,700 $1,850 $1,850 $1,850 $1,850 $1,850 $1,850 $1,850 $1,850 $1,850 $5,500 $5,500 $1,250 $3,700 $3,700 $3,700 $3,700 $3,700 $3,700 $3,700 $1,706 $7,000

SettlementAmount


POCA

$2,000 $1,000 $1,000 $1,000 $1,000 $6,000 $1,000 $11,000

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


19

BNSF 2017-686(SA)BNSF 2017-687(SA)BNSF 2017-688(ROP)BNSF 2017-689(SA)BNSF 2017-690(SA)BNSF 2017-691(SA)BNSF 2017-692(SA)BNSF 2017-693(SA)BNSF 2017-694(FCS)BNSF 2017-695(SA)BNSF 2017-696(SA)BNSF 2017-697(ROP)BNSF 2017-698(GC)BNSF 2017-699(FCS)BNSF 2017-700(TS)BNSF 2017-701(SA)BNSF 2017-702(SA)BNSF 2017-703(SA)BNSF 2017-704(FCS)BNSF 2017-705(SA)BNSF 2017-706(HS)BNSF 2017-707(HS)BNSF 2017-708(HS)BNSF 2017-711(HSR)BNSF 2017-712(LI)BNSF 2017-713(ROP)BNSF 2017-714(FCS)BNSF 2017-715(SA)BNSF 2017-716(SA)BNSF 2017-717(ROP)BNSF 2017-718(ROP)BNSF 2017-719(ROP)BNSF 2017-720(ROP)BNSF 2017-721(ROP)BNSF 2017-722(ROP)BNSF 2017-723(LI)BNSF 2017-724(ROP)BNSF 2017-725(SA)BNSF 2017-726(SA)BNSF 2017-727(TS)BNSF 2017-728(TS)BNSF 2017-729(TS)BNSF 2017-730(ROP)

BNSF 2017-731(SA)BNSF 2017-732(RW)BNSF 2017-733(TS)BNSF 2017-734(TS)BNSF 2017-735(TS)BNSF 2017-736(TS)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1121111111112111111111111111111113111111111

111111

No. ofViolations

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

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

PRCA

$1,850 $1,850 $2,950 $3,700 $1,850 $1,850 $1,850 $2,900 $1,850 $1,850 $3,700 $1,450 $7,400 $1,850 $1,750 $1,850 $1,850 $3,700 $1,850 $3,700 $853 $853 $853 $1,800 $1,900 $5,850 $3,700 $3,700 $3,700 $1,450 $5,400 $2,900 $5,500 $4,400 $6,800 $1,900 $5,400 $3,700 $3,700 $1,750 $4,000 $3,700 $2,000

$3,700 $853 $1,800 $1,850 $3,700 $853

SettlementAmount


POCA

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

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


20

BNSF 2017-737(HMT)BNSF 2017-738(SA)BNSF 2017-739(ROP)BNSF 2017-740(GC)BNSF 2017-741(GC)BNSF 2017-742(TS)BNSF 2017-743(ROP)BNSF 2017-744(ROP)BNSF 2017-745(ROP)BNSF 2017-750(HMT)BNSF 2017-754(LI)BNSF 2017-755(LI)BNSF 2017-756(SA)BNSF 2017-757(SA)BNSF 2017-758(SA)BNSF 2017-759(SA)BNSF 2017-760(SA)BNSF 2017-761(SA)BNSF 2017-762(HMT)BNSF 2017-764(SA)BNSF 2017-765(SA)BNSF 2017-766(SA)BNSF 2017-767(TS)BNSF 2017-768(TS)BNSF 2017-769(TS)BNSF 2017-770(TS)BNSF 2017-771(TS)BNSF 2017-772(TS)BNSF 2017-773(TS)BNSF 2017-774(TS)BNSF 2017-775(TS)BNSF 2017-776(SA)BNSF 2017-777(SA)BNSF 2017-778(GC)BNSF 2017-779(GC)BNSF 2017-780(TS)BNSF 2017-781(TS)

BNSF 2017-782(TS)BNSF 2017-783(TS)BNSF 2017-784(TS)BNSF 2017-785(FCS)BNSF 2017-786(AR)BNSF 2017-787(AR)BNSF 2017-788(AR)BNSF 2017-789(SI)BNSF 2017-790(SI)BNSF 2017-791(FCS)BNSF 2017-792(FCS)BNSF 2017-793(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


11111111111111111121111114111111111211

222114411111

No. ofViolations

$7,500 $5,000 $7,500 $5,000 $5,000 $5,000 $9,500 $7,500 $7,500 $2,000 $2,000 $2,500 $2,500 $5,000 $5,000 $2,500 $5,000 $2,500 $13,500 $5,000 $5,000 $5,000 $2,500 $5,000 $5,000 $10,000 $5,000 $1,000 $5,000 $5,000 $1,000 $5,000 $2,500 $5,000 $5,000 $5,000 $11,000

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

PRCA

$5,250 $3,700 $5,400 $3,700 $3,700 $3,700 $6,800 $5,400 $5,400 $1,475 $1,545 $1,900 $1,850 $3,700 $3,700 $1,825 $3,660 $1,825 $9,800 $3,660 $3,660 $3,660 $1,850 $3,700 $3,700 $7,200 $3,900 $853 $3,700 $3,700 $853 $3,660 $1,825 $3,700 $3,000 $3,700 $5,000

$5,500 $2,700 $5,500 $3,700 $853 $7,500 $7,500 $853 $3,675 $1,850 $1,850 $1,825

SettlementAmount


POCA

$7,500 $5,000 $7,500 $5,000 $5,000 $5,000 $9,500 $7,500 $7,500 $2,000 $2,000 $2,500 $2,500 $5,000 $5,000 $2,500 $5,000 $2,500 $13,500 $5,000 $5,000 $5,000 $2,500 $5,000 $5,000 $10,000 $5,000 $1,000 $5,000 $5,000 $1,000 $5,000 $2,500 $5,000 $5,000 $5,000 $5,000

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


21

BNSF 2017-794(SA)BNSF 2017-795(SA)BNSF 2017-796(SA)BNSF 2017-797(ROP)BNSF 2017-798(RW)BNSF 2017-799(SA)BNSF 2017-800(SA)BNSF 2017-801(SA)BNSF 2017-802(SA)BNSF 2017-803(SA)BNSF 2017-804(GC)BNSF 2017-805(GC)BNSF 2017-806(ROP)BNSF 2017-807(ROP)BNSF 2017-808(TS)BNSF 2017-809(SA)BNSF 2017-810(FCS)BNSF 2017-811(TS)BNSF 2017-812(HS)BNSF 2017-813(HS)BNSF 2017-814(HMT)BNSF 2017-815(HMT)BNSF 2017-816(LI)BNSF 2017-817(LI)BNSF 2017-818(RW)BNSF 2017-819(ROP)BNSF 2017-820(ROP)BNSF 2017-821(HMT)BNSF 2017-822(HMT)BNSF 2017-823(SA)BNSF 2017-824(SA)BNSF 2017-825(LI)BNSF 2018-1(SA)BNSF 2018-2(SA)BNSF 2018-3(SA)BNSF 2018-4(SA)BNSF 2018-5(SA)BNSF 2018-6(FCS)BNSF 2018-7(FCS)BNSF 2018-8(FCS)BNSF 2018-9(FCS)BNSF 2018-10(FCS)BNSF 2018-11(FCS)BNSF 2018-12(FCS)BNSF 2018-13(FCS)BNSF 2018-14(SA)BNSF 2018-15(FCS)BNSF 2018-16(FCS)BNSF 2018-17(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1113111111111121112121111115111111111111111111111

No. ofViolations

$5,000 $2,500 $5,000 $22,500 $3,000 $2,500 $5,000 $2,500 $2,500 $2,500 $5,000 $2,500 $7,500 $7,500 $7,500 $5,000 $2,500 $2,500 $2,000 $1,000 $4,000 $7,500 $5,000 $2,500 $1,500 $2,000 $2,000 $11,000 $3,000 $5,000 $5,000 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000

PRCA

$3,660 $1,825 $3,660 $15,000 $2,175 $1,825 $3,660 $1,825 $1,825 $1,825 $3,700 $1,850 $5,000 $5,400 $5,500 $3,660 $1,850 $1,850 $1,706 $853 $0 $5,450 $3,800 $1,775 $1,100 $1,430 $1,430 $7,920 $2,200 $3,660 $3,660 $1,900 $3,660 $0 $3,660 $3,660 $3,660 $1,850 $1,850 $1,850 $1,850 $1,850 $1,850 $1,850 $1,850 $1,800 $1,850 $1,850 $3,600

SettlementAmount


POCA

$5,000 $2,500 $5,000 $22,500 $3,000 $2,500 $5,000 $2,500 $2,500 $2,500 $5,000 $2,500 $7,500 $7,500 $7,500 $5,000 $2,500 $2,500 $2,000 $1,000 $0 $7,500 $5,000 $2,500 $1,500 $2,000 $2,000 $11,000 $3,000 $5,000 $5,000 $2,500 $5,000 $0 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000

Case Terminated.

Case Terminated.

22

BNSF 2018-18(SA)BNSF 2018-19(SA)BNSF 2018-20(SA)BNSF 2018-21(SA)BNSF 2018-22(SA)BNSF 2018-23(SA)BNSF 2018-24(ROP)BNSF 2018-25(TS)BNSF 2018-26(TS)BNSF 2018-27(TS)BNSF 2018-28(TS)BNSF 2018-29(TS)BNSF 2018-30(TS)BNSF 2018-31(SA)BNSF 2018-32(HMT)BNSF 2018-33(ROP)BNSF 2018-34(SA)BNSF 2018-35(SA)BNSF 2018-36(SA)BNSF 2018-37(SA)BNSF 2018-38(SA)BNSF 2018-39(SA)BNSF 2018-40(LI)BNSF 2018-41(HS)BNSF 2018-42(TS)BNSF 2018-43(TS)BNSF 2018-44(FCS)BNSF 2018-45(ROP)BNSF 2018-46(AR)BNSF 2018-47(GC)BNSF 2018-48(LI)BNSF 2018-49(GC)BNSF 2018-50(LI)BNSF 2018-51(ROP)BNSF 2018-52(SA)BNSF 2018-53(HMT)BNSF 2018-54(HMT)BNSF 2018-55(HMT)BNSF 2018-56(HS)BNSF 2018-57(SA)BNSF 2018-58(SA)BNSF 2018-59(SA)BNSF 2018-60(SA)BNSF 2018-61(LI)BNSF 2018-62(SA)BNSF 2018-63(SA)BNSF 2018-64(SA)BNSF 2018-65(SA)BNSF 2018-66(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111113111211111111111121111111111111121111111111

No. ofViolations

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

PRCA

$1,800 $1,800 $1,800 $3,660 $3,660 $3,660 $4,300 $1,850 $3,700 $1,850 $7,200 $853 $853 $3,660 $3,600 $5,400 $3,660 $3,660 $3,660 $3,660 $1,825 $1,825 $1,900 $1,706 $3,700 $1,850 $1,850 $1,430 $1,875 $3,700 $1,900 $3,700 $1,775 $5,400 $3,660 $4,320 $3,600 $1,450 $1,706 $3,660 $1,825 $1,825 $1,825 $1,900 $1,825 $1,825 $1,825 $1,825 $1,825

SettlementAmount


POCA

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

23

BNSF 2018-67(FCS)BNSF 2018-68(FCS)BNSF 2018-69(FCS)BNSF 2018-70(FCS)BNSF 2018-71(FCS)BNSF 2018-72(FCS)BNSF 2018-73(FCS)BNSF 2018-74(FCS)BNSF 2018-75(HMT)BNSF 2018-76(LI)BNSF 2018-77(SA)BNSF 2018-78(FCS)BNSF 2018-79(FCS)BNSF 2018-80(FCS)BNSF 2018-81(ROP)BNSF 2018-82(TS)BNSF 2018-83(LI)BNSF 2018-84(SA)BNSF 2018-85(TS)BNSF 2018-86(EP)BNSF 2018-87(EP)BNSF 2018-88(TS)BNSF 2018-89(TS)BNSF 2018-90(TS)BNSF 2018-91(TS)BNSF 2018-92(FCS)BNSF 2018-93(TS)BNSF 2018-94(SA)BNSF 2018-95(SA)BNSF 2018-96(FCS)BNSF 2018-97(ROP)BNSF 2018-98(AR)BNSF 2018-99(AR)BNSF 2018-100(AR)BNSF 2018-101(AR)BNSF 2018-102(AR)BNSF 2018-103(AR)BNSF 2018-104(HMT)BNSF 2018-105(SA)BNSF 2018-106(HMT)BNSF 2018-108(SA)BNSF 2018-109(LI)BNSF 2018-110(GC)BNSF 2018-111(HSR)BNSF 2018-112(HMT)BNSF 2018-113(SI)BNSF 2018-114(ROP)BNSF 2018-115(FCS)BNSF 2018-116(FCS)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111111111112112111311171111111111111111111111

No. ofViolations

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

PRCA

$1,850 $3,700 $1,850 $1,850 $1,850 $1,850 $1,850 $1,850 $0 $1,900 $1,825 $1,850 $1,850 $1,850 $5,400 $3,700 $1,900 $1,825 $3,700 $853 $853 $853 $9,000 $1,650 $3,600 $3,700 $14,600 $3,660 $3,660 $3,700 $1,430 $1,875 $1,875 $1,875 $1,875 $1,875 $1,875 $3,600 $3,660 $5,400 $3,660 $1,140 $3,700 $853 $1,170 $3,675 $1,430 $1,850 $1,850

SettlementAmount


POCA

$2,500 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $0 $2,500 $2,500 $2,500 $2,500 $2,500 $7,500 $5,000 $2,500 $2,500 $5,000 $1,000 $1,000 $1,000 $12,500 $2,500 $5,000 $5,000 $20,000 $5,000 $5,000 $5,000 $2,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $7,500 $5,000 $1,500 $5,000 $1,000 $2,000 $5,000 $2,000 $2,500 $2,500

Case Terminated.

24

BNSF 2018-117(FCS)BNSF 2018-118(FCS)BNSF 2018-119(HMT)BNSF 2018-120(SA)BNSF 2018-121(SA)BNSF 2018-122(HSR)BNSF 2018-123(TS)BNSF 2018-124(SA)BNSF 2018-125(ROP)BNSF 2018-126(SA)BNSF 2018-128(HMT)BNSF 2018-129(SA)BNSF 2018-130(SA)BNSF 2018-131(ROP)BNSF 2018-132(SA)BNSF 2018-133(SA)BNSF 2018-134(FCS)BNSF 2018-135(SA)BNSF 2018-136(SA)BNSF 2018-137(SA)BNSF 2018-138(SA)BNSF 2018-139(SA)BNSF 2018-140(TS)BNSF 2018-141(TS)BNSF 2018-142(ROP)BNSF 2018-143(ROP)BNSF 2018-145(FCS)BNSF 2018-146(TS)BNSF 2018-147(ROP)BNSF 2018-150(SA)BNSF 2018-151(SA)BNSF 2018-154(SI)BNSF 2018-155(GC)BNSO 2015-3(ROP)BNSO 2017-1(PEQ)BNSO 2017-2(ROP)BPRR 2017-2(SI)BPRR 2017-3(SI)BPRR 2017-4(SI)BPRR 2017-5(SI)BPRR 2017-6(SI)BPRR 2017-7(SA)BRC 2017-1(SA)BRC 2017-2(SA)BRC 2017-3(SA)BRC 2017-4(HMT)

BRC 2017-6(ROP)BRC 2017-7(HS)BRC 2017-8(HMT)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201801/11/201801/11/201801/11/201805/23/2018

01/11/201801/11/201805/23/2018


11111111111111111111111112111111111111111121345

111

No. ofViolations

$5,000 $2,500 $5,000 $5,000 $5,000 $1,000 $5,000 $2,500 $2,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $2,500 $5,000 $5,000 $1,000 $9,500 $4,000 $5,000 $5,000 $7,500 $5,000 $5,000 $2,500 $5,000 $25,000 $5,000 $5,000 $1,000 $1,000 $1,000 $1,000 $1,000 $2,500 $10,000 $5,000 $12,500 $182,000

$7,500 $1,000 $1,000

PRCA

$3,700 $1,850 $3,600 $3,660 $3,660 $853 $3,700 $1,825 $1,430 $3,660 $0 $3,660 $3,660 $3,600 $3,660 $1,825 $1,850 $0 $3,660 $3,660 $1,825 $3,660 $3,700 $853 $6,800 $2,875 $3,700 $3,700 $5,400 $3,600 $3,600 $1,850 $3,700 $18,750 $3,900 $3,600 $900 $900 $900 $900 $900 $1,950 $7,400 $2,500 $9,250 $94,750

$4,875 $853 $700

SettlementAmount


POCA

$5,000 $2,500 $5,000 $5,000 $5,000 $1,000 $5,000 $2,500 $2,000 $5,000 $0 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $0 $5,000 $5,000 $2,500 $5,000 $5,000 $1,000 $9,500 $4,000 $5,000 $5,000 $7,500 $5,000 $5,000 $2,500 $5,000 $25,000 $5,000 $5,000 $1,000 $1,000 $1,000 $1,000 $1,000 $2,500 $10,000 $5,000 $12,500 $152,000

$7,500 $1,000 $1,000

Case Terminated.

Case Terminated.


25

BRC 2017-9(HMT)BRC 2017-10(ROP)BRSR 2017-1(ROP)

BRSR 2017-2(RW)BVRR 2018-1(SA)CAGY 2017-1(AD)CAGY 2017-2(AD)CBCX 2016-1(TS)CBR 2016-2(TS)CBR 2016-3(RW)CBR 2017-1(REF)CBR 2017-2(LI)CBR 2017-3(AR)CBR 2017-4(ROP)CBR 2017-5(ROP)CC 2017-1(ROP)CC 2017-2(TS)CC 2017-3(TS)CC 2017-4(TS)CC 2017-5(TS)CC 2017-6(TS)CCHA 2017-1(AD)CERA 2017-1(SA)CFNR 2017-1(LI)CFRC 2016-8(GC)CFRC 2016-10(GC)CFRC 2016-11(GC)CFRC 2016-12(ROR)CFRC 2017-5(TS)CFRC 2017-6(GC)CFRC 2017-7(EP)CFRC 2017-8(GC)CFRC 2017-9(ROR)CFRC 2017-10(ROR)CFRC 2018-1(SI)CFRC 2018-2(GC)CFRC 2018-3(SI)CFRC 2018-4(SI)CIC 2017-1(SA)CKIN 2014-2(SA)CLC 2017-1(SA)CMEM 2017-1(SA)CMQX 2017-1(TS)CMR 2017-1(TS)CMR 2017-2(TS)CMR 2017-3(TS)CMR 2017-4(TS)CMR 2017-5(TS)CMR 2017-6(TS)

FRA No.

05/23/201805/23/201809/24/2018

09/24/201809/24/201809/27/201809/27/201801/12/201810/30/201710/30/201710/30/201710/30/201710/30/201710/30/201710/30/201708/17/201808/17/201808/17/201808/17/201808/17/201808/17/201809/27/201809/27/201809/27/201811/08/201711/08/201711/08/201711/08/201711/08/201711/08/201711/08/201711/08/201711/08/201711/08/201703/15/201803/15/201805/30/201808/17/201804/20/201802/07/201811/14/201704/12/201802/26/201802/05/201802/05/201802/05/201802/05/201802/05/201804/26/2018


111

1141122131111112111119111241431111111212212524

No. ofViolations

$1,000 $9,500 $7,500

$2,000 $2,500 $10,000 $5,000 $1,000 $10,000 $7,000 $5,000 $7,500 $2,500 $7,500 $9,500 $5,000 $5,000 $2,500 $7,500 $2,500 $2,000 $5,000 $5,000 $2,500 $22,500 $2,500 $1,000 $2,500 $10,000 $15,000 $1,000 $5,500 $28,500 $9,500 $2,500 $1,000 $5,000 $27,904 $5,000 $5,000 $10,000 $5,000 $10,000 $5,000 $2,500 $7,500 $18,500 $7,500 $12,500

PRCA

$700 $6,650 $2,000

$1,400 $1,750 $7,600 $3,950 $1,000 $8,500 $5,500 $4,000 $7,500 $2,500 $5,750 $6,000 $3,750 $3,600 $1,800 $5,600 $1,800 $1,400 $3,950 $3,600 $1,950 $19,987 $2,000 $800 $2,000 $9,000 $12,000 $853 $4,400 $15,200 $7,500 $2,000 $853 $4,125 $26,250 $4,000 $3,000 $5,000 $5,000 $10,000 $3,750 $1,750 $5,250 $15,000 $4,250 $10,000

SettlementAmount


POCA

$1,000 $9,500 $2,000

$2,000 $2,500 $10,000 $5,000 $1,000 $10,000 $7,000 $5,000 $7,500 $2,500 $7,500 $9,500 $5,000 $5,000 $2,500 $7,500 $2,500 $2,000 $5,000 $5,000 $2,500 $22,500 $2,500 $1,000 $2,500 $10,000 $15,000 $1,000 $5,500 $19,000 $9,500 $2,500 $1,000 $5,000 $27,904 $5,000 $5,000 $10,000 $5,000 $10,000 $5,000 $2,500 $7,500 $18,500 $7,500 $12,500


Terminated Violation(s): 2.

26

CMR 2018-1(TS)CMR 2018-2(TS)CMTY 2018-1(SI)CN 2015-224(HSR)CN 2017-2(SA)CN 2017-3(SA)CN 2017-4(SA)CN 2017-5(SA)CN 2017-6(SA)CN 2017-7(TS)CN 2017-8(FCS)CN 2017-9(LI)CN 2017-10(LI)CN 2017-11(SA)CN 2017-12(SA)CN 2017-13(FCS)CN 2017-14(SI)CN 2017-15(GC)CN 2017-16(GC)CN 2017-17(GC)CN 2017-18(HSR)CN 2017-19(GC)CN 2017-20(LI)CN 2017-21(LI)CN 2017-22(HMT)CN 2017-23(ROP)CN 2017-24(GC)CN 2017-25(HS)CN 2017-26(HS)CN 2017-27(LI)CN 2017-28(TS)CN 2017-29(SI)CN 2017-30(LI)CN 2017-31(GC)CN 2017-32(GC)CN 2017-33(TS)CN 2017-34(TS)CN 2017-35(TS)CN 2017-36(SI)CN 2017-37(HMT)CN 2017-38(HMT)CN 2017-39(SA)CN 2017-40(SA)CN 2017-41(GC)CN 2017-42(TS)CN 2017-43(HMT)CN 2017-44(SA)CN 2017-45(LI)CN 2017-46(SA)

FRA No.

05/07/201805/07/201808/01/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/2018


13115121114111111311111176111111111111111211151111

No. ofViolations

$5,000 $10,000 $27,904 $15,000 $2,500 $5,000 $2,500 $5,000 $2,500 $20,000 $2,500 $1,500 $2,500 $2,500 $2,500 $5,000 $3,000 $2,500 $2,500 $2,500 $1,000 $5,000 $2,500 $8,500 $12,000 $9,500 $2,500 $1,000 $1,000 $2,500 $1,000 $1,000 $1,500 $5,000 $1,000 $5,000 $1,000 $5,000 $1,000 $1,000 $10,500 $5,000 $5,000 $2,500 $20,000 $7,500 $5,000 $1,500 $2,500

PRCA

$4,000 $8,000 $25,113 $12,900 $1,650 $3,350 $1,650 $3,250 $1,650 $14,500 $1,700 $990 $1,650 $1,650 $1,825 $3,500 $2,010 $1,850 $1,850 $1,850 $670 $3,700 $1,700 $6,970 $8,500 $7,000 $1,850 $850 $850 $1,650 $850 $850 $990 $3,700 $730 $3,600 $850 $3,650 $850 $680 $7,950 $3,250 $3,700 $1,850 $14,100 $5,690 $3,250 $1,010 $1,650

SettlementAmount


POCA

$5,000 $10,000 $27,904 $15,000 $2,500 $5,000 $2,500 $5,000 $2,500 $20,000 $2,500 $1,500 $2,500 $2,500 $2,500 $5,000 $3,000 $2,500 $2,500 $2,500 $1,000 $5,000 $2,500 $8,500 $12,000 $9,500 $2,500 $1,000 $1,000 $2,500 $1,000 $1,000 $1,500 $5,000 $1,000 $5,000 $1,000 $5,000 $1,000 $1,000 $10,500 $5,000 $5,000 $2,500 $20,000 $7,500 $5,000 $1,500 $2,500

27

CN 2017-47(HS)CN 2017-48(HS)CN 2017-49(HMT)CN 2017-50(SA)CN 2017-51(AD)CN 2017-52(AD)CN 2017-53(FCS)CN 2017-54(SA)CN 2017-55(HMT)CN 2017-56(ROP)CN 2017-57(SA)CN 2017-58(TS)CN 2017-59(SA)CN 2017-60(LI)CN 2017-61(HS)CN 2017-62(HS)CN 2017-63(HS)CN 2017-64(LI)CN 2017-65(LI)CN 2017-66(SA)CN 2017-67(SA)CN 2017-68(HS)CN 2017-69(HS)CN 2017-70(HS)CN 2017-71(SA)CN 2017-72(SA)CN 2017-73(AR)CN 2017-74(FCS)CN 2017-75(FCS)CN 2017-76(ROP)CN 2017-77(SA)CN 2017-78(HMT)CN 2017-79(HMT)CN 2017-80(HMT)CN 2017-81(HMT)CN 2017-82(HMT)CN 2017-83(HMT)CN 2017-84(SA)CN 2017-85(TS)CN 2017-86(HMT)CN 2017-87(SA)CN 2017-88(SA)CN 2017-89(SA)CN 2017-90(SA)CN 2017-91(SA)CN 2017-92(AD)CN 2017-93(SA)CN 2017-94(SA)CN 2017-95(ROP)

FRA No.

08/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/2018


11121111111151111111111111111111111129111111111111

No. ofViolations

$1,000 $1,000 $4,000 $10,000 $2,500 $5,000 $2,500 $2,500 $4,000 $2,000 $2,500 $15,000 $5,000 $2,500 $1,000 $1,000 $1,000 $2,500 $5,000 $5,000 $5,000 $1,000 $1,000 $1,000 $2,500 $5,000 $2,500 $2,500 $2,500 $2,000 $5,000 $4,000 $4,000 $4,000 $4,000 $11,500 $45,000 $5,000 $2,500 $5,000 $5,000 $2,500 $5,000 $2,500 $5,000 $5,000 $2,500 $5,000 $9,500

PRCA

$850 $850 $2,970 $7,100 $1,675 $3,550 $1,750 $1,625 $2,840 $1,500 $1,825 $12,900 $3,250 $1,650 $870 $870 $870 $1,650 $3,450 $3,250 $3,200 $870 $870 $870 $1,575 $3,325 $1,700 $1,700 $1,750 $1,560 $3,250 $2,970 $2,900 $2,900 $2,970 $8,500 $34,000 $3,700 $1,775 $3,750 $3,700 $1,625 $3,325 $1,650 $3,325 $0 $1,550 $3,700 $7,000

SettlementAmount


POCA

$1,000 $1,000 $4,000 $10,000 $2,500 $5,000 $2,500 $2,500 $4,000 $2,000 $2,500 $15,000 $5,000 $2,500 $1,000 $1,000 $1,000 $2,500 $5,000 $5,000 $5,000 $1,000 $1,000 $1,000 $2,500 $5,000 $2,500 $2,500 $2,500 $2,000 $5,000 $4,000 $4,000 $4,000 $4,000 $11,500 $45,000 $5,000 $2,500 $5,000 $5,000 $2,500 $5,000 $2,500 $5,000 $0 $2,500 $5,000 $9,500

Case Terminated.

28

CN 2017-96(SA)CN 2017-97(FCS)CN 2017-98(SA)CN 2017-99(LI)CN 2017-100(AD)CN 2017-101(SA)CN 2017-102(SA)CN 2017-103(HMT)CN 2017-104(TS)CN 2017-105(TS)CN 2017-106(SA)CN 2017-107(TS)CN 2017-108(TS)CN 2017-109(TS)CN 2017-110(HMT)CN 2017-111(HMT)CN 2017-112(SA)CN 2017-113(SA)CN 2017-114(EQ)CN 2017-115(FCS)CN 2017-116(TS)CN 2017-117(SA)CN 2017-118(SA)CN 2017-119(SA)CN 2017-120(SA)CN 2017-121(SA)CN 2017-122(TS)CN 2017-123(SA)CN 2017-124(SA)CN 2017-125(SA)CN 2017-126(SA)CN 2017-127(SA)CN 2017-128(SA)CN 2017-129(SA)CN 2017-130(SA)CN 2017-131(SA)CN 2017-132(SA)CN 2017-133(TS)CN 2017-134(TS)CN 2017-135(SA)CN 2017-136(SA)CN 2018-116(SA)COP 2017-1(RW)CORP 2017-1(TS)CORP 2017-2(TS)CORP 2017-3(SA)CORP 2017-4(LI)CORP 2017-5(SA)CORP 2017-6(TS)

FRA No.

08/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/17/201808/27/201801/12/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/2018


11111421111111151111112111121111111111221111221111

No. ofViolations

$2,500 $2,500 $5,000 $1,500 $1,000 $20,000 $7,500 $5,000 $2,500 $2,500 $5,000 $2,500 $1,000 $2,500 $1,000 $25,000 $5,000 $5,000 $2,500 $2,500 $2,500 $5,000 $10,000 $10,000 $5,000 $2,500 $12,000 $5,000 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $5,000 $2,500 $10,000 $2,000 $5,000 $2,500 $5,000 $5,000

PRCA

$1,650 $1,650 $3,250 $1,010 $870 $14,100 $5,350 $3,750 $1,750 $1,750 $3,325 $1,750 $860 $1,800 $680 $18,950 $3,700 $3,700 $1,825 $1,700 $1,750 $3,700 $7,400 $0 $3,700 $1,750 $10,320 $3,250 $1,625 $3,700 $1,650 $1,625 $1,625 $1,625 $1,625 $3,700 $3,700 $3,550 $3,550 $1,650 $1,650 $0 $2,000 $7,000 $1,800 $3,950 $1,950 $3,950 $3,950

SettlementAmount


POCA

$2,500 $2,500 $5,000 $1,500 $1,000 $20,000 $7,500 $5,000 $2,500 $2,500 $5,000 $2,500 $1,000 $2,500 $1,000 $25,000 $5,000 $5,000 $2,500 $2,500 $2,500 $5,000 $10,000 $0 $5,000 $2,500 $12,000 $5,000 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $0 $2,500 $10,000 $2,000 $5,000 $2,500 $5,000 $5,000

Case Terminated.

Case Terminated.

29

CORP 2017-7(SA)CORP 2017-8(SA)CORP 2017-9(SA)CORP 2017-10(FCS)CORP 2018-2(SA)CORP 2018-3(FCS)CORP 2018-4(TS)CP 2016-216(SA)CP 2016-217(SA)CP 2016-241(SA)CP 2017-61(SA)CP 2017-62(SA)CP 2017-63(SA)CP 2017-64(SA)CP 2017-65(SA)CP 2017-68(SA)CP 2017-69(SA)CP 2017-71(HMT)CP 2017-72(TS)CP 2017-73(SA)CP 2017-74(ROP)CP 2017-75(ROP)CP 2017-76(SA)CP 2017-77(SA)CP 2017-78(SA)CP 2017-79(TS)CP 2017-80(SA)CP 2017-81(SA)CP 2017-82(ROP)CP 2017-84(HMT)CP 2017-85(HMT)CP 2017-86(EP)CP 2017-87(SA)CP 2017-88(SA)CP 2017-89(ROP)CP 2017-90(SA)CP 2017-91(FCS)CP 2017-92(FCS)CP 2017-93(FCS)CP 2017-94(SA)CP 2017-95(SA)CP 2017-96(SA)CP 2017-97(SA)CP 2017-98(FCS)CP 2017-99(FCS)CP 2017-100(SA)CP 2017-101(SA)CP 2017-102(TS)CP 2017-103(LI)

FRA No.

09/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


111111110101111111111111111111157111611111111111111

No. ofViolations

$2,500 $5,000 $2,500 $5,000 $5,000 $2,500 $5,000 $25,000 $25,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $3,000 $5,000 $2,500 $7,500 $9,500 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $2,000 $12,500 $17,500 $1,000 $2,500 $5,000 $12,000 $5,000 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000 $1,000

PRCA

$1,950 $3,950 $1,950 $3,950 $3,600 $1,950 $3,950 $17,500 $17,500 $0 $1,625 $1,625 $1,625 $1,625 $1,625 $1,625 $3,250 $2,100 $3,250 $1,750 $5,000 $6,650 $1,750 $1,750 $1,625 $3,600 $0 $3,500 $1,225 $8,500 $11,850 $853 $1,750 $3,325 $8,500 $3,150 $0 $3,400 $3,150 $3,750 $3,850 $3,500 $3,500 $0 $1,650 $3,600 $3,600 $3,250 $853

SettlementAmount


POCA

$2,500 $5,000 $2,500 $5,000 $5,000 $2,500 $5,000 $25,000 $25,000 $0 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $3,000 $5,000 $2,500 $7,500 $9,500 $2,500 $2,500 $2,500 $5,000 $0 $5,000 $2,000 $12,500 $17,500 $1,000 $2,500 $5,000 $12,000 $5,000 $0 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $0 $2,500 $5,000 $5,000 $5,000 $1,000

Case Terminated.

Case Terminated.

Case Terminated.

Case Terminated.

30

CP 2017-104(FCS)CP 2017-105(FCS)CP 2017-107(HSR)CP 2017-108(SA)CP 2017-109(SI)CP 2017-110(FCS)CP 2017-112(HMT)CP 2017-113(SA)CP 2017-114(SA)CP 2017-115(SA)CP 2017-117(HS)CP 2017-118(FCS)CP 2017-119(HMT)CP 2017-120(HMT)CP 2017-121(HS)CP 2017-122(SA)CP 2017-123(SA)CP 2017-124(HMT)CP 2017-125(TS)CP 2017-126(HMT)CP 2017-128(TS)CP 2017-129(AR)CP 2017-130(TS)CP 2017-131(AR)CP 2017-132(ROP)CP 2017-133(TS)CP 2017-134(TS)CP 2017-135(SA)CP 2017-136(SA)CP 2017-137(SA)CP 2017-138(SA)CP 2017-148(FCS)CP 2017-149(ROP)CP 2017-150(GC)CP 2017-151(TS)CP 2017-152(EP)CP 2017-153(SA)CP 2017-154(FCS)CP 2017-155(AD)CP 2017-156(AD)CP 2017-157(HMT)CP 2017-158(HMT)CP 2017-159(AD)CP 2017-160(SA)CP 2017-161(SA)CP 2017-162(HMT)CP 2017-163(TS)CP 2017-164(AD)CP 2017-165(AD)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


11111171111112111211611111111111111711111112111122

No. ofViolations

$2,500 $5,000 $1,000 $5,000 $5,000 $2,000 $31,000 $2,500 $2,500 $2,500 $1,000 $2,500 $1,000 $7,000 $1,000 $2,500 $5,000 $10,000 $5,000 $40,000 $2,500 $2,500 $5,000 $2,500 $7,500 $2,500 $2,000 $5,000 $5,000 $2,500 $2,500 $5,000 $2,000 $1,000 $7,000 $1,000 $5,000 $2,500 $5,000 $2,500 $8,000 $2,000 $10,000 $5,000 $2,500 $7,500 $2,500 $5,000 $5,000

PRCA

$1,700 $0 $853 $3,350 $3,500 $1,400 $19,000 $1,650 $1,875 $1,750 $853 $1,750 $853 $5,000 $853 $1,800 $2,750 $7,000 $3,250 $26,500 $1,625 $1,700 $3,400 $1,700 $5,700 $1,800 $1,400 $3,200 $3,175 $1,750 $1,700 $3,500 $1,400 $853 $5,100 $853 $3,700 $1,700 $3,300 $1,650 $5,900 $1,440 $7,000 $3,500 $1,775 $5,500 $1,700 $3,650 $3,400

SettlementAmount


POCA

$2,500 $0 $1,000 $5,000 $5,000 $2,000 $31,000 $2,500 $2,500 $2,500 $1,000 $2,500 $1,000 $7,000 $1,000 $2,500 $5,000 $10,000 $5,000 $40,000 $2,500 $2,500 $5,000 $2,500 $7,500 $2,500 $2,000 $5,000 $5,000 $2,500 $2,500 $5,000 $2,000 $1,000 $7,000 $1,000 $5,000 $2,500 $5,000 $2,500 $8,000 $2,000 $10,000 $5,000 $2,500 $7,500 $2,500 $5,000 $5,000

Case Terminated.

31

CP 2017-166(AD)CP 2017-167(AD)CP 2017-168(AD)CP 2017-169(AD)CP 2017-170(SA)CP 2017-171(SA)CP 2017-172(SA)CP 2017-173(AD)CP 2017-174(AD)CP 2017-175(AD)CP 2017-176(AD)CP 2017-177(TS)CP 2017-178(SA)CP 2017-179(SA)CP 2017-180(SA)CP 2017-181(SA)CP 2018-1(LI)CP 2018-2(SA)CP 2018-3(SA)CP 2018-4(HMT)CP 2018-5(FCS)CP 2018-6(HMT)CP 2018-7(FCS)CP 2018-8(SA)CP 2018-9(SA)CP 2018-10(GC)CP 2018-11(GC)CP 2018-12(HMT)CP 2018-13(SA)CP 2018-15(TS)CP 2018-16(SA)CP 2018-17(SA)CRL 2014-1(HMT)CRL 2017-2(ROP)CRL 2017-3(ROP)CRSH 2016-6(ROP)

CRSH 2017-5(AR)CRSH 2017-6(RW)CRSH 2017-7(SA)CRSH 2017-8(ROP)CRSH 2017-9(ROP)

CRSH 2017-10(ROP)CRSH 2017-11(TS)CRSH 2018-1(SA)CRSH 2018-2(ROP)CRSH 2018-3(SA)CSCD 2017-1(GC)CSX 2014-85(HMT)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201812/20/201703/01/201803/01/201808/03/2018

08/03/201808/03/201808/03/201808/03/201808/03/2018

08/03/201808/03/201808/03/201808/03/201808/03/201809/27/201809/26/2018


212111122211111111121111111412115111

11114

1111111

No. ofViolations

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

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

$7,500 $2,500 $5,000 $7,500 $5,000 $5,000 $6,000

PRCA

$3,375 $3,450 $3,450 $1,675 $3,350 $1,675 $3,500 $3,400 $3,427 $3,250 $3,750 $853 $3,700 $1,500 $3,750 $3,500 $853 $2,000 $3,750 $7,250 $1,525 $1,400 $1,625 $3,500 $3,500 $3,250 $853 $7,250 $3,300 $3,600 $1,800 $3,500 $8,500 $7,600 $7,600 $1,750

$1,900 $2,400 $2,150 $6,000 $5,025

$6,450 $2,050 $4,250 $6,350 $4,250 $3,950 $4,500

SettlementAmount


POCA

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

$2,500 $3,000 $2,500 $7,500 $6,000

$7,500 $2,500 $5,000 $7,500 $5,000 $5,000 $6,000



32

CSX 2014-121(SA)CSX 2015-3(AR)CSX 2015-420(HMT)CSX 2016-57(ROP)CSX 2016-61(GC)

CSX 2016-84(LI)CSX 2016-96(SI)CSX 2016-102(HSR)CSX 2016-110(FCS)CSX 2016-114(GC)CSX 2016-121(SI)CSX 2016-174(ROP)CSX 2016-197(LI)CSX 2016-202(GC)CSX 2016-271(AR)CSX 2016-273(AR)CSX 2016-279(HMT)CSX 2016-282(ROP)CSX 2016-307(SA)CSX 2016-323(FCS)CSX 2016-330(AD)CSX 2016-331(AD)CSX 2016-338(AR)CSX 2016-339(AR)CSX 2016-342(AR)CSX 2016-346(SA)CSX 2016-347(SA)CSX 2016-350(SA)CSX 2016-362(SA)CSX 2016-363(RSP)CSX 2016-367(SA)CSX 2016-374(HMT)CSX 2016-375(HS)CSX 2016-381(GC)CSX 2016-384(HSR)CSX 2016-386(HSR)CSX 2016-387(EQ)CSX 2016-393(GC)CSX 2016-395(GC)CSX 2016-396(LI)CSX 2016-399(GC)CSX 2016-404(AR)CSX 2016-405(AR)CSX 2016-407(AR)CSX 2016-408(AR)CSX 2016-411(HMT)CSX 2016-412(HMT)CSX 2016-417(HSR)CSX 2016-423(RW)

FRA No.

09/26/201809/26/201809/26/201809/26/201809/26/2018

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018


11112

112111111116111141111111111111111112111111812

No. ofViolations

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

$1,000 $1,000 $2,000 $2,500 $1,000 $2,500 $2,000 $1,500 $5,000 $1,000 $1,000 $36,500 $7,500 $2,500 $2,500 $2,500 $10,000 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $9,500 $5,000 $11,000 $1,000 $5,000 $1,000 $1,000 $2,500 $1,000 $2,500 $2,000 $2,500 $2,500 $2,500 $2,500 $2,500 $15,000 $54,000 $1,000 $5,000

PRCA

$3,500 $1,908 $3,750 $5,722 $4,000

$839 $839 $1,678 $1,750 $853 $1,875 $1,300 $1,150 $3,800 $920 $853 $27,300 $5,572 $1,875 $1,875 $1,875 $7,500 $1,750 $1,750 $1,908 $1,875 $1,875 $3,750 $3,750 $6,400 $3,250 $8,250 $839 $3,800 $839 $839 $1,875 $853 $1,925 $1,400 $1,850 $1,908 $1,908 $1,908 $1,908 $11,250 $40,400 $839 $3,750

SettlementAmount


POCA

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

$1,000 $1,000 $2,000 $2,500 $1,000 $2,500 $2,000 $1,500 $5,000 $1,000 $1,000 $36,500 $7,500 $2,500 $2,500 $2,500 $10,000 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $9,500 $5,000 $11,000 $1,000 $5,000 $1,000 $1,000 $2,500 $1,000 $2,500 $2,000 $2,500 $2,500 $2,500 $2,500 $2,500 $15,000 $54,000 $1,000 $5,000

Partially Terminated Violation(s): 1, 2.

33

CSX 2016-428(TS)CSX 2016-431(SI)CSX 2016-439(HMT)CSX 2016-447(HMT)CSX 2016-451(HS)CSX 2016-455(LI)CSX 2016-457(RW)CSX 2016-467(ROP)CSX 2016-473(AR)CSX 2016-475(AR)CSX 2016-477(AR)CSX 2016-479(AR)CSX 2016-480(AR)CSX 2016-481(AR)CSX 2016-483(AR)CSX 2016-485(GC)CSX 2016-487(GC)CSX 2016-489(TS)CSX 2016-502(HMT)CSX 2016-508(HS)CSX 2016-509(HMT)CSX 2017-20(EP)CSX 2017-24(TS)CSX 2017-32(GC)CSX 2017-38(GC)CSX 2017-50(LI)CSX 2017-54(SA)CSX 2017-56(LI)CSX 2017-60(SA)CSX 2017-62(SA)CSX 2017-66(SA)CSX 2017-68(LI)CSX 2017-72(SA)CSX 2017-73(ROP)CSX 2017-74(SA)CSX 2017-75(SA)CSX 2017-76(SA)CSX 2017-77(SA)CSX 2017-78(SA)CSX 2017-79(SA)CSX 2017-80(SA)CSX 2017-81(SA)CSX 2017-82(LI)CSX 2017-83(FCS)CSX 2017-84(FCS)CSX 2017-85(HSR)CSX 2017-86(TS)CSX 2017-87(TS)CSX 2017-88(TS)

FRA No.

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018


11112111111111111112101711111111111111111111112113

No. ofViolations

$2,500 $1,000 $7,500 $3,000 $2,000 $2,000 $1,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $2,500 $27,455 $2,000 $2,000 $75,000 $1,000 $35,000 $2,500 $2,500 $2,500 $5,000 $2,000 $5,000 $5,000 $5,000 $2,500 $5,000 $7,500 $5,000 $5,000 $2,500 $5,000 $2,500 $5,000 $2,500 $5,000 $2,500 $2,500 $2,500 $2,000 $5,000 $1,000 $7,500

PRCA

$1,875 $853 $5,625 $2,370 $1,678 $1,450 $853 $3,715 $1,908 $1,900 $1,900 $1,900 $1,825 $1,900 $1,900 $3,900 $1,825 $19,750 $1,580 $1,678 $56,098 $853 $25,500 $1,825 $1,850 $1,800 $3,750 $1,200 $3,750 $3,750 $3,750 $1,775 $3,650 $5,572 $3,750 $3,750 $1,850 $3,750 $1,875 $3,750 $1,850 $3,750 $1,600 $1,875 $1,875 $1,678 $3,750 $839 $5,600

SettlementAmount


POCA

$2,500 $1,000 $7,500 $3,000 $2,000 $2,000 $1,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $2,500 $27,455 $2,000 $2,000 $75,000 $1,000 $35,000 $2,500 $2,500 $2,500 $5,000 $2,000 $5,000 $5,000 $5,000 $2,500 $5,000 $7,500 $5,000 $5,000 $2,500 $5,000 $2,500 $5,000 $2,500 $5,000 $2,500 $2,500 $2,500 $2,000 $5,000 $1,000 $7,500

34

CSX 2017-89(HMT)CSX 2017-90(FCS)CSX 2017-91(ROP)

CSX 2017-92(SI)CSX 2017-93(SA)CSX 2017-94(SA)CSX 2017-95(SA)CSX 2017-96(TS)CSX 2017-97(TS)CSX 2017-98(EP)CSX 2017-99(TS)CSX 2017-100(TS)CSX 2017-101(SA)CSX 2017-102(SA)CSX 2017-103(ROP)CSX 2017-104(SA)CSX 2017-105(HMT)CSX 2017-106(HMT)CSX 2017-107(GC)CSX 2017-108(RW)CSX 2017-109(TS)CSX 2017-110(TS)CSX 2017-112(GC)CSX 2017-113(GC)CSX 2017-114(LI)CSX 2017-115(LI)CSX 2017-116(GC)CSX 2017-117(TS)CSX 2017-118(SI)CSX 2017-119(SI)CSX 2017-120(SI)CSX 2017-121(SI)CSX 2017-122(SI)CSX 2017-123(SI)CSX 2017-124(SA)CSX 2017-125(SA)CSX 2017-127(SA)CSX 2017-128(HS)CSX 2017-129(SA)CSX 2017-130(SA)

CSX 2017-131(SA)CSX 2017-132(SA)CSX 2017-133(SA)CSX 2017-134(FCS)CSX 2017-135(FCS)

CSX 2017-136(SA)CSX 2017-137(SA)

FRA No.

09/26/201809/26/201809/26/2018

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018

09/26/201809/26/201809/26/201809/26/201809/26/2018

09/26/201809/26/2018


111

1111331611111225111111111111111111211

11112

11

No. ofViolations

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

$2,500 $5,000 $2,500 $2,500 $3,000 $10,000 $1,000 $15,000 $5,000 $2,500 $2,500 $9,500 $2,500 $10,000 $15,000 $25,000 $3,000 $2,500 $1,000 $1,000 $2,500 $1,500 $1,000 $5,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $5,000 $2,500 $2,500 $2,000 $5,000 $2,500

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

$5,000 $2,500

PRCA

$1,450 $3,650 $839

$1,875 $3,750 $1,875 $1,800 $2,225 $7,500 $853 $10,684 $3,750 $1,875 $1,775 $7,125 $1,875 $7,200 $11,000 $19,000 $2,275 $1,875 $853 $839 $1,900 $1,150 $839 $3,800 $839 $853 $853 $839 $839 $853 $853 $3,750 $1,875 $1,875 $1,678 $3,550 $1,550

$3,650 $1,875 $3,750 $3,650 $2,500

$3,750 $1,875

SettlementAmount


POCA

$2,000 $5,000 $1,000

$2,500 $5,000 $2,500 $2,500 $3,000 $10,000 $1,000 $15,000 $5,000 $2,500 $2,500 $9,500 $2,500 $10,000 $15,000 $25,000 $3,000 $2,500 $1,000 $1,000 $2,500 $1,500 $1,000 $5,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $5,000 $2,500 $2,500 $2,000 $5,000 $2,000

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

$5,000 $2,500




35

CSX 2017-138(SA)

CSX 2017-139(SA)CSX 2017-140(SA)CSX 2017-141(SA)CSX 2017-142(SA)CSX 2017-143(SA)CSX 2017-144(SA)CSX 2017-145(FCS)CSX 2017-146(FCS)CSX 2017-147(FCS)CSX 2017-148(SA)CSX 2017-149(SA)CSX 2017-150(SA)CSX 2017-151(HS)CSX 2017-153(SA)CSX 2017-154(GC)CSX 2017-155(GC)CSX 2017-156(LI)CSX 2017-157(LI)CSX 2017-158(LI)CSX 2017-159(LI)CSX 2017-160(LI)CSX 2017-161(LI)CSX 2017-162(LI)CSX 2017-163(LI)CSX 2017-164(HMT)CSX 2017-165(SA)CSX 2017-166(SA)CSX 2017-167(TS)CSX 2017-168(SA)CSX 2017-169(SA)CSX 2017-170(RW)CSX 2017-171(ROP)CSX 2017-172(FCS)CSX 2017-173(SA)CSX 2017-174(SA)CSX 2017-175(SA)CSX 2017-176(SA)CSX 2017-177(SA)CSX 2017-178(SA)CSX 2017-179(SA)CSX 2017-180(SA)CSX 2017-181(SA)CSX 2017-182(SA)CSX 2017-183(FCS)CSX 2017-184(SA)CSX 2017-185(GC)CSX 2017-186(HSR)CSX 2017-187(GC)

FRA No.

09/26/2018

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018


1

111111111111111113131112111111111111111111111121

No. ofViolations

$5,000

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

PRCA

$2,000

$1,875 $3,750 $3,750 $3,750 $3,750 $1,875 $1,800 $1,800 $1,900 $3,550 $3,500 $3,550 $853 $1,875 $3,800 $3,850 $1,850 $4,000 $1,875 $5,650 $1,775 $1,775 $1,850 $2,975 $3,075 $3,750 $3,750 $1,875 $3,750 $3,750 $853 $5,722 $1,900 $3,750 $1,775 $1,775 $1,875 $1,875 $1,875 $1,775 $1,875 $1,875 $1,875 $3,650 $3,550 $1,850 $1,706 $3,850

SettlementAmount


POCA

$2,500

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



36

CSX 2017-188(ROP)CSX 2017-189(TS)CSX 2017-190(ROP)CSX 2017-191(HMT)CSX 2017-192(SA)CSX 2017-193(HMT)CSX 2017-194(SA)CSX 2017-195(SA)CSX 2017-196(SA)CSX 2017-197(GC)CSX 2017-198(GC)CSX 2017-199(GC)CSX 2017-200(GC)CSX 2017-201(GC)CSX 2017-202(SA)CSX 2017-203(HMT)CSX 2017-204(FCS)CSX 2017-205(SA)CSX 2017-207(SA)CSX 2017-208(SA)CSX 2017-209(FCS)CSX 2017-210(FCS)CSX 2017-211(FCS)CSX 2017-212(SA)CSX 2017-213(SA)CSX 2017-214(SA)CSX 2017-215(SA)CSX 2017-216(SA)CSX 2017-217(SA)CSX 2017-218(SA)CSX 2017-219(TS)CSX 2017-220(TS)CSX 2017-221(TS)CSX 2017-222(TS)CSX 2017-223(TS)CSX 2017-224(TS)CSX 2017-225(RMM)CSX 2017-226(RW)CSX 2017-227(GC)CSX 2017-228(TS)CSX 2017-229(LI)CSX 2017-230(TS)CSX 2017-231(LI)CSX 2017-232(TS)CSX 2017-233(TS)CSX 2017-234(TS)CSX 2017-235(TS)CSX 2017-236(HS)

CSX 2017-237(HS)

FRA No.

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018

09/26/2018


111111111111111111111111111111121121111111123224

2

No. ofViolations

$9,500 $2,500 $9,500 $7,500 $5,000 $4,000 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $1,000 $5,000 $2,500 $5,000 $2,500 $2,500 $5,000 $5,000 $2,500 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $5,000 $5,000 $2,500 $2,500 $7,500 $2,500 $2,500 $5,000 $2,500 $5,000 $2,000 $5,000 $2,500 $2,500 $1,000 $2,500 $7,500 $7,500 $7,500 $5,000 $4,000

$2,000

PRCA

$7,239 $1,900 $7,239 $5,600 $3,750 $3,075 $1,875 $1,875 $3,750 $3,900 $3,900 $3,800 $0 $3,800 $0 $3,850 $1,900 $1,875 $3,750 $3,750 $1,900 $3,700 $0 $3,750 $3,750 $1,775 $1,775 $3,750 $3,550 $1,875 $1,825 $5,300 $1,800 $1,750 $3,550 $1,775 $3,800 $1,450 $3,800 $1,775 $1,875 $853 $1,875 $5,750 $5,600 $5,300 $3,500 $1,706

$1,706

SettlementAmount


POCA

$9,500 $2,500 $9,500 $7,500 $5,000 $4,000 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $0 $5,000 $0 $5,000 $2,500 $2,500 $5,000 $5,000 $2,500 $5,000 $0 $5,000 $5,000 $2,500 $2,500 $5,000 $5,000 $2,500 $2,500 $7,500 $2,500 $2,500 $5,000 $2,500 $5,000 $2,000 $5,000 $2,500 $2,500 $1,000 $2,500 $7,500 $7,500 $7,500 $5,000 $2,000

$2,000

Case Terminated.

Case Terminated.

Case Terminated.


37

CSX 2017-238(SA)CSX 2017-239(SA)CSX 2017-240(SA)CSX 2017-241(SA)CSX 2017-242(SA)CSX 2017-243(SA)CSX 2017-244(FCS)CSX 2017-245(ROP)CSX 2017-246(SA)CSX 2017-247(SA)CSX 2017-248(FCS)CSX 2017-249(SA)CSX 2017-250(SA)CSX 2017-251(SA)CSX 2017-252(SA)CSX 2017-253(ROP)CSX 2017-254(SA)CSX 2017-256(TS)CSX 2017-257(ROP)CSX 2017-258(TS)CSX 2017-259(SA)CSX 2017-260(SA)CSX 2017-261(SA)CSX 2017-262(SA)CSX 2017-263(ROP)CSX 2017-264(ROP)CSX 2017-265(TS)CSX 2017-266(TS)CSX 2017-267(SA)CSX 2017-268(LI)CSX 2017-269(SA)CSX 2017-270(SA)CSX 2017-271(SA)CSX 2017-272(SA)CSX 2017-273(SA)CSX 2017-274(SA)CSX 2017-275(SA)CSX 2017-276(LI)CSX 2017-277(TS)CSX 2017-278(SA)CSX 2017-279(SA)CSX 2017-280(SA)CSX 2017-281(SA)CSX 2017-282(SI)CSX 2017-283(GC)

CSX 2017-284(GC)

CSX 2017-285(GC)CSX 2017-286(ROP)

FRA No.

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018

09/26/2018

09/26/201809/26/2018


111111111111111111111111115511111111121111111

1

11

No. ofViolations

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

$5,000

$5,000 $9,500

PRCA

$1,875 $3,750 $3,750 $1,850 $3,750 $3,700 $3,700 $5,723 $1,900 $1,900 $1,850 $1,900 $3,700 $3,700 $1,900 $5,800 $1,900 $3,750 $1,550 $3,600 $3,800 $1,900 $1,900 $3,800 $3,900 $3,900 $3,750 $3,750 $3,800 $1,875 $3,800 $3,800 $7,200 $1,850 $4,800 $1,900 $1,900 $3,765 $1,875 $3,800 $1,900 $3,700 $1,900 $853 $2,300

$2,100

$3,750 $6,850

SettlementAmount


POCA

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

$2,500

$5,000 $9,500


38

CSX 2017-287(ROP)CSX 2017-288(HMT)CSX 2017-289(TS)CSX 2017-290(TS)CSX 2017-291(SA)CSX 2017-292(SA)CSX 2017-293(SA)CSX 2017-294(FCS)CSX 2017-295(FCS)CSX 2017-296(SA)CSX 2017-297(AR)CSX 2017-298(AR)CSX 2017-299(TS)CSX 2017-300(GC)CSX 2017-301(GC)CSX 2017-302(GC)CSX 2017-303(GC)CSX 2017-304(GC)CSX 2017-305(GC)CSX 2017-306(GC)CSX 2017-307(TS)CSX 2017-310(TS)CSX 2017-311(TS)CSX 2017-312(LI)CSX 2017-313(TS)CSX 2017-314(TS)CSX 2017-315(TS)CSX 2017-316(LI)CSX 2017-317(SA)CSX 2017-318(SA)CSX 2017-319(SA)CSX 2017-320(SA)CSX 2017-321(ROP)CSX 2017-322(SA)CSX 2017-324(SA)CSX 2017-325(SA)CSX 2017-326(TS)CSX 2017-327(SA)CSX 2017-328(FCS)

CSX 2017-329(SA)CSX 2017-330(SA)CSX 2017-331(SA)CSX 2017-333(SA)CSX 2017-334(FCS)

CSX 2017-335(FCS)CSX 2017-336(SA)CSX 2017-337(LI)CSX 2017-338(HMT)

FRA No.

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018

09/26/201809/26/201809/26/201809/26/201809/26/2018

09/26/201809/26/201809/26/201809/26/2018


131111111111311111111121111111111111212

11112

1111

No. ofViolations

$9,500 $22,500 $1,000 $5,000 $5,000 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $10,000 $2,500 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $5,000 $2,500 $5,000 $1,000 $1,000 $5,000 $2,500 $2,500 $5,000 $2,500 $7,500 $5,000 $2,500 $2,500 $5,000 $5,000 $10,000

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

$2,500 $5,000 $2,500 $6,000

PRCA

$6,850 $16,500 $853 $3,750 $3,800 $1,900 $3,800 $1,875 $1,875 $1,900 $1,900 $1,900 $7,500 $1,875 $3,750 $1,875 $1,875 $1,875 $3,915 $3,750 $3,750 $1,902 $3,815 $1,875 $3,750 $853 $853 $3,815 $1,900 $1,900 $3,800 $1,900 $5,675 $3,800 $1,900 $1,900 $3,765 $3,800 $4,100

$3,800 $3,800 $3,800 $3,800 $4,100

$1,800 $3,600 $1,882 $4,500

SettlementAmount


POCA

$9,500 $22,500 $1,000 $5,000 $5,000 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $10,000 $2,500 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $5,000 $2,500 $5,000 $1,000 $1,000 $5,000 $2,500 $2,500 $5,000 $2,500 $7,500 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000

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

$2,500 $5,000 $2,500 $6,000



39

CSX 2017-339(HMT)CSX 2017-340(LI)CSX 2017-341(HMT)CSX 2017-342(ROP)CSX 2017-343(TS)CSX 2017-344(TH)CSX 2017-345(HMT)CSX 2017-346(HMT)CSX 2017-347(HMT)CSX 2017-348(HMT)CSX 2017-349(HMT)CSX 2017-350(HMT)CSX 2017-351(LI)CSX 2017-352(LI)CSX 2017-353(SA)CSX 2017-354(SA)CSX 2017-355(SA)CSX 2017-356(SA)CSX 2017-357(SA)CSX 2017-358(LI)CSX 2017-359(LI)CSX 2017-360(SA)CSX 2017-361(AR)CSX 2017-362(ROP)CSX 2017-363(ROP)CSX 2017-364(SA)CSX 2017-365(SA)CSX 2017-366(HS)CSX 2017-367(FCS)CSX 2017-368(HMT)CSX 2017-369(HMT)CSX 2017-370(HMT)CSX 2017-371(SA)CSX 2017-372(FCS)CSX 2017-373(LI)CSX 2017-374(HSR)CSX 2017-375(HS)CSX 2017-376(SA)CSX 2017-377(HS)CSX 2017-378(HS)CSX 2017-379(HS)CSX 2017-380(HS)CSX 2017-381(HS)CSX 2017-382(HS)CSX 2017-383(HS)CSX 2017-384(SI)CSX 2017-385(TS)CSX 2017-386(HSR)CSX 2017-387(HS)

FRA No.

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018


1111113153111111111112111111161811312111111111141

No. ofViolations

$4,000 $5,000 $6,000 $7,500 $2,500 $5,000 $13,000 $2,500 $12,500 $7,500 $7,500 $6,000 $2,500 $5,000 $5,000 $5,000 $2,500 $2,500 $5,000 $2,500 $2,500 $5,000 $1,000 $2,000 $7,500 $5,000 $2,500 $1,000 $6,000 $15,000 $2,500 $20,000 $5,000 $2,500 $7,500 $1,000 $2,000 $10,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $2,500 $5,000 $4,000 $1,000

PRCA

$3,075 $3,915 $4,500 $0 $1,875 $3,750 $9,500 $1,850 $9,250 $5,000 $5,500 $4,625 $1,883 $3,765 $4,900 $3,750 $1,900 $1,900 $3,800 $1,882 $1,883 $3,800 $853 $1,500 $5,700 $3,800 $1,900 $853 $4,500 $11,600 $1,850 $14,650 $3,800 $1,875 $5,670 $853 $0 $9,600 $853 $853 $853 $853 $853 $0 $853 $1,900 $3,750 $3,412 $853

SettlementAmount


POCA

$4,000 $5,000 $6,000 $0 $2,500 $5,000 $13,000 $2,500 $12,500 $7,500 $7,500 $6,000 $2,500 $5,000 $5,000 $5,000 $2,500 $2,500 $5,000 $2,500 $2,500 $5,000 $1,000 $2,000 $7,500 $5,000 $2,500 $1,000 $6,000 $15,000 $2,500 $20,000 $5,000 $2,500 $7,500 $1,000 $0 $10,000 $1,000 $1,000 $1,000 $1,000 $1,000 $0 $1,000 $2,500 $5,000 $4,000 $1,000

Case Terminated.

Case Terminated.

Case Terminated.

40

CSX 2017-388(HS)CSX 2017-389(SA)CSX 2017-390(HS)CSX 2017-391(HS)CSX 2017-392(HS)CSX 2017-393(HS)CSX 2017-394(HS)CSX 2017-395(HS)CSX 2017-396(GC)CSX 2017-397(SA)CSX 2017-398(AR)CSX 2017-399(TS)CSX 2017-400(GC)CSX 2017-401(FCS)CSX 2017-402(SI)CSX 2017-403(SA)CSX 2017-404(SA)CSX 2017-405(LI)CSX 2017-406(HMT)CSX 2017-407(LI)CSX 2017-408(EQ)CSX 2017-410(ROP)CSX 2017-411(FCS)CSX 2017-412(RSP)CSX 2017-413(RSP)CSX 2017-414(ROP)CSX 2017-415(HSR)CSX 2017-416(HMT)CSX 2017-417(SA)CSX 2017-418(SA)CSX 2017-419(SA)CSX 2017-420(HMT)CSX 2017-421(SA)CSX 2017-422(SA)CSX 2017-423(SA)CSX 2017-424(SI)CSX 2017-425(SA)CSX 2017-426(HMT)CSX 2017-427(HMT)CSX 2017-428(HMT)CSX 2017-429(HMT)CSX 2017-430(GC)CSX 2017-431(GC)CSX 2017-432(GC)CSX 2017-433(SA)CSX 2017-434(SA)CSX 2017-435(SI)CSX 2017-436(SI)CSX 2017-437(SA)

FRA No.

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018


1111111111111111111111111132111111111541411121111

No. ofViolations

$1,000 $5,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $2,500 $5,000 $1,000 $5,000 $5,000 $2,500 $1,000 $5,000 $2,500 $2,500 $2,500 $2,500 $1,000 $7,500 $2,000 $9,500 $9,500 $7,500 $3,000 $8,500 $5,000 $5,000 $5,000 $8,000 $5,000 $2,500 $2,500 $2,500 $5,000 $15,000 $21,500 $2,000 $8,000 $1,000 $1,000 $1,000 $10,000 $5,000 $2,500 $2,500 $5,000

PRCA

$853 $3,700 $853 $853 $853 $853 $853 $853 $1,875 $3,700 $853 $3,915 $3,869 $1,900 $853 $3,700 $1,900 $1,882 $1,850 $1,883 $853 $5,700 $1,450 $5,500 $7,100 $5,700 $2,559 $6,300 $3,700 $3,700 $3,700 $5,950 $3,700 $1,900 $1,900 $1,900 $3,700 $11,200 $16,100 $1,550 $6,000 $853 $853 $853 $7,600 $3,700 $1,900 $1,800 $3,700

SettlementAmount


POCA

$1,000 $5,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $2,500 $5,000 $1,000 $5,000 $5,000 $2,500 $1,000 $5,000 $2,500 $2,500 $2,500 $2,500 $1,000 $7,500 $2,000 $9,500 $9,500 $7,500 $3,000 $8,500 $5,000 $5,000 $5,000 $8,000 $5,000 $2,500 $2,500 $2,500 $5,000 $15,000 $21,500 $2,000 $8,000 $1,000 $1,000 $1,000 $10,000 $5,000 $2,500 $2,500 $5,000

41

CSX 2017-438(ROP)CSX 2017-439(SA)CSX 2017-440(HS)CSX 2017-441(SA)CSX 2017-442(SA)CSX 2017-443(SA)CSX 2017-444(SA)CSX 2017-445(SA)CSX 2017-446(ROP)CSX 2017-447(FCS)CSX 2017-449(FCS)CSX 2017-450(FCS)CSX 2017-451(FCS)CSX 2017-452(FCS)CSX 2017-453(ROP)CSX 2017-454(GC)CSX 2017-455(GC)CSX 2017-456(GC)CSX 2017-457(GC)CSX 2017-458(GC)CSX 2017-459(GC)CSX 2017-460(GC)CSX 2017-461(AD)CSX 2017-462(LI)CSX 2017-463(LI)CSX 2017-464(GC)CSX 2017-465(GC)CSX 2017-466(GC)CSX 2017-467(LI)CSX 2017-468(LI)CSX 2017-469(SA)CSX 2017-470(SI)CSX 2017-471(SA)CSX 2017-472(SA)CSX 2017-473(FCS)CSX 2017-474(SA)CSX 2017-475(GC)CSX 2017-476(SA)CSX 2017-477(SA)CSX 2017-478(SA)CSX 2017-480(SA)CSX 2017-481(SA)CSX 2017-483(SA)CSX 2017-484(SA)CSX 2017-485(SA)CSX 2017-486(SA)CSX 2017-487(LI)CSX 2017-488(FCS)CSX 2017-489(FCS)

FRA No.

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018


1231111111111111111111221111611111121111112111111

No. ofViolations

$9,500 $5,000 $3,000 $5,000 $2,500 $5,000 $5,000 $2,500 $9,500 $2,500 $1,000 $2,500 $2,500 $2,500 $7,500 $2,500 $1,000 $1,000 $1,000 $5,000 $2,500 $1,000 $10,000 $5,000 $2,500 $2,500 $1,000 $2,500 $13,500 $2,500 $2,500 $1,000 $5,000 $5,000 $2,500 $5,000 $5,000 $12,500 $25,000 $5,000 $2,500 $2,500 $5,000 $2,500 $2,500 $5,000 $2,500 $2,500 $2,500

PRCA

$6,850 $3,700 $2,559 $3,700 $0 $3,750 $3,700 $1,900 $6,900 $1,900 $853 $1,900 $1,900 $1,925 $5,800 $1,880 $853 $853 $853 $3,750 $1,880 $853 $7,500 $3,765 $1,875 $1,880 $853 $1,875 $10,300 $1,940 $1,900 $853 $3,700 $3,700 $1,925 $3,700 $3,869 $9,400 $18,500 $3,700 $1,900 $1,900 $3,750 $1,900 $1,907 $3,815 $1,940 $1,925 $1,925

SettlementAmount


POCA

$9,500 $5,000 $3,000 $5,000 $0 $5,000 $5,000 $2,500 $9,500 $2,500 $1,000 $2,500 $2,500 $2,500 $7,500 $2,500 $1,000 $1,000 $1,000 $5,000 $2,500 $1,000 $10,000 $5,000 $2,500 $2,500 $1,000 $2,500 $13,500 $2,500 $2,500 $1,000 $5,000 $5,000 $2,500 $5,000 $5,000 $12,500 $25,000 $5,000 $2,500 $2,500 $5,000 $2,500 $2,500 $5,000 $2,500 $2,500 $2,500

Case Terminated.

42

CSX 2017-490(FCS)CSX 2017-491(FCS)CSX 2017-493(FCS)CSX 2017-494(FCS)CSX 2017-495(FCS)CSX 2017-496(FCS)CSX 2017-497(FCS)CSX 2017-498(FCS)CSX 2017-499(SA)CSX 2017-500(SA)CSX 2017-501(FCS)CSX 2017-502(FCS)CSX 2017-503(FCS)CSX 2017-504(FCS)CSX 2017-505(SA)CSX 2017-506(HMT)CSX 2017-507(FCS)

CSX 2017-508(FCS)CSX 2017-509(FCS)CSX 2017-510(FCS)CSX 2017-511(ROP)CSX 2017-512(SA)CSX 2017-513(LI)CSX 2017-514(FCS)

CSX 2017-515(FCS)CSX 2017-516(FCS)CSX 2017-517(SA)CSX 2017-518(SA)CSX 2017-519(SA)CSX 2017-520(SA)CSX 2017-521(SA)CSX 2017-522(SA)CSX 2017-523(FCS)CSX 2017-524(FCS)CSX 2017-525(FCS)CSX 2017-526(FCS)CSX 2017-527(SA)CSX 2017-528(SA)CSX 2017-529(SA)CSX 2017-530(HMT)CSX 2017-531(HS)CSX 2017-532(SA)CSX 2017-533(SA)CSX 2017-534(FCS)CSX 2017-535(FCS)CSX 2017-536(FCS)CSX 2017-537(SA)CSX 2017-538(SA)

FRA No.

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018


11111111111111118

1111152

111111111111111111112111

No. ofViolations

$5,000 $2,000 $5,000 $2,500 $5,000 $5,000 $5,000 $2,000 $2,500 $2,000 $2,000 $2,500 $2,500 $2,500 $2,500 $2,500 $16,000

$2,500 $2,500 $2,500 $7,500 $5,000 $11,500 $4,000

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

PRCA

$3,900 $1,575 $3,800 $1,900 $3,858 $3,900 $3,900 $1,575 $1,908 $1,400 $1,575 $1,900 $1,900 $1,900 $1,907 $1,950 $1,600

$1,900 $1,900 $1,883 $5,600 $3,815 $9,000 $1,800

$0 $0 $3,815 $3,815 $3,815 $3,815 $1,908 $1,907 $1,883 $3,765 $1,560 $1,883 $1,908 $3,815 $1,907 $3,800 $853 $3,815 $1,908 $1,882 $7,530 $1,883 $3,815 $1,908

SettlementAmount


POCA

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

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

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


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

43

CSX 2017-539(FCS)CSX 2017-540(FCS)CSX 2017-541(FCS)CSX 2017-542(FCS)CSX 2017-543(SA)CSX 2017-544(SA)CSX 2017-545(SA)CSX 2017-546(SA)CSX 2017-547(FCS)CSX 2017-548(FCS)CSX 2017-549(SA)CSX 2017-550(ROP)CSX 2017-551(SA)CSX 2017-552(GC)CSX 2017-553(LI)CSX 2017-554(LI)CSX 2017-555(RW)CSX 2017-556(SA)CSX 2017-557(FCS)CSX 2017-558(SA)CSX 2017-559(ROP)CSX 2017-560(SA)CSX 2017-561(HSR)CSX 2017-562(ROP)CSX 2017-563(SA)CSX 2017-564(SA)CSX 2017-565(SA)CSX 2017-566(EP)CSX 2017-567(SA)CSX 2017-568(SA)CSX 2017-569(SA)CSX 2017-570(FCS)CSX 2017-571(FCS)CSX 2017-572(FCS)CSX 2017-585(HMT)CSX 2017-586(HMT)CSX 2017-587(HS)CSX 2017-588(HS)CSX 2017-589(HS)CSX 2017-590(HMT)CSX 2017-591(SA)CSX 2017-592(LI)CSX 2017-593(EQ)

CSX 2017-594(EQ)CSX 2017-595(SA)CSX 2017-596(SA)CSX 2017-597(SA)CSX 2017-598(SA)CSX 2017-599(SA)

FRA No.

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018


1111111121111111111111111111111111112223111

111111

No. ofViolations

$2,500 $2,000 $2,500 $2,500 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $9,500 $2,500 $5,000 $2,500 $2,500 $2,000 $5,000 $2,500 $5,000 $7,500 $5,000 $1,000 $7,500 $5,000 $5,000 $5,000 $1,000 $2,500 $5,000 $5,000 $2,500 $2,500 $2,500 $7,500 $5,000 $2,000 $2,000 $2,000 $14,500 $5,000 $2,500 $5,000

$4,000 $2,500 $2,500 $2,500 $5,000 $5,000

PRCA

$1,882 $0 $1,883 $0 $3,815 $1,907 $0 $0 $3,765 $3,765 $3,915 $7,100 $1,908 $3,750 $1,940 $1,940 $1,450 $3,915 $1,883 $3,815 $5,600 $3,915 $853 $5,700 $3,815 $3,815 $3,815 $853 $1,907 $3,815 $3,815 $1,883 $1,883 $1,882 $5,600 $3,950 $1,706 $1,706 $1,706 $11,000 $0 $1,940 $3,300

$3,100 $1,908 $1,907 $1,908 $3,815 $3,915

SettlementAmount


POCA

$2,500 $0 $2,500 $0 $5,000 $2,500 $0 $0 $5,000 $5,000 $5,000 $9,500 $2,500 $5,000 $2,500 $2,500 $2,000 $5,000 $2,500 $5,000 $7,500 $5,000 $1,000 $7,500 $5,000 $5,000 $5,000 $1,000 $2,500 $5,000 $5,000 $2,500 $2,500 $2,500 $7,500 $5,000 $2,000 $2,000 $2,000 $14,500 $0 $2,500 $4,000

$4,000 $2,500 $2,500 $2,500 $5,000 $5,000

Case Terminated.

Case Terminated.

Case Terminated.Case Terminated.

Case Terminated.


44

CSX 2017-600(SA)CSX 2017-601(SA)CSX 2017-602(SA)CSX 2017-603(EQ)CSX 2017-604(HS)CSX 2017-605(SA)CSX 2017-606(ROP)CSX 2017-607(SA)CSX 2017-608(SA)CSX 2017-609(TS)CSX 2017-610(HMT)CSX 2017-611(HMT)CSX 2018-1(FCS)CSX 2018-2(ROP)CSX 2018-3(ROP)CSX 2018-4(SA)CSX 2018-5(SA)CSX 2018-6(SA)CSX 2018-7(LI)CSX 2018-8(LI)CSX 2018-9(LI)CSX 2018-10(LI)CSX 2018-11(LI)CSX 2018-12(LI)CSX 2018-13(SA)CSX 2018-14(SA)CSX 2018-15(HMT)CSX 2018-16(SA)CSX 2018-17(TS)CSX 2018-18(SA)CSX 2018-19(SA)CSX 2018-34(SA)CSX 2018-35(SA)CSX 2018-54(SI)CSX 2018-58(LI)CSX 2018-59(TS)CSX 2018-60(HS)CSX 2018-61(SA)CSX 2018-62(HS)CSX 2018-63(RW)CSX 2018-64(TS)CSX 2018-65(TS)CSX 2018-66(TS)CSX 2018-68(TS)CSX 2018-69(ROP)CSX 2018-71(TS)CSX 2018-72(ROP)CSX 2018-73(ROP)

CSX 2018-74(SI)

FRA No.

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018

09/26/2018


1111111111811111413131111111111111111126113111111

1

No. ofViolations

$5,000 $5,000 $5,000 $2,500 $1,000 $2,500 $7,500 $2,500 $2,500 $2,500 $56,500 $3,000 $5,000 $7,500 $7,500 $5,000 $10,000 $2,500 $7,500 $2,500 $7,500 $1,000 $2,500 $1,000 $5,000 $2,500 $6,000 $5,000 $25,000 $2,500 $2,500 $5,000 $2,500 $1,000 $2,500 $1,000 $1,000 $5,000 $26,000 $2,000 $2,500 $7,500 $1,000 $2,500 $7,500 $2,500 $7,500 $7,500

$2,500

PRCA

$3,915 $3,915 $3,915 $1,875 $853 $1,908 $5,700 $1,907 $1,908 $1,875 $42,400 $2,375 $3,765 $5,300 $5,300 $3,815 $7,630 $1,907 $5,710 $1,925 $5,800 $853 $1,925 $853 $3,915 $1,908 $4,500 $3,815 $18,750 $1,908 $1,907 $3,815 $1,908 $853 $1,925 $853 $853 $3,915 $22,178 $1,525 $1,875 $5,600 $853 $1,875 $5,700 $1,907 $5,300 $2,000

$1,900

SettlementAmount


POCA

$5,000 $5,000 $5,000 $2,500 $1,000 $2,500 $7,500 $2,500 $2,500 $2,500 $56,500 $3,000 $5,000 $7,500 $7,500 $5,000 $10,000 $2,500 $7,500 $2,500 $7,500 $1,000 $2,500 $1,000 $5,000 $2,500 $6,000 $5,000 $25,000 $2,500 $2,500 $5,000 $2,500 $1,000 $2,500 $1,000 $1,000 $5,000 $26,000 $2,000 $2,500 $7,500 $1,000 $2,500 $7,500 $2,500 $7,500 $2,000

$2,500


45

CSX 2018-76(TS)CSX 2018-77(ROP)CSX 2018-78(TS)CSX 2018-80(HSR)CSX 2018-82(TS)CSX 2018-83(SA)CSX 2018-84(SA)CSX 2018-85(SA)CSX 2018-86(SA)CSX 2018-87(SA)CSX 2018-88(SA)CSX 2018-89(SA)CSX 2018-90(SA)CSX 2018-91(EQ)CSX 2018-93(FCS)CSX 2018-94(SA)CSX 2018-95(SA)CSX 2018-97(HMT)CSX 2018-98(ROP)

CSX 2018-99(LI)CSX 2018-101(SA)CSX 2018-102(SA)CSX 2018-103(TS)CSX 2018-105(RW)CSX 2018-106(LI)CSX 2018-107(SA)CSX 2018-109(SA)CSX 2018-110(SA)CSX 2018-111(SA)CSX 2018-114(SA)CSX 2018-115(SA)CSX 2018-117(SA)CSX 2018-118(SA)CSX 2018-119(SA)CSX 2018-121(FCS)CSX 2018-122(LI)CSX 2018-123(LI)CSX 2018-125(ROP)CSX 2018-126(HSR)CSX 2018-127(TS)CSX 2018-129(ROP)CSX 2018-130(SI)CSX 2018-131(ROP)CSX 2018-134(AR)CTM 2016-11(AR)CTM 2016-12(AR)CTN 2016-1(AR)CTN 2017-1(ROP)CTRR 2017-1(SA)

FRA No.

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/2018

09/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201809/26/201804/25/201804/25/201812/20/201712/20/201710/25/2017


23146111111111111111

111111112111111113111111111111

No. ofViolations

$23,000 $9,500 $4,000 $6,000 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $1,000 $5,000 $2,500 $2,500 $7,500 $9,500

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

PRCA

$19,619 $7,100 $3,412 $5,118 $3,750 $1,908 $1,907 $3,915 $3,815 $3,915 $3,915 $3,915 $1,907 $853 $3,765 $1,908 $1,907 $5,600 $4,600

$1,940 $3,915 $3,815 $1,875 $3,900 $1,150 $3,815 $1,907 $3,815 $1,907 $3,815 $1,908 $1,907 $1,908 $3,815 $1,883 $875 $5,600 $5,750 $853 $3,750 $0 $1,900 $5,600 $1,900 $1,500 $1,500 $1,700 $8,000 $5,000

SettlementAmount


POCA

$23,000 $9,500 $4,000 $6,000 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $1,000 $5,000 $2,500 $2,500 $7,500 $5,000

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


Case Terminated.

46

CVR 2017-2(SA)CVR 2017-3(TS)CVR 2017-4(TS)CVR 2017-5(TS)CVR 2017-6(TS)CVR 2017-7(TS)CWRO 2017-1(AR)CWRO 2018-1(AD)DCR 2017-1(GC)DEAD 2017-1(HMT)DGNO 2017-1(TS)DGNO 2017-2(TS)DME 2017-3(SA)DME 2017-4(TS)DMVW 2018-1(TS)DMVW 2018-2(ROP)DQE 2016-1(GC)DR 2016-1(TS)DR 2016-3(GC)DR 2016-4(RMM)DR 2018-1(RW)DR 2018-2(TS)DSC 2018-1(SA)DSRC 2017-1(HMT)DSRC 2017-2(AR)DSRC 2017-4(EQ)EDW 2018-1(HMT)EEC 2017-1(AR)EIRR 2018-1(REM)EIRR 2018-2(TS)ELS 2017-1(HS)ELS 2018-1(ROP)EMRY 2017-2(EQ)EMRY 2017-3(TS)ESPN 2017-1(TS)EWG 2017-1(GC)EWG 2017-2(GC)EWG 2018-1(SA)EWG 2018-2(SA)FCEN 2013-2(LI)FCEN 2017-1(ROP)FCEN 2017-2(AD)FCEN 2017-3(SA)FCR 2013-1(LI)FCR 2017-1(ROP)FCR 2017-2(ROP)FCR 2017-3(AD)FCTY 2008-1(AD)FMWX 2011-1(GC)

FRA No.

01/31/201801/31/201801/31/201801/31/201801/31/201801/31/201807/09/201807/09/201810/13/201707/09/201809/27/201809/27/201809/28/201809/28/201802/14/201804/26/201811/14/201706/18/201806/18/201806/18/201806/18/201805/15/201805/10/201805/30/201805/30/201805/30/201805/16/201811/14/201709/24/201809/24/201805/30/201807/11/201810/17/201704/17/201810/19/201704/17/201804/17/201804/17/201804/17/201802/28/201802/28/201802/28/201802/28/201801/10/201801/10/201801/10/201801/10/201805/08/201803/28/2018


1111131111111111121112111111122111121112121111711

No. ofViolations

$5,000 $2,500 $5,000 $5,000 $2,500 $12,500 $2,500 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $5,000 $7,500 $2,500 $5,000 $5,000 $2,500 $2,000 $2,000 $2,500 $2,500 $1,000 $1,000 $7,500 $2,500 $5,000 $5,000 $2,000 $9,500 $2,500 $5,000 $5,000 $3,500 $2,500 $5,000 $5,000 $3,000 $2,000 $5,000 $2,500 $1,500 $7,500 $7,500 $35,000 $5,000 $2,500

PRCA

$4,000 $1,500 $4,000 $4,000 $1,500 $10,000 $2,500 $5,000 $2,500 $5,000 $3,950 $1,950 $1,700 $1,750 $5,000 $0 $1,750 $5,000 $5,000 $2,500 $2,000 $2,000 $2,500 $2,500 $1,000 $1,000 $2,000 $650 $3,250 $3,250 $0 $0 $1,500 $3,050 $5,000 $2,103 $1,250 $2,500 $2,500 $1,300 $1,400 $3,500 $1,800 $750 $6,000 $6,000 $28,000 $0 $0

SettlementAmount


POCA

$5,000 $2,500 $5,000 $5,000 $2,500 $12,500 $2,500 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $5,000 $0 $2,500 $5,000 $5,000 $2,500 $2,000 $2,000 $2,500 $2,500 $1,000 $1,000 $7,500 $2,500 $5,000 $5,000 $0 $0 $2,500 $5,000 $5,000 $3,500 $2,500 $5,000 $5,000 $3,000 $2,000 $5,000 $2,500 $1,500 $7,500 $7,500 $35,000 $0 $0

Case Terminated.



47

FNOR 2007-1(GC)FWWR 2004-1(TS)FWWR 2004-2(TS)FWWR 2009-1(GC)FWWR 2009-2(TS)FWWR 2010-1(TS)FWWR 2010-2(TS)FWWR 2011-1(TS)FWWR 2011-2(SA)FWWR 2012-1(SA)FWWR 2012-2(SA)FWWR 2012-3(SA)FWWR 2012-4(SA)FWWR 2012-5(SA)FWWR 2013-1(AD)FWWR 2014-1(AR)FWWR 2014-2(TS)FWWR 2014-3(SA)FWWR 2014-4(TS)FWWR 2014-5(GC)FWWR 2014-6(TS)FWWR 2014-7(TS)FWWR 2014-8(EP)FWWR 2015-1(TS)FWWR 2015-2(LI)FWWR 2015-3(TS)FWWR 2015-4(TS)FWWR 2015-6(TS)FWWR 2016-2(TS)FWWR 2016-3(ROP)FWWR 2016-4(TS)FWWR 2017-1(GC)FWWR 2017-2(GC)FWWR 2017-3(GC)FWWR 2017-4(GC)FWWR 2017-6(ROP)GCSR 2010-1(RW)GCSR 2011-1(ROR)GCSR 2011-2(ROP)GCSR 2011-3(AR)GCSR 2011-4(HSR)GCSR 2011-5(RSP)GCSR 2011-6(RSP)GCSR 2012-1(LI)GCSR 2012-2(GC)GCSR 2012-3(SA)GCSR 2012-4(ROR)GCSR 2012-5(EQ)GCSR 2012-6(GC)

FRA No.

03/27/201801/04/201801/04/201801/04/201801/04/201801/04/201801/04/201801/04/201801/04/201801/04/201801/04/201801/04/201801/04/201801/04/201801/04/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201803/15/201805/21/201805/21/201805/21/201805/21/201805/21/201805/21/201805/21/201805/21/201805/21/201805/21/201805/21/201805/21/201805/21/2018


12111111121232111111321111112123555111431111211131

No. ofViolations

$5,000 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $2,500 $5,000 $2,500 $10,000 $12,500 $5,000 $5,000 $2,500 $1,000 $5,000 $5,000 $2,500 $3,000 $10,000 $1,000 $27,500 $2,500 $2,500 $5,000 $10,000 $5,000 $15,000 $15,000 $25,000 $25,000 $25,000 $5,000 $7,500 $3,000 $15,000 $24,500 $2,500 $1,000 $9,500 $9,500 $5,000 $1,000 $5,000 $5,000 $4,500 $2,500

PRCA

$0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $1,750 $700 $3,500 $3,500 $1,750 $2,100 $7,000 $700 $19,250 $1,750 $1,750 $3,500 $7,000 $3,500 $10,500 $10,500 $10,000 $10,000 $10,000 $2,000 $5,250 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0

SettlementAmount


POCA

$0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $2,500 $1,000 $5,000 $5,000 $2,500 $3,000 $10,000 $1,000 $27,500 $2,500 $2,500 $5,000 $10,000 $5,000 $15,000 $15,000 $25,000 $25,000 $25,000 $5,000 $7,500 $0 $0 $0 $0 $0 $0 $0 $0 $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.

48

GCSR 2012-8(TS)GCSR 2012-9(LI)GCSR 2012-10(EQ)GCSR 2012-11(ROR)GCSR 2012-12(HSR)GCSR 2012-13(HSR)GCSR 2013-1(LI)GDLK 2017-1(SA)GFRR 2015-1(HMT)GFRR 2015-5(TS)GFRR 2015-6(TS)GFRR 2015-7(TS)GFRR 2015-8(TS)GFRR 2017-1(SI)GFRR 2017-2(SI)GFRR 2017-3(AD)GFRR 2017-4(AD)GFRR 2017-5(AD)GFRR 2017-6(GC)GFRR 2017-7(TS)GLC 2016-1(ROP)GLC 2016-2(ROP)GLC 2016-3(SA)GLC 2017-1(SA)GMRC 2016-1(AR)GNBC 2016-1(SA)GNRL 2010-1(TS)GNRR 2017-1(BW)GNRR 2017-2(AD)

GNWR 2017-5(AD)GRNW 2017-1(EQ)GRNW 2017-2(SI)GRYR 2015-2(HMT)GRYR 2016-1(GC)GRYR 2016-2(GC)GRYR 2017-1(HS)GRYR 2017-2(GC)GRYR 2017-3(GC)GRYR 2017-4(GC)GRYR 2017-5(GC)GRYR 2017-6(GC)GRYR 2017-7(GC)GRYR 2017-8(GC)GS 2017-1(GC)GS 2017-2(GC)GS 2017-3(HSR)GS 2017-4(TS)GS 2017-5(TS)GSM 2015-1(GC)

FRA No.

05/21/201805/21/201805/21/201805/21/201805/21/201805/21/201805/21/201809/24/201803/13/201803/28/201803/28/201803/28/201803/28/201803/13/201803/13/201803/13/201803/13/201803/13/201803/28/201803/28/201804/11/201804/11/201804/11/201804/11/201804/03/201804/05/201805/21/201811/14/201711/14/2017

09/27/201809/24/201809/24/201803/26/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/201804/18/201804/18/201804/18/201804/18/201804/18/201804/10/2018


41112121411113322211111111326

111111155411411542111

No. ofViolations

$4,000 $5,000 $1,000 $7,500 $2,000 $1,000 $10,000 $5,000 $13,000 $1,000 $1,000 $2,500 $1,000 $3,000 $3,000 $10,000 $5,000 $5,000 $5,000 $5,000 $7,500 $7,500 $5,000 $5,000 $2,500 $5,000 $6,000 $10,000 $15,000

$2,500 $2,000 $2,500 $6,000 $1,000 $5,000 $1,000 $12,500 $12,500 $10,000 $27,500 $10,000 $2,500 $5,000 $16,000 $5,500 $2,000 $5,000 $5,000 $2,500

PRCA

$0 $0 $0 $0 $0 $0 $0 $3,900 $10,400 $853 $853 $1,625 $853 $1,950 $1,950 $8,000 $0 $4,000 $4,000 $3,500 $5,250 $5,250 $3,500 $3,000 $1,650 $3,500 $0 $5,000 $2,500

$1,950 $1,250 $2,000 $0 $750 $3,600 $750 $9,000 $9,000 $7,200 $19,800 $7,200 $1,800 $3,600 $9,600 $3,575 $1,500 $3,500 $3,500 $1,500

SettlementAmount


POCA

$0 $0 $0 $0 $0 $0 $0 $5,000 $13,000 $1,000 $1,000 $2,500 $1,000 $3,000 $3,000 $10,000 $0 $5,000 $5,000 $5,000 $7,500 $7,500 $5,000 $5,000 $2,500 $5,000 $0 $10,000 $2,500

$2,500 $2,000 $2,500 $0 $1,000 $5,000 $1,000 $12,500 $12,500 $10,000 $27,500 $10,000 $2,500 $5,000 $16,000 $5,500 $2,000 $5,000 $5,000 $2,500

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

Case Terminated.

Caes Terminated.

Partially Terminated Violation(s): 2-5.

Case Terminated.

49

GTRA 2017-1(AD)GWR 2018-1(TS)GWWL 2014-1(SA)GWWL 2014-2(ROP)HERQ 2017-2(RW)HRRC 2018-1(TS)IAIS 2018-1(ROP)IAIS 2018-2(HMT)IHB 2017-4(HMT)IHB 2017-5(SA)INRD 2017-1(HMT)INRD 2018-1(GC)IORY 2017-1(ROP)IORY 2017-2(GC)IORY 2018-1(ROP)JCIV 2018-1(TS)KCS 2017-17(ROP)KCS 2017-18(AR)KCS 2017-19(GC)KCS 2017-20(SA)KCS 2017-21(FCS)KCS 2017-22(TS)KCS 2017-23(LI)KCS 2017-24(EQ)KCS 2017-25(SA)KCS 2017-26(SA)KCS 2017-27(ROP)KCS 2017-28(SA)KCS 2017-29(SA)KCS 2017-30(ROP)KCS 2017-31(SA)KCS 2017-32(TS)KCS 2017-33(GC)KCS 2017-34(SA)KCS 2017-35(FCS)KCS 2017-36(SA)KCS 2017-37(TS)KCS 2017-38(SA)KCS 2017-39(ROP)KCS 2017-40(FCS)KCS 2017-41(SA)KCS 2017-42(TS)KCS 2017-43(HS)KCS 2017-44(FCS)KCS 2017-45(SA)KCS 2017-46(HMT)KCS 2017-47(FCS)KCS 2017-48(FCS)KCS 2017-49(ROP)

FRA No.

11/14/201703/29/201803/01/201803/01/201803/15/201805/10/201807/20/201808/18/201811/06/201711/06/201706/04/201807/03/201809/27/201809/27/201809/27/201809/14/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/2018


1112311211111111111111111111111111111112211111121

No. ofViolations

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

PRCA

$1,750 $3,750 $0 $0 $6,750 $3,500 $5,000 $5,000 $2,000 $1,750 $2,000 $5,000 $5,700 $1,450 $5,700 $1,000 $5,000 $850 $3,500 $4,000 $2,000 $3,750 $2,500 $1,950 $3,500 $3,500 $5,000 $3,500 $3,500 $5,000 $3,300 $3,500 $3,750 $1,000 $3,250 $1,750 $1,750 $5,000 $5,000 $3,000 $5,000 $3,000 $875 $2,500 $2,500 $2,500 $2,000 $6,500 $4,800

SettlementAmount


POCA

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


50

KCS 2017-50(FCS)KCS 2017-51(GC)KCS 2017-52(GC)KCS 2017-53(LI)KCS 2017-54(SA)KCS 2017-55(SA)KCS 2017-56(SA)KCS 2017-57(AD)KCS 2017-58(AD)KCS 2018-1(ROP)KCS 2018-2(SA)KCS 2018-3(FCS)KCS 2018-4(FCS)KCS 2018-5(FCS)KCS 2018-6(SA)KCS 2018-7(SA)KCS 2018-8(SA)KCS 2018-9(SA)KCS 2018-10(FCS)KCS 2018-11(FCS)KCS 2018-12(SA)KCS 2018-13(SA)KCT 2017-1(AD)KCT 2018-1(SI)KFR 2017-1(EQ)KFR 2017-2(AR)KFR 2017-3(ROP)KFR 2017-4(AR)KJRY 2017-1(BSS)KNOR 2017-1(TS)KNWA 2017-2(HMT)KRR 2017-1(TS)KRR 2017-2(RW)KYLE 2017-1(TS)KYLE 2017-2(TS)KYLE 2017-3(TS)LAJ 2017-1(LI)LAJ 2018-1(AR)LBWR 2017-1(RW)LBWR 2017-2(TS)LBWR 2017-3(FCS)LBWR 2017-4(TS)LI 2017-1(ROR)LI 2017-2(ROR)LI 2017-3(ROR)LI 2017-4(SI)LI 2017-5(RW)LSRC 2017-1(ROP)LSRC 2018-1(GC)

FRA No.

08/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201808/01/201802/23/201808/22/201812/01/201701/31/201812/01/201712/01/201705/18/201805/04/201809/24/201809/27/201809/27/201809/27/201809/27/201809/27/201809/28/201809/28/201809/24/201809/24/201809/24/201809/24/201806/08/201806/08/201806/08/201806/08/201806/08/201811/13/201706/08/2018


1111111111111111111111111111211121111113111111111

No. ofViolations

$2,500 $2,500 $5,000 $2,500 $5,000 $2,500 $2,500 $2,500 $1,000 $7,500 $5,000 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $2,500 $5,000 $2,500 $5,000 $2,500 $2,500 $27,904 $2,000 $2,500 $7,500 $1,000 $8,000 $5,000 $1,000 $1,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,000 $12,500 $2,500 $2,500 $9,500 $9,500 $9,500 $2,500 $2,000 $9,500 $5,000

PRCA

$2,000 $2,500 $3,750 $2,500 $3,500 $2,000 $2,000 $2,500 $850 $5,000 $3,500 $1,800 $1,800 $1,800 $1,750 $3,350 $3,000 $1,750 $3,555 $1,800 $4,100 $2,500 $2,500 $23,718 $0 $2,000 $6,000 $853 $6,000 $5,000 $900 $900 $3,950 $3,950 $3,950 $1,900 $1,900 $1,875 $1,400 $9,000 $1,750 $1,750 $5,500 $5,500 $5,500 $1,500 $1,250 $6,000 $3,000

SettlementAmount


POCA

$2,500 $2,500 $5,000 $2,500 $5,000 $2,500 $2,500 $2,500 $1,000 $7,500 $5,000 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $2,500 $5,000 $2,500 $5,000 $2,500 $2,500 $27,904 $0 $2,500 $7,500 $1,000 $8,000 $5,000 $1,000 $1,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,000 $12,500 $2,500 $2,500 $9,500 $9,500 $9,500 $2,500 $2,000 $9,500 $5,000

Case Terminated.

51

LVRR 2017-1(SA)MACZ 2013-1(SI)MACZ 2013-3(LI)MACZ 2013-4(LI)MACZ 2013-5(LI)MACZ 2013-6(PEQ)MACZ 2014-1(PEQ)MACZ 2014-2(LI)MACZ 2014-3(SI)MACZ 2014-4(PEQ)MACZ 2015-1(SI)MACZ 2015-2(PEQ)MACZ 2015-3(AR)MACZ 2015-4(AR)MACZ 2015-5(PEQ)MACZ 2015-6(PEQ)MACZ 2015-7(PEQ)

MACZ 2015-8(ROP)MACZ 2015-9(SI)MACZ 2015-10(LI)MACZ 2015-11(EP)MACZ 2016-1(EP)MACZ 2016-2(PEQ)MACZ 2016-3(EQ)

MACZ 2016-4(AD)MACZ 2016-5(AD)MACZ 2016-6(AD)MACZ 2017-1(PEQ)MACZ 2017-2(SI)MACZ 2017-3(ROP)MACZ 2017-4(SI)MBRR 2017-1(TS)MBTA 2015-1(AR)MBTA 2015-2(ROP)MBTA 2015-3(PEQ)MBTA 2015-4(LI)MBTA 2015-5(TS)MBTA 2016-1(PEQ)MBTA 2016-2(AD)MBTA 2016-3(AD)MBTA 2016-4(AD)MBTA 2016-5(PEQ)MBTA 2016-6(AR)MBTA 2016-7(PEQ)MBTA 2016-8(ROP)MBTA 2016-9(PEQ)MBTA 2016-10(PEQ)MBTA 2017-1(TS)

FRA No.

11/30/201710/24/201710/24/201710/24/201710/24/201710/24/201710/24/201710/24/201710/24/201710/24/201710/24/201710/24/201710/24/201710/24/201710/24/201710/24/201710/24/2017

10/24/201710/24/201710/24/201710/24/201710/24/201710/24/201710/24/2017

10/24/201710/24/201710/24/201710/24/201710/24/201710/24/201702/20/201809/27/201811/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/2017


11121211141111112

1111111

2122111111214111231212112

No. ofViolations

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

$9,500 $2,500 $2,500 $1,000 $1,000 $2,500 $2,500

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

PRCA

$2,750 $4,250 $1,275 $4,000 $2,000 $6,375 $4,250 $2,125 $4,250 $6,375 $4,150 $4,000 $1,875 $1,875 $4,000 $4,150 $5,000

$8,550 $2,247 $2,125 $850 $950 $2,125 $1,000

$8,500 $2,250 $4,250 $4,250 $853 $7,125 $2,800 $3,950 $750 $3,750 $3,750 $1,875 $7,500 $1,875 $3,750 $3,750 $7,500 $13,125 $1,875 $7,500 $5,625 $5,625 $1,875 $10,068

SettlementAmount


POCA

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

$9,500 $2,500 $2,500 $1,000 $1,000 $2,500 $1,000

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




52

MBTA 2017-2(RW)MBTA 2017-3(PEQ)MBTA 2017-4(SI)MBTA 2017-5(GC)MBTA 2017-6(LI)MBTA 2017-7(PEQ)MBTA 2017-8(PEQ)MBTA 2017-9(PEQ)MBTA 2017-10(PEQ)MBTA 2017-11(ROR)MBTA 2017-12(ROR)MBTA 2017-13(ROR)MBTA 2017-14(ROR)MBTA 2017-15(ROR)MBTA 2017-16(ROR)MBTA 2017-17(ROR)MBTA 2017-18(ROR)MBTA 2017-19(ROR)MBTA 2017-20(ROR)MBTA 2017-21(ROR)MBTA 2017-22(PEQ)MBTA 2017-23(PEQ)MBTA 2017-24(ROR)MBTA 2017-25(ROR)MBTA 2017-26(ROR)MCRL 2015-4(GC)MCRL 2016-3(AR)MCRL 2016-4(AR)MCRL 2017-1(GC)MDDE 2018-1(GC)MDS 2017-1(CC)MEC 2017-6(TS)MEC 2017-7(TS)MEC 2017-8(TS)MEC 2017-9(TS)MEC 2017-10(TS)MEC 2017-11(TS)MEC 2017-12(TS)MEC 2017-13(TS)MEC 2017-14(TS)MEC 2017-15(TS)MEC 2017-16(TS)MH 2016-9(AR)MH 2016-10(TS)MH 2017-1(SA)MH 2018-1(TS)MH 2018-2(TS)MH 2018-3(TS)MH 2018-4(TS)

FRA No.

11/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201711/30/201704/25/201804/25/201804/25/201804/25/201802/26/201801/02/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/2018


1311141121111111111111111111111111111111111111121

No. ofViolations

$3,000 $20,000 $5,000 $5,000 $27,455 $32,500 $15,000 $2,500 $10,000 $7,500 $7,500 $9,500 $9,500 $9,500 $12,000 $9,500 $12,000 $9,500 $7,500 $9,500 $2,500 $15,000 $9,500 $9,500 $9,500 $2,500 $2,500 $2,500 $5,000 $5,000 $2,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $4,000 $5,000 $5,000 $10,000 $5,000

PRCA

$2,250 $13,932 $3,750 $3,750 $20,591 $24,375 $11,250 $1,875 $7,500 $7,125 $5,625 $7,125 $7,125 $7,125 $9,000 $7,125 $9,000 $7,125 $5,625 $7,125 $1,875 $11,250 $7,125 $7,125 $7,125 $1,800 $1,500 $1,500 $3,600 $3,000 $2,000 $4,250 $3,800 $3,800 $4,250 $5,000 $5,000 $5,000 $5,000 $3,250 $3,250 $3,800 $1,500 $1,800 $2,900 $3,800 $3,800 $7,600 $3,800

SettlementAmount


POCA

$3,000 $20,000 $5,000 $5,000 $27,455 $32,500 $15,000 $2,500 $10,000 $7,500 $7,500 $9,500 $9,500 $9,500 $12,000 $9,500 $12,000 $9,500 $7,500 $9,500 $2,500 $15,000 $9,500 $9,500 $9,500 $2,500 $2,500 $2,500 $5,000 $5,000 $2,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $4,000 $5,000 $5,000 $10,000 $5,000

53

MNA 2017-1(GC)MNBR 2017-1(TS)MNBR 2018-1(TS)MNBR 2018-2(TS)MNBR 2018-3(TS)MNBR 2018-4(TS)MNBR 2018-5(TS)MNCW 2014-27(PEQ)MNCW 2014-28(AR)MNCW 2015-26(RW)MNCW 2015-27(RW)MNCW 2015-28(GC)MNCW 2015-29(SA)MNCW 2015-30(RW)MNCW 2015-31(GC)MNCW 2015-32(GC)MNCW 2015-33(GC)MNCW 2015-35(BW)MNCW 2015-36(AR)MNCW 2015-37(AR)MNCW 2015-38(TS)MNCW 2015-39(TS)MNCW 2015-40(TS)MNCW 2015-41(TS)MNCW 2015-42(TS)MNCW 2015-43(TS)MNCW 2015-44(ROR)MNCW 2015-45(ROR)MNCW 2015-46(ROR)MNCW 2015-47(ROR)MNCW 2015-48(ROP)MNCW 2015-49(ROP)MNCW 2015-50(ROP)MNCW 2015-51(PEQ)MNCW 2015-52(RW)MNCW 2016-2(ROP)MNCW 2016-3(AD)MNCW 2016-4(AD)MNCW 2016-5(AD)

MNCW 2016-6(AD)

MNCW 2016-7(AD)

MNCW 2016-8(AD)

MNCW 2016-9(AD)

MNCW 2016-10(AD)

MNCW 2016-12(HSR)

FRA No.

09/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201810/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/2017

10/23/2017

10/23/2017

10/23/2017

10/23/2017

10/23/2017

10/23/2017


112141111111111111112111111111111111612

2

2

2

2

2

1

No. ofViolations

$2,500 $5,000 $10,000 $5,000 $16,000 $1,000 $1,000 $5,000 $2,500 $2,000 $2,000 $5,000 $5,000 $3,000 $1,000 $1,000 $1,000 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $2,000 $5,000 $9,500 $9,500 $7,500 $7,500 $7,500 $5,000 $9,500 $2,500 $3,000 $7,500 $30,000 $2,500 $5,000

$5,000

$5,000

$5,000

$5,000

$5,000

$1,000

PRCA

$1,950 $3,950 $7,600 $3,950 $12,300 $900 $900 $4,250 $2,125 $1,700 $1,700 $4,250 $4,250 $2,550 $900 $900 $900 $4,500 $2,125 $2,125 $4,500 $4,250 $4,250 $4,250 $1,700 $4,250 $8,075 $8,075 $0 $6,375 $6,375 $4,500 $8,075 $2,125 $2,550 $6,375 $23,100 $2,125 $2,500

$2,500

$2,500

$2,500

$2,500

$2,500

$900

SettlementAmount


POCA

$2,500 $5,000 $10,000 $5,000 $16,000 $1,000 $1,000 $5,000 $2,500 $2,000 $2,000 $5,000 $5,000 $3,000 $1,000 $1,000 $1,000 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $2,000 $5,000 $9,500 $9,500 $0 $7,500 $7,500 $5,000 $9,500 $2,500 $3,000 $7,500 $30,000 $2,500 $2,500

$2,500

$2,500

$2,500

$2,500

$2,500

$1,000

Case Terminated.

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

54

MNCW 2016-13(ROP)MNCW 2016-14(ROP)MNCW 2016-15(SA)MNCW 2016-16(AD)MNCW 2016-17(AD)MNCW 2016-18(AD)MNCW 2016-19(AD)MNCW 2016-20(AD)MNCW 2016-21(AD)MNCW 2016-22(AD)MNCW 2016-23(AD)MNCW 2016-24(AD)MNCW 2016-25(AD)MNCW 2016-26(AD)MNCW 2016-27(AD)MNCW 2016-28(AD)MNCW 2016-29(AD)MNCW 2016-30(AD)MNCW 2016-31(AD)MNCW 2016-32(AD)MNCW 2016-33(AD)MNCW 2016-34(AD)MNCW 2016-35(AD)MNCW 2016-36(AD)MNCW 2016-37(AD)MNCW 2016-38(AD)MNCW 2016-39(AD)MNCW 2016-40(AD)MNCW 2016-41(AD)MNCW 2016-42(AD)MNCW 2016-43(AD)MNCW 2016-44(AD)MNCW 2016-45(AD)MNCW 2016-46(AD)MNCW 2016-47(AD)MNCW 2016-48(AD)MNCW 2016-49(AD)MNCW 2016-50(AD)MNCW 2016-51(AD)MNCW 2016-52(AD)MNCW 2016-53(AD)MNCW 2016-54(AD)MNCW 2016-55(AD)MNCW 2016-56(AD)MNCW 2016-57(AD)MNCW 2016-58(ROP)MNCW 2016-59(GS)

MNCW 2016-60(GS)MNNR 2017-3(HMT)

FRA No.

10/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/201710/23/2017

10/23/201712/13/2017


11111111111111111111121111211211111111111111113

18

No. ofViolations

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

$2,500 $35,000

PRCA

$6,375 $6,375 $2,125 $5,000 $4,250 $4,250 $4,250 $4,250 $4,250 $2,125 $2,125 $2,125 $2,125 $2,125 $2,125 $2,125 $2,125 $2,125 $2,125 $2,125 $2,125 $4,250 $2,125 $2,125 $2,125 $2,125 $4,250 $2,125 $2,125 $4,250 $2,125 $2,125 $2,125 $2,125 $2,125 $2,125 $2,125 $2,250 $2,125 $4,500 $4,500 $4,500 $4,500 $4,500 $4,500 $6,375 $2,500

$2,500 $26,250

SettlementAmount


POCA

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

$2,500 $35,000


55

MNR 2017-1(ROP)MOR 2018-1(LI)MRA 2016-6(AR)MRL 2017-2(SA)MRL 2017-3(SA)MRL 2017-4(FCS)MRL 2017-5(FCS)MRL 2017-6(AR)MRL 2017-7(SA)MRL 2017-8(HS)MRL 2017-9(FCS)MRL 2017-10(TS)MRL 2017-11(GC)MRL 2017-12(GC)MRL 2017-13(LI)MRL 2017-14(SA)MRL 2017-15(SA)MRL 2017-16(RSP)MRL 2017-18(SA)MRL 2017-19(AR)MRL 2017-20(EP)MRL 2017-21(TS)MRL 2017-22(SA)MRL 2018-1(TS)MRL 2018-2(LI)MRL 2018-3(SA)MRL 2018-4(FCS)MSDR 2016-1(CC)MSDR 2016-2(ROR)MSDR 2016-3(EQ)NCTC 2018-1(PEQ)NCVA 2017-1(HMT)NCVA 2017-2(GC)NCVA 2017-3(GC)NECR 2017-1(SA)NERR 2017-1(SI)NHN 2018-1(TS)NHRR 2017-2(AD)NJTR 2015-3(TS)NJTR 2015-7(EQ)NJTR 2015-8(GC)NJTR 2015-9(ROP)NJTR 2015-10(CC)NJTR 2015-11(PEQ)NJTR 2015-12(ROP)NJTR 2015-13(ROP)NJTR 2015-14(AR)NJTR 2016-1(PEQ)NJTR 2016-2(PEQ)

FRA No.

10/02/201704/16/201804/25/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/31/201805/22/201805/22/201805/22/201805/15/201809/27/201809/27/201809/27/201809/27/201812/01/201702/07/201807/06/201812/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/2017


11112531211211111111111103441111111151121111111151

No. ofViolations

$9,500 $1,000 $2,500 $5,000 $10,000 $20,000 $12,500 $1,000 $10,000 $1,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $1,000 $2,500 $2,500 $22,500 $7,500 $17,500 $10,000 $10,000 $7,500 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $20,000 $5,000 $2,500 $7,000 $1,000 $5,000 $7,500 $2,000 $2,500 $7,500 $7,500 $2,500 $25,000 $5,000

PRCA

$7,600 $853 $1,500 $4,000 $8,500 $16,250 $10,125 $853 $8,500 $853 $4,000 $4,250 $4,250 $4,250 $2,125 $2,125 $4,250 $4,250 $4,250 $2,125 $0 $2,125 $2,125 $19,125 $5,625 $14,875 $7,500 $8,000 $6,000 $5,000 $5,000 $3,950 $3,950 $3,950 $1,950 $10,500 $2,500 $1,250 $5,000 $700 $3,650 $5,250 $1,400 $1,250 $5,250 $5,250 $1,900 $17,800 $3,550

SettlementAmount


POCA

$9,500 $1,000 $2,500 $5,000 $10,000 $20,000 $12,500 $1,000 $10,000 $1,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $0 $2,500 $2,500 $22,500 $7,500 $17,500 $10,000 $10,000 $7,500 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $20,000 $5,000 $2,500 $7,000 $1,000 $5,000 $7,500 $2,000 $2,500 $7,500 $7,500 $2,500 $25,000 $5,000

Case Terminated.

56

NJTR 2016-3(ROP)

NJTR 2016-5(SA)NJTR 2016-6(HSR)NJTR 2016-7(PEQ)NJTR 2016-8(ROP)

NJTR 2016-9(CC)NJTR 2016-10(CC)NJTR 2016-11(PEQ)NJTR 2016-12(ROP)NJTR 2016-13(ROP)NJTR 2016-14(PEQ)NJTR 2016-15(RSP)NJTR 2016-16(PEQ)NJTR 2016-17(ROP)NJTR 2016-18(SA)NJTR 2016-21(PEQ)NJTR 2016-22(ROP)NJTR 2016-23(TH)NJTR 2017-18(RW)NJTR 2017-20(PEQ)NJTR 2017-21(PEQ)NJTR 2017-22(PEQ)NJTR 2017-23(RSP)NJTR 2017-25(RW)NJTR 2017-26(TH)NJTR 2017-27(LI)NJTR 2017-28(SI)NJTR 2017-33(PEQ)NJTR 2017-34(TH)NJTR 2017-35(PEQ)NJTR 2017-37(PEQ)NJTR 2017-38(SA)NJTR 2017-39(ROP)NJTR 2017-41(TH)NKCR 2017-1(GC)NMRX 2018-1(AD)NOGC 2018-1(ROP)NOPB 2018-1(SA)NOPB 2018-2(SA)NOPB 2018-3(HMT)NOPB 2018-4(ROP)NOPB 2018-5(ROR)NOPB 2018-6(SA)NOPB 2018-7(HMT)NPB 2017-1(HMT)NPB 2017-2(ROP)NPB 2017-3(SA)NSCR 2017-1(SI)

FRA No.

12/08/2017

12/08/201712/08/201712/08/201712/08/2017

12/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201712/08/201702/02/201802/27/201807/23/201804/30/201804/30/201804/30/201804/30/201804/30/201804/30/201808/16/201810/04/201710/04/201710/04/201702/21/2018


2

22022

1211611141211311111111111111111112253116111

No. ofViolations

$17,000

$7,500 $20,000 $10,000 $17,000

$1,000 $2,000 $5,000 $9,500 $33,500 $2,500 $9,500 $5,000 $32,000 $5,000 $10,000 $2,000 $1,000 $12,000 $5,000 $5,000 $5,000 $9,500 $3,000 $1,000 $1,000 $16,000 $5,000 $1,000 $2,500 $2,500 $5,000 $7,500 $1,000 $2,500 $2,500 $5,000 $5,000 $10,000 $4,000 $17,500 $28,500 $2,500 $2,000 $32,500 $7,500 $5,000 $1,000

PRCA

$11,500

$5,400 $14,600 $7,100 $7,000

$700 $1,400 $3,600 $6,650 $23,450 $1,800 $7,000 $3,600 $22,400 $3,600 $7,100 $1,400 $839 $10,000 $3,550 $3,550 $3,550 $7,000 $2,300 $853 $853 $12,000 $3,549 $853 $1,850 $1,850 $3,600 $5,250 $853 $2,000 $1,750 $2,500 $2,500 $5,000 $2,400 $8,750 $14,250 $1,500 $1,000 $12,000 $3,750 $2,500 $853

SettlementAmount


POCA

$11,500

$7,500 $20,000 $10,000 $7,000

$1,000 $2,000 $5,000 $9,500 $33,500 $2,500 $9,500 $5,000 $32,000 $5,000 $10,000 $2,000 $1,000 $12,000 $5,000 $5,000 $5,000 $9,500 $3,000 $1,000 $1,000 $16,000 $5,000 $1,000 $2,500 $2,500 $5,000 $7,500 $1,000 $2,500 $2,500 $5,000 $5,000 $10,000 $4,000 $17,500 $28,500 $2,500 $2,000 $32,500 $7,500 $5,000 $1,000



57

NYA 2017-2(FCS)NYA 2017-3(FCS)NYSW 2017-3(SA)NYSW 2017-4(SA)NYSW 2017-5(SA)NYSW 2018-1(SA)NYSW 2018-2(LI)OCTL 2016-1(GC)OCTL 2017-1(GC)OCTL 2017-2(GC)OCTL 2017-3(GC)OERR 2017-1(SA)OHCR 2017-1(SA)OHCR 2017-2(SA)OHIO 2018-1(HMT)OMTX 2017-1(AD)OMTX 2017-2(AD)PAL 2018-1(ROR)PAS 2017-7(TS)PAS 2017-8(TS)PAS 2017-9(TS)PAS 2017-10(SA)PAS 2017-11(TS)PAS 2018-1(SA)PAS 2018-2(TS)PAS 2018-3(TS)PAS 2018-4(TS)PAS 2018-5(TS)PAS 2018-6(TS)PAS 2018-7(LI)PCC 2017-1(SA)PCJX 2012-1(SI)PCJX 2015-1(GC)PCJX 2016-1(SI)PCJX 2018-1(ROP)PNWR 2017-4(SA)PNWR 2017-5(ROP)PNWR 2017-6(ROP)PNWR 2017-7(TS)PNWR 2017-8(LI)PNWR 2017-9(SA)PNWR 2017-10(SA)PNWR 2017-11(SA)PNWR 2017-12(SA)PNWR 2017-13(FCS)PNWR 2017-14(FCS)PNWR 2017-15(FCS)PNWR 2017-16(SA)PNWR 2017-17(SA)

FRA No.

07/12/201807/10/201807/02/201807/02/201807/02/201807/02/201807/02/201805/14/201805/14/201805/14/201805/14/201802/15/201809/27/201809/27/201807/26/201802/20/201802/20/201805/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/24/201805/31/201805/31/201805/31/201805/31/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/201809/27/2018


1111111423111113331211111111111112111121111111111

No. ofViolations

$5,000 $5,000 $5,000 $2,500 $5,000 $2,500 $2,500 $10,000 $5,000 $6,000 $2,500 $5,000 $2,500 $2,500 $2,000 $10,000 $7,500 $26,500 $5,000 $2,000 $1,000 $5,000 $5,000 $5,000 $1,000 $1,000 $5,000 $1,000 $5,000 $2,500 $5,000 $1,000 $5,000 $6,000 $7,500 $5,000 $9,500 $7,500 $3,500 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000

PRCA

$5,000 $5,000 $3,000 $2,000 $3,000 $1,750 $1,750 $0 $2,500 $3,375 $1,500 $3,250 $1,950 $1,950 $1,275 $8,000 $6,000 $15,900 $3,800 $1,850 $1,000 $3,750 $4,500 $4,500 $1,000 $1,000 $3,800 $1,000 $3,800 $1,850 $3,900 $0 $3,750 $4,750 $5,250 $4,000 $7,410 $5,700 $2,660 $1,975 $1,975 $4,000 $4,000 $4,000 $4,000 $4,000 $4,000 $4,000 $4,000

SettlementAmount


POCA

$5,000 $5,000 $5,000 $2,500 $5,000 $2,500 $2,500 $0 $5,000 $6,000 $2,500 $5,000 $2,500 $2,500 $2,000 $10,000 $7,500 $26,500 $5,000 $2,000 $1,000 $5,000 $5,000 $5,000 $1,000 $1,000 $5,000 $1,000 $5,000 $2,500 $5,000 $0 $5,000 $6,000 $7,500 $5,000 $9,500 $7,500 $3,500 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000

Case Terminated.

Case Terminated.

58

PNWR 2017-18(ROP)PNWR 2017-19(SA)PNWR 2018-1(ROP)PNWR 2018-2(SA)PNWR 2018-3(SA)PR 2015-1(AD)PR 2016-1(SA)PR 2016-2(AD)PR 2018-1(ROP)PSRM 2016-1(AD)PW 2017-3(TS)PW 2017-5(LI)PW 2017-6(TH)PW 2017-7(ROP)PW 2018-1(LI)PW 2018-2(LI)RJCP 2017-1(AR)RJCP 2017-2(AR)RJCP 2017-3(AR)RJCP 2017-4(RW)SAPT 2017-2(AD)SAPT 2017-3(AD)SBG 2016-1(HMT)SBG 2016-2(HMT)SCAX 2017-3(AR)SCAX 2017-4(AR)SCAX 2017-5(ROP)SCAX 2017-6(HS)SCAX 2017-7(ROR)SCAX 2017-8(ROR)SCAX 2017-9(ROR)SCAX 2017-10(RSP)SCAX 2018-1(PEQ)SCAX 2018-2(TS)SCAX 2018-3(LI)SCAX 2018-4(PEQ)SCCT 2017-1(GC)SCIH 2017-1(AD)SCX 2016-3(AR)SCX 2017-1(TS)SCX 2017-2(TS)SCX 2017-3(RMM)SDTI 2017-1(GC)SEPA 2017-2(SI)SEPA 2017-3(RW)SEPA 2018-1(ROP)SEPA 2018-3(GC)SFRV 2015-4(GC)SFRV 2016-1(TS)

FRA No.

09/27/201809/27/201809/27/201809/27/201809/27/201808/20/201808/20/201808/20/201808/20/201811/02/201709/27/201809/27/201809/27/201809/27/201809/27/201809/27/201804/17/201804/17/201804/17/201804/17/201809/27/201809/27/201804/02/201804/02/201811/16/201712/08/201712/08/201712/08/201712/08/201701/29/201801/29/201801/29/201804/18/201805/02/201805/24/201809/18/201805/23/201804/20/201804/25/201804/25/201804/25/201804/25/201805/23/201811/13/201712/21/201704/20/201808/01/201805/18/201805/18/2018


11111141126391111111111112111111111111111111211111111

No. ofViolations

$2,000 $5,000 $7,500 $2,500 $2,500 $2,500 $20,000 $2,500 $2,000 $65,000 $87,000 $2,500 $5,000 $7,500 $2,500 $2,500 $2,500 $2,500 $2,500 $3,000 $2,500 $2,500 $2,500 $5,000 $2,500 $1,000 $7,500 $1,000 $7,500 $7,500 $9,500 $9,500 $1,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $11,000 $84,000 $2,000 $2,500 $1,000 $5,000 $2,000 $5,000 $5,000 $2,500

PRCA

$1,600 $4,000 $5,700 $1,975 $1,975 $1,000 $4,000 $1,000 $0 $0 $55,310 $1,900 $3,950 $5,700 $1,950 $1,950 $2,125 $2,125 $2,125 $2,550 $1,950 $1,950 $1,800 $3,500 $1,500 $853 $5,100 $853 $5,400 $5,625 $7,125 $6,175 $853 $1,750 $1,750 $1,875 $2,500 $1,625 $1,500 $9,900 $55,200 $1,300 $2,500 $853 $4,250 $1,500 $3,750 $5,000 $1,700

SettlementAmount


POCA

$2,000 $5,000 $7,500 $2,500 $2,500 $2,500 $20,000 $2,500 $0 $0 $87,000 $2,500 $5,000 $7,500 $2,500 $2,500 $2,500 $2,500 $2,500 $3,000 $2,500 $2,500 $2,500 $5,000 $2,500 $1,000 $7,500 $1,000 $7,500 $7,500 $9,500 $9,500 $1,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $11,000 $84,000 $2,000 $2,500 $1,000 $5,000 $2,000 $5,000 $5,000 $2,500


59

SFRV 2017-2(GC)SFRV 2017-3(TS)SFRV 2017-4(GC)SFRV 2018-1(TS)SGSC 2017-1(AD)SIRS 2016-1(SA)SIRS 2016-2(SA)SIRS 2016-3(LI)SIRS 2016-4(LI)SIRS 2016-5(ROP)SJVR 2017-3(SA)SJVR 2018-1(SA)SKOL 2017-9(RW)SKOL 2017-10(TS)SKOL 2017-11(TS)SKOL 2017-12(TS)SKOL 2017-13(TS)SKOL 2017-14(TS)SKOL 2017-15(TS)SKOL 2017-16(SA)SKOL 2017-17(FCS)SKOL 2017-18(TS)SKOL 2017-19(TS)SKOL 2017-20(TS)SKOL 2017-21(TS)SKOL 2017-22(TS)SKOL 2018-1(GC)SKOL 2018-2(TS)SLC 2017-1(TS)SLC 2017-2(TS)SLC 2017-3(TS)SLGW 2017-1(SA)SLGW 2017-2(ROP)SLGW 2017-3(SA)SLGW 2017-4(ROP)SLR 2017-1(AR)SLRG 2016-16(GC)SLRG 2016-17(GC)SLRG 2017-1(GC)SLRG 2017-2(GC)SLRG 2017-3(TS)SLRG 2017-4(GC)SLRG 2017-5(GC)SLRG 2017-6(GC)SLRG 2017-7(GC)

SLRG 2017-8(GC)SLRG 2017-9(GC)SLRG 2017-10(GC)SLRG 2017-11(GC)

FRA No.

05/18/201805/18/201805/18/201805/18/201801/22/201805/24/201805/24/201805/24/201805/24/201805/24/201809/27/201809/27/201809/24/201809/24/201809/24/201809/24/201809/24/201809/24/201809/24/201809/24/201809/24/201809/24/201809/24/201809/24/201809/24/201809/24/201809/24/201809/24/201805/03/201805/03/201805/03/201809/12/201809/12/201809/12/201809/12/201809/27/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/2018

04/25/201804/25/201804/25/201804/25/2018


1111111111111831212111111211111111131111211215

10101010

No. ofViolations

$5,000 $5,000 $5,000 $2,500 $2,500 $5,000 $5,000 $2,500 $2,500 $7,500 $5,000 $5,000 $2,000 $8,000 $3,000 $1,000 $5,000 $5,000 $10,000 $5,000 $5,000 $5,000 $5,000 $1,000 $2,500 $7,500 $5,000 $5,000 $5,000 $2,500 $5,000 $5,000 $9,500 $5,000 $9,500 $7,500 $5,000 $5,000 $2,500 $2,500 $7,500 $5,000 $12,000 $1,000 $25,000

$25,000 $25,000 $25,000 $25,000

PRCA

$5,000 $3,500 $5,000 $1,750 $2,500 $3,500 $3,400 $1,675 $1,675 $4,500 $3,950 $3,950 $1,400 $6,880 $2,850 $950 $3,250 $3,250 $7,000 $3,750 $3,200 $3,250 $3,500 $950 $1,750 $5,500 $3,500 $3,500 $3,250 $1,625 $3,400 $5,000 $5,000 $5,000 $9,500 $5,400 $3,500 $3,500 $1,800 $1,800 $5,600 $3,500 $10,800 $900 $2,500

$18,000 $18,000 $18,000 $18,000

SettlementAmount


POCA

$5,000 $5,000 $5,000 $2,500 $2,500 $5,000 $5,000 $2,500 $2,500 $7,500 $5,000 $5,000 $2,000 $8,000 $3,000 $1,000 $5,000 $5,000 $10,000 $5,000 $5,000 $5,000 $5,000 $1,000 $2,500 $7,500 $5,000 $5,000 $5,000 $2,500 $5,000 $5,000 $9,500 $5,000 $9,500 $7,500 $5,000 $5,000 $2,500 $2,500 $7,500 $5,000 $12,000 $1,000 $2,500

$25,000 $25,000 $25,000 $25,000


60

SLRG 2017-12(TS)SLRG 2017-13(HSR)SLRG 2017-14(TS)SLRG 2017-15(TS)SLRG 2017-16(TS)SLRG 2017-17(TS)SLRG 2018-1(GC)SLRG 2018-2(GC)SLRG 2018-3(GC)SLRG 2018-4(TS)SLRG 2018-5(TS)SLRG 2018-6(TS)SLWC 2017-1(SA)SLWC 2017-2(LI)SLWC 2017-3(LI)SLWC 2017-4(LI)SLWC 2017-5(TS)SLWC 2017-6(TS)SLWC 2017-7(TS)SLWC 2017-8(TS)SLWC 2017-9(TS)SM 2017-1(GC)SMRT 2017-1(GC)SMRT 2017-3(GC)SMRT 2018-2(GC)SNC 2016-5(SA)SOU 2014-181(FCS)SOU 2014-238(FCS)SOU 2017-34(GC)SOU 2017-35(GC)SOU 2017-36(GC)SOU 2017-37(GC)SOU 2017-38(GC)SOU 2017-39(GC)SOU 2017-40(GC)SOU 2017-41(GC)SOU 2017-42(GC)SOU 2017-43(GC)SOU 2017-44(GC)SOU 2017-56(LI)SOU 2017-58(TS)SOU 2017-60(TS)SOU 2017-62(RW)SOU 2017-63(SA)SOU 2017-64(AR)SOU 2017-65(EP)SOU 2017-66(HMT)SOU 2017-67(SI)SOU 2017-68(SA)

FRA No.

04/25/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/201804/25/201809/24/201809/24/201809/24/201809/24/201809/24/201809/24/201809/24/201809/24/201809/24/201805/21/201805/23/201805/23/201802/08/201804/25/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


611111111213101111113121121112111111111114211111311

No. ofViolations

$9,000 $1,000 $5,000 $2,500 $5,000 $2,500 $1,000 $1,000 $12,000 $5,000 $15,000 $25,000 $10,000 $2,500 $2,500 $2,500 $5,000 $1,000 $6,000 $2,500 $5,000 $1,000 $2,500 $3,500 $2,500 $5,000 $2,500 $4,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $4,000 $5,000 $2,500 $5,000 $5,000 $1,000 $1,000 $15,000 $2,500 $5,000

PRCA

$6,800 $920 $3,800 $1,800 $3,950 $1,800 $920 $900 $10,800 $3,750 $11,400 $18,000 $8,000 $1,800 $2,000 $2,000 $3,500 $950 $4,275 $1,750 $3,250 $1,000 $2,500 $3,500 $2,500 $3,650 $1,325 $2,700 $839 $839 $839 $839 $839 $839 $839 $839 $839 $839 $839 $3,356 $3,900 $1,950 $5,000 $3,500 $875 $875 $11,250 $1,800 $3,500

SettlementAmount


POCA

$9,000 $1,000 $5,000 $2,500 $5,000 $2,500 $1,000 $1,000 $12,000 $5,000 $15,000 $25,000 $10,000 $2,500 $2,500 $2,500 $5,000 $1,000 $6,000 $2,500 $5,000 $1,000 $2,500 $3,500 $2,500 $5,000 $2,500 $4,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $4,000 $5,000 $2,500 $5,000 $5,000 $1,000 $1,000 $15,000 $2,500 $5,000

61

SOU 2017-69(SA)SOU 2017-70(FCS)SOU 2017-71(FCS)SOU 2017-72(FCS)SOU 2017-73(FCS)SOU 2017-74(TS)SOU 2017-75(TS)SOU 2017-76(TS)SOU 2017-77(LI)SOU 2017-78(LI)SOU 2017-79(TS)SOU 2017-80(FCS)SOU 2017-81(FCS)SOU 2017-82(SA)SOU 2017-83(SA)SOU 2017-84(SA)SOU 2017-85(SA)SOU 2017-86(SA)SOU 2017-87(ROP)SOU 2017-88(SA)SOU 2017-89(SA)SOU 2017-90(AR)SOU 2017-91(AR)

SOU 2017-92(ROP)SOU 2017-93(FCS)SOU 2017-94(SA)SOU 2017-95(ROP)SOU 2017-96(SA)SOU 2017-97(SA)SOU 2017-98(AR)SOU 2017-99(AR)

SOU 2017-100(AR)SOU 2017-102(AR)SOU 2017-103(ROP)SOU 2017-104(HS)SOU 2017-105(HS)SOU 2017-106(HS)SOU 2017-107(HS)SOU 2017-108(AR)SOU 2017-109(ROP)SOU 2017-110(RW)SOU 2017-111(TS)SOU 2017-113(LI)SOU 2017-114(LI)SOU 2017-115(HMT)SOU 2017-116(HMT)SOU 2017-117(TS)SOU 2017-118(HS)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


11211133111111111111111

11112111

11111111112111111

No. ofViolations

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

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

$1,000 $1,000 $2,000 $1,000 $1,000 $1,000 $1,000 $1,000 $5,000 $5,000 $6,000 $2,500 $2,500 $1,000 $4,000 $5,000 $1,000

PRCA

$1,825 $1,800 $3,500 $1,825 $1,825 $3,750 $4,650 $7,500 $1,700 $1,825 $839 $1,825 $1,825 $3,650 $3,550 $3,500 $3,500 $3,500 $5,700 $3,750 $3,550 $875 $853

$6,225 $1,825 $1,825 $4,250 $5,175 $3,500 $875 $875

$875 $875 $1,650 $853 $853 $853 $853 $875 $4,150 $4,500 $4,650 $1,375 $1,700 $750 $2,550 $4,000 $853

SettlementAmount


POCA

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

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

$1,000 $1,000 $2,000 $1,000 $1,000 $1,000 $1,000 $1,000 $5,000 $5,000 $6,000 $2,500 $2,500 $1,000 $4,000 $5,000 $1,000



62

SOU 2017-119(AR)

SOU 2017-120(AR)SOU 2017-121(ROP)SOU 2017-122(AR)SOU 2017-123(SA)SOU 2017-124(SA)SOU 2017-125(SA)SOU 2017-126(SA)SOU 2017-127(ROP)SOU 2017-128(LI)SOU 2017-129(ROP)SOU 2017-130(SA)SOU 2017-131(SA)SOU 2017-132(AR)SOU 2017-133(SA)SOU 2017-134(SA)SOU 2017-135(AR)

SOU 2017-136(SA)SOU 2017-137(AR)SOU 2017-138(SA)SOU 2017-139(SA)SOU 2017-140(SA)SOU 2017-141(SA)SOU 2017-142(FCS)SOU 2017-143(SA)SOU 2017-144(SA)SOU 2017-145(SA)SOU 2017-146(AR)SOU 2017-147(AR)SOU 2017-148(AR)SOU 2017-149(ROP)SOU 2017-150(FCS)SOU 2017-151(SA)SOU 2017-152(SA)SOU 2017-153(SA)SOU 2017-154(ROP)SOU 2017-155(ROP)SOU 2017-157(TS)SOU 2017-158(GC)SOU 2017-159(GC)SOU 2017-160(RW)SOU 2017-161(HMT)SOU 2017-162(LI)SOU 2017-163(TS)SOU 2017-164(GC)SOU 2017-165(GC)SOU 2017-166(RW)SOU 2017-167(GC)

FRA No.

09/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1

1111111111121111

1111111111111111111111111311111

No. ofViolations

$2,500

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

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

PRCA

$875

$875 $4,050 $853 $3,500 $1,825 $1,825 $1,825 $5,850 $1,700 $4,050 $1,825 $3,400 $875 $3,500 $1,775 $875

$3,600 $853 $3,650 $1,875 $1,875 $1,875 $1,825 $7,250 $1,800 $3,650 $853 $853 $853 $4,050 $1,825 $3,500 $3,500 $3,500 $6,000 $6,225 $1,825 $4,100 $4,100 $2,725 $4,000 $6,900 $1,825 $853 $2,175 $853 $4,250

SettlementAmount


POCA

$1,000

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

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



63

SOU 2017-168(TS)SOU 2017-169(LI)SOU 2017-170(LI)SOU 2017-171(TS)SOU 2017-172(TS)SOU 2017-173(TS)SOU 2017-174(TS)SOU 2017-175(HS)SOU 2017-176(HS)SOU 2017-177(HS)SOU 2017-178(HS)SOU 2017-179(HS)SOU 2017-180(HS)SOU 2017-181(HMT)SOU 2017-182(SA)SOU 2017-184(SA)SOU 2017-185(SA)SOU 2017-186(SA)SOU 2017-187(SA)SOU 2017-188(FCS)SOU 2017-189(FCS)SOU 2017-190(FCS)SOU 2017-191(SA)SOU 2017-192(SA)SOU 2017-193(SA)SOU 2017-194(SA)SOU 2017-195(FCS)SOU 2017-196(SA)SOU 2017-197(SA)SOU 2017-198(SA)SOU 2017-199(SA)SOU 2017-200(GC)SOU 2017-201(ROP)SOU 2017-202(TS)SOU 2017-203(TS)SOU 2017-204(FCS)SOU 2017-205(TS)SOU 2017-206(TS)SOU 2017-207(SA)SOU 2017-208(SA)SOU 2017-209(FCS)SOU 2017-210(FCS)SOU 2017-211(LI)SOU 2017-212(LI)SOU 2017-213(LI)SOU 2017-214(SA)SOU 2017-215(SI)SOU 2017-216(ROP)SOU 2017-217(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


11112121111111111111111111111111111120211112111111

No. ofViolations

$2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $6,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $2,000 $2,500 $5,000 $5,000 $37,000 $2,000 $2,500 $2,500 $5,000 $5,000 $4,000 $2,500 $2,500 $5,000 $1,000 $7,500 $2,500

PRCA

$1,875 $1,800 $1,800 $1,875 $3,750 $3,650 $4,550 $853 $853 $853 $853 $853 $853 $500 $3,750 $3,500 $3,500 $1,825 $1,825 $1,875 $1,850 $1,825 $3,500 $3,500 $3,500 $1,825 $1,825 $1,825 $3,750 $3,650 $3,650 $2,175 $1,700 $2,000 $3,650 $3,450 $27,000 $1,550 $1,875 $1,825 $3,400 $0 $2,625 $1,950 $1,800 $3,500 $950 $6,375 $1,825

SettlementAmount


POCA

$2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $6,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $2,000 $2,500 $5,000 $5,000 $37,000 $2,000 $2,500 $2,500 $5,000 $0 $4,000 $2,500 $2,500 $5,000 $1,000 $7,500 $2,500

Case Terminated.

64

SOU 2017-218(SA)SOU 2017-219(FCS)SOU 2017-220(LI)SOU 2017-221(LI)SOU 2017-222(LI)SOU 2017-223(LI)SOU 2017-224(HMT)SOU 2017-225(HMT)SOU 2017-226(LI)SOU 2017-227(TS)SOU 2017-228(TS)SOU 2017-229(LI)SOU 2017-230(SA)SOU 2017-231(SI)SOU 2017-232(FCS)SOU 2017-233(FCS)SOU 2017-234(ROP)SOU 2017-235(SA)SOU 2017-236(SA)SOU 2017-237(ROP)SOU 2017-238(ROP)SOU 2017-239(AR)SOU 2017-240(ROP)SOU 2017-241(ROP)SOU 2017-242(AR)SOU 2017-243(CC)SOU 2017-244(TS)SOU 2017-245(TS)SOU 2017-246(TS)SOU 2017-247(SA)SOU 2017-248(SA)SOU 2017-249(SA)SOU 2017-250(FCS)SOU 2017-251(FCS)SOU 2017-252(HMT)SOU 2017-253(LI)SOU 2017-254(GC)

SOU 2017-255(LI)SOU 2017-256(TS)SOU 2017-257(SA)SOU 2017-258(SA)SOU 2017-259(SA)SOU 2017-260(HMT)SOU 2017-261(LI)SOU 2017-262(SA)SOU 2017-263(LI)SOU 2017-264(LI)SOU 2017-265(SA)SOU 2017-266(RW)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111111131111111111111111151111216

111114111111

No. ofViolations

$2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $6,000 $2,000 $2,500 $5,000 $2,500 $4,500 $2,500 $1,000 $5,000 $2,500 $2,000 $5,000 $5,000 $5,000 $5,000 $1,000 $9,500 $9,500 $1,000 $1,000 $5,000 $2,500 $5,000 $20,000 $5,000 $5,000 $2,500 $2,500 $7,000 $2,500 $30,000

$2,500 $2,500 $2,500 $2,500 $5,000 $26,500 $2,500 $5,000 $1,500 $2,500 $2,500 $2,000

PRCA

$1,700 $1,850 $1,800 $1,950 $1,800 $1,800 $4,600 $1,625 $1,800 $3,900 $1,925 $3,456 $1,875 $950 $3,425 $1,900 $0 $5,000 $3,650 $4,250 $4,250 $853 $7,950 $7,950 $0 $875 $3,800 $1,925 $3,900 $13,800 $3,650 $3,550 $1,825 $1,825 $5,275 $1,825 $10,000

$2,050 $2,000 $1,825 $1,825 $3,650 $19,700 $1,700 $3,500 $1,200 $1,825 $1,775 $853

SettlementAmount


POCA

$2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $6,000 $2,000 $2,500 $5,000 $2,500 $4,500 $2,500 $1,000 $5,000 $2,500 $0 $5,000 $5,000 $5,000 $5,000 $1,000 $9,500 $9,500 $0 $1,000 $5,000 $2,500 $5,000 $20,000 $5,000 $5,000 $2,500 $2,500 $7,000 $2,500 $10,000

$2,500 $2,500 $2,500 $2,500 $5,000 $26,500 $2,500 $5,000 $1,500 $2,500 $2,500 $2,000

Case Terminated.

Case Terminated.


65

SOU 2017-267(TS)SOU 2017-268(TS)SOU 2017-269(LI)SOU 2017-270(SA)SOU 2017-271(SA)SOU 2017-272(SA)SOU 2017-273(HMT)SOU 2017-274(TS)SOU 2017-275(HMT)SOU 2017-276(SI)SOU 2017-277(SA)SOU 2017-278(TS)SOU 2017-279(TS)SOU 2017-280(TS)SOU 2017-281(HMT)SOU 2017-282(GC)SOU 2017-283(SA)SOU 2017-284(SA)

SOU 2017-285(SA)SOU 2017-286(SA)SOU 2017-287(SA)SOU 2017-288(LI)SOU 2017-289(AR)SOU 2017-290(AR)SOU 2017-291(AR)SOU 2017-292(AR)SOU 2017-293(AR)SOU 2017-294(ROP)SOU 2017-295(SA)

SOU 2017-296(SA)SOU 2017-297(SI)SOU 2017-298(SA)SOU 2017-299(TS)SOU 2017-300(SA)SOU 2017-301(FCS)SOU 2017-302(RW)SOU 2017-303(SA)SOU 2017-304(TS)SOU 2017-305(SA)SOU 2017-306(SA)SOU 2017-307(SA)SOU 2017-308(SA)SOU 2017-309(SA)SOU 2017-310(TS)SOU 2017-311(SI)SOU 2017-312(FCS)SOU 2017-313(HMT)SOU 2017-314(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


111131121111111111

11111111111

1111111111111111111

No. ofViolations

$2,500 $5,000 $2,500 $2,500 $12,500 $2,500 $3,000 $5,000 $3,000 $2,500 $5,000 $2,500 $2,500 $2,500 $5,000 $1,000 $2,500 $5,000

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

$5,000 $2,500 $5,000 $2,500 $5,000 $2,500 $2,000 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $5,000 $1,000 $2,500 $4,000 $5,000

PRCA

$2,000 $3,900 $1,825 $1,825 $9,375 $2,050 $1,725 $3,900 $1,725 $1,950 $3,700 $2,000 $2,000 $2,000 $4,000 $853 $1,825 $2,000

$3,700 $1,825 $3,900 $1,700 $853 $853 $853 $853 $853 $0 $1,900

$3,650 $1,950 $3,650 $2,050 $3,650 $1,825 $1,600 $1,825 $2,050 $1,825 $3,650 $3,650 $3,650 $1,825 $3,800 $900 $1,850 $2,900 $3,650

SettlementAmount


POCA

$2,500 $5,000 $2,500 $2,500 $12,500 $2,500 $3,000 $5,000 $3,000 $2,500 $5,000 $2,500 $2,500 $2,500 $5,000 $1,000 $2,500 $2,500

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

$5,000 $2,500 $5,000 $2,500 $5,000 $2,500 $2,000 $2,500 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $5,000 $1,000 $2,500 $4,000 $5,000


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

66

SOU 2017-315(LI)SOU 2017-316(SA)SOU 2017-317(SA)SOU 2017-318(SI)SOU 2017-319(SA)SOU 2017-320(EQ)SOU 2017-321(SA)SOU 2017-322(ROP)SOU 2017-323(AD)SOU 2017-324(AD)SOU 2017-325(SI)SOU 2017-326(SA)SOU 2017-327(FCS)SOU 2017-328(ROP)SOU 2017-329(SA)SOU 2017-330(GC)SOU 2017-331(GC)SOU 2017-332(SI)SOU 2017-333(SA)SOU 2017-334(SA)SOU 2017-335(SA)SOU 2017-336(FCS)SOU 2017-337(FCS)SOU 2017-338(LI)SOU 2017-339(LI)SOU 2017-340(LI)

SOU 2017-341(LI)SOU 2017-342(GC)SOU 2017-343(SA)SOU 2017-344(FCS)SOU 2017-345(FCS)SOU 2017-346(SA)SOU 2017-347(SA)SOU 2017-348(LI)SOU 2017-349(LI)SOU 2017-350(GC)SOU 2017-351(GC)SOU 2017-352(SA)SOU 2017-353(ROP)SOU 2017-354(SA)SOU 2017-355(SA)SOU 2017-356(FCS)SOU 2017-357(FCS)SOU 2017-358(LI)SOU 2017-359(LI)SOU 2017-360(SA)SOU 2017-361(FCS)SOU 2017-362(LI)SOU 2017-363(LI)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


11111111111111111121111124

11111111111121411111111

No. ofViolations

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

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

PRCA

$1,950 $3,650 $3,700 $1,950 $3,650 $3,100 $3,700 $4,150 $1,475 $875 $1,800 $1,825 $3,425 $6,375 $3,650 $4,000 $4,350 $1,800 $7,000 $3,650 $3,200 $1,825 $1,825 $1,825 $3,550 $4,850

$2,050 $4,100 $1,825 $1,825 $1,825 $1,800 $1,825 $2,050 $1,900 $4,250 $4,250 $1,825 $7,800 $1,800 $14,200 $1,825 $1,825 $1,800 $1,800 $1,825 $1,825 $1,850 $1,800

SettlementAmount


POCA

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

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


67

SOU 2017-364(ROP)SOU 2017-365(LI)SOU 2017-366(FCS)SOU 2017-367(FCS)SOU 2017-368(SA)SOU 2017-369(SA)SOU 2017-370(SA)SOU 2017-371(SA)SOU 2017-372(SA)SOU 2017-373(HMT)SOU 2017-374(HMT)SOU 2017-375(GC)SOU 2017-376(GC)SOU 2017-377(TS)SOU 2017-378(TS)SOU 2017-379(TS)SOU 2017-380(LI)SOU 2017-381(SA)SOU 2017-382(ROP)SOU 2017-383(ROP)SOU 2017-384(ROP)SOU 2017-385(SA)SOU 2017-386(HMT)SOU 2017-387(SA)SOU 2017-388(AD)SOU 2017-389(LI)SOU 2017-390(GC)SOU 2017-391(ROP)SOU 2017-392(SA)SOU 2017-393(ROP)SOU 2017-394(HSR)SOU 2017-395(AR)SOU 2017-396(HS)SOU 2017-397(SA)SOU 2017-398(LI)SOU 2017-399(SA)SOU 2017-400(HMT)SOU 2017-401(ROP)SOU 2017-402(FCS)SOU 2017-403(SA)SOU 2017-404(SA)SOU 2017-405(SA)SOU 2017-406(FCS)SOU 2017-407(SA)SOU 2018-1(FCS)SOU 2018-2(AR)SOU 2018-3(AR)SOU 2018-4(ROP)SOU 2018-5(ROP)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111114111123111121111111111111112111111111111

No. ofViolations

$9,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $2,500 $26,500 $4,000 $5,000 $5,000 $2,500 $5,000 $7,500 $2,500 $2,500 $2,000 $2,000 $4,000 $5,000 $2,000 $5,000 $2,500 $2,500 $1,000 $7,500 $5,000 $7,500 $1,000 $1,000 $1,000 $5,000 $2,500 $2,500 $12,500 $7,500 $2,500 $5,000 $2,500 $5,000 $2,500 $2,500 $2,500 $1,000 $1,000 $7,500 $5,000

PRCA

$8,075 $2,050 $1,825 $1,825 $1,825 $1,825 $1,825 $0 $1,700 $19,650 $4,000 $4,750 $0 $1,825 $3,900 $5,625 $1,575 $1,825 $1,650 $1,650 $3,200 $3,650 $1,650 $3,550 $1,750 $1,825 $853 $5,850 $3,650 $5,850 $853 $875 $853 $3,550 $1,650 $1,825 $7,450 $6,375 $1,825 $3,650 $1,825 $3,650 $1,825 $1,825 $1,825 $875 $875 $6,225 $4,150

SettlementAmount


POCA

$9,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $0 $2,500 $26,500 $4,000 $5,000 $0 $2,500 $5,000 $7,500 $2,500 $2,500 $2,000 $2,000 $4,000 $5,000 $2,000 $5,000 $2,500 $2,500 $1,000 $7,500 $5,000 $7,500 $1,000 $1,000 $1,000 $5,000 $2,500 $2,500 $12,500 $7,500 $2,500 $5,000 $2,500 $5,000 $2,500 $2,500 $2,500 $1,000 $1,000 $7,500 $5,000

Case Terminated.

Case Terminated.

68

SOU 2018-6(FCS)SOU 2018-7(SA)SOU 2018-8(SA)SOU 2018-9(SA)SOU 2018-10(SA)SOU 2018-11(SA)SOU 2018-12(SA)SOU 2018-13(LI)SOU 2018-14(LI)SOU 2018-15(SA)SOU 2018-16(SA)SOU 2018-17(SA)SOU 2018-18(LI)SOU 2018-19(SA)SOU 2018-20(SA)SOU 2018-21(AR)SOU 2018-22(FCS)SOU 2018-23(LI)SOU 2018-24(LI)SOU 2018-25(SA)SOU 2018-26(SA)SOU 2018-27(TS)SOU 2018-28(GC)SOU 2018-29(ROP)SOU 2018-30(HMT)SOU 2018-31(HMT)SOU 2018-32(SA)SOU 2018-33(SA)SOU 2018-34(LI)SOU 2018-35(LI)SOU 2018-36(LI)SOU 2018-37(SA)SOU 2018-38(FCS)SOU 2018-39(HS)SOU 2018-40(HS)SOU 2018-41(HS)SOU 2018-42(HS)SOU 2018-43(HS)SOU 2018-44(ROP)SOU 2018-45(AR)SOU 2018-46(HS)SOU 2018-47(HS)SOU 2018-48(ROP)SOU 2018-49(FCS)SOU 2018-50(FCS)SOU 2018-51(FCS)SOU 2018-52(FCS)SOU 2018-53(SA)SOU 2018-54(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111111111111111211112111222111111111111111111

No. ofViolations

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

PRCA

$3,425 $3,550 $3,550 $3,650 $3,650 $3,650 $3,650 $2,050 $1,850 $3,650 $1,900 $3,400 $900 $1,825 $3,650 $853 $1,825 $853 $1,900 $0 $3,700 $2,050 $4,150 $6,375 $11,700 $1,550 $3,650 $3,450 $3,550 $3,900 $3,550 $1,800 $1,850 $853 $853 $853 $853 $853 $1,650 $875 $853 $853 $2,700 $1,825 $1,825 $1,825 $1,825 $3,650 $1,825

SettlementAmount


POCA

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

Case Terminated.

69

SOU 2018-55(SA)SOU 2018-56(SA)SOU 2018-57(SA)SOU 2018-58(HSR)SOU 2018-59(LI)SOU 2018-60(SI)SOU 2018-61(ROP)SOU 2018-62(SA)SOU 2018-63(SA)SOU 2018-64(SA)SOU 2018-65(SA)SOU 2018-66(SA)SOU 2018-67(SA)SOU 2018-68(SA)SOU 2018-69(SA)SOU 2018-70(SA)SOU 2018-71(FCS)SOU 2018-72(SA)SOU 2018-73(SA)SOU 2018-74(SA)SOU 2018-75(SI)SOU 2018-76(ROP)SOU 2018-77(ROR)SOU 2018-78(LI)SOU 2018-79(HMT)SOU 2018-80(LI)SOU 2018-81(EP)SOU 2018-82(LI)SOU 2018-83(ROP)SOU 2018-84(FCS)SOU 2018-85(SA)SOU 2018-86(SA)SOU 2018-88(TS)SOU 2018-89(TS)SOU 2018-90(SA)SOU 2018-91(FCS)SOU 2018-92(LI)SOU 2018-93(SI)SOU 2018-94(LI)SOU 2018-95(TS)SOU 2018-96(TS)SOU 2018-97(FCS)SOU 2018-98(ROP)SOU 2018-99(HMT)SOU 2018-100(SA)SOU 2018-101(SA)SOU 2018-103(SA)SOU 2018-104(SA)SOU 2018-105(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111111112111111113212111411112111111111111111

No. ofViolations

$5,000 $5,000 $5,000 $1,000 $2,500 $5,000 $7,500 $5,000 $2,500 $2,500 $2,500 $2,500 $7,500 $2,500 $5,000 $5,000 $5,000 $5,000 $2,500 $5,000 $2,500 $15,000 $19,000 $2,500 $4,000 $2,500 $1,000 $2,500 $8,000 $2,500 $2,500 $2,500 $2,500 $10,000 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $2,500 $2,000 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000

PRCA

$3,450 $3,450 $3,450 $853 $1,950 $3,600 $6,375 $3,550 $1,800 $1,825 $1,825 $1,825 $5,275 $1,825 $3,650 $3,525 $3,425 $3,550 $1,825 $3,550 $1,950 $12,450 $15,200 $1,950 $2,750 $1,825 $853 $1,825 $6,225 $1,825 $1,900 $1,800 $0 $7,500 $1,800 $1,825 $1,950 $1,950 $1,950 $3,900 $4,150 $1,900 $1,650 $3,650 $2,050 $1,800 $3,650 $3,650 $3,650

SettlementAmount


POCA

$5,000 $5,000 $5,000 $1,000 $2,500 $5,000 $7,500 $5,000 $2,500 $2,500 $2,500 $2,500 $7,500 $2,500 $5,000 $5,000 $5,000 $5,000 $2,500 $5,000 $2,500 $15,000 $19,000 $2,500 $4,000 $2,500 $1,000 $2,500 $8,000 $2,500 $2,500 $2,500 $0 $10,000 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $2,500 $2,000 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000

Case Terminated.

70

SOU 2018-106(GC)SOU 2018-107(LI)SOU 2018-108(LI)SOU 2018-109(HMT)SOU 2018-110(RSP)SOU 2018-111(GC)SOU 2018-112(GC)SRN 2017-1(SA)SS 2016-1(TS)SS 2016-2(RW)SS 2016-3(TS)ST 2017-4(SA)ST 2017-5(ROP)ST 2017-6(LI)ST 2017-7(SA)ST 2017-8(AD)ST 2017-9(AD)ST 2017-10(SA)ST 2018-1(RSP)ST 2018-2(SA)ST 2018-3(SA)STE 2018-1(HSR)SW 2016-18(HSR)SW 2016-20(HS)SW 2016-21(HS)SW 2016-23(ROP)SW 2016-24(ROP)SW 2016-25(ROP)SW 2016-26(ROR)SW 2016-27(ROP)SW 2016-28(SA)SW 2016-29(HMT)SW 2016-30(AR)SW 2016-31(AR)SW 2016-32(HMT)SW 2016-33(TS)SW 2016-34(TS)SYSI 2017-1(LI)TASD 2011-6(RW)TASD 2012-1(SA)TASD 2012-2(SA)TASD 2012-3(SA)TASD 2012-4(AD)TASD 2015-2(SA)TASD 2017-1(TS)TASD 2017-2(SA)

TASD 2017-3(SA)

TASD 2017-4(ROP)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201805/23/201802/08/201802/08/201802/08/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/11/201809/18/201804/23/201804/23/201804/23/201804/23/201804/23/201804/23/201804/23/201804/23/201804/23/201804/23/201804/23/201804/23/201804/23/201804/23/201804/23/201805/24/201801/25/201801/25/201801/25/201801/25/201801/25/201801/24/201801/24/201801/24/2018

01/24/2018

01/24/2018


1111111131211111111111131111511111142111342211

1

1

No. ofViolations

$5,000 $2,500 $2,000 $5,000 $9,500 $5,000 $2,500 $5,000 $3,000 $3,000 $2,000 $5,000 $7,500 $2,500 $5,000 $5,000 $2,500 $5,000 $5,000 $5,000 $2,500 $1,000 $1,000 $3,000 $1,000 $2,000 $2,000 $7,500 $47,500 $7,500 $5,000 $5,000 $1,000 $1,000 $7,500 $4,000 $5,000 $2,500 $3,000 $5,000 $15,000 $10,000 $7,500 $10,000 $2,500 $5,000

$7,500

$7,500

PRCA

$4,150 $1,800 $1,650 $2,650 $8,550 $4,350 $2,225 $5,000 $1,950 $2,400 $1,300 $4,500 $6,500 $1,850 $3,850 $4,000 $2,000 $3,850 $3,750 $3,850 $1,925 $853 $650 $1,950 $650 $1,400 $1,400 $5,250 $30,875 $4,875 $3,500 $3,500 $839 $839 $5,250 $3,356 $3,000 $1,625 $0 $0 $0 $0 $0 $7,000 $2,200 $2,500

$5,000

$4,500

SettlementAmount


POCA

$5,000 $2,500 $2,000 $5,000 $9,500 $5,000 $2,500 $5,000 $3,000 $3,000 $2,000 $5,000 $7,500 $2,500 $5,000 $5,000 $2,500 $5,000 $5,000 $5,000 $2,500 $1,000 $1,000 $3,000 $1,000 $2,000 $2,000 $7,500 $47,500 $7,500 $5,000 $5,000 $1,000 $1,000 $7,500 $4,000 $5,000 $2,500 $0 $0 $0 $0 $0 $10,000 $2,500 $2,500

$5,000

$7,500

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


71

TIBR 2017-2(TS)TMBL 2017-1(SA)TMBL 2017-2(FCS)TMBL 2017-3(SA)TMBL 2017-4(SA)TMBL 2017-5(SA)TMBL 2017-6(SA)TMBL 2017-7(FCS)TMBL 2017-8(FCS)TMBL 2017-9(FCS)TMBL 2017-10(FCS)TNMR 2015-13(AR)TNMR 2015-14(TS)TNMR 2015-15(TS)TNMR 2016-17(AR)TPW 2018-1(LI)TPW 2018-2(LI)TRC 2016-1(GC)TRMW 2018-1(ROP)TRRA 2013-1(SA)TRRA 2014-4(GC)TRRA 2014-5(GC)TRRA 2015-2(AD)TRRA 2017-3(ROP)TRRA 2018-1(FCS)TRRA 2018-2(FCS)TRRA 2018-3(EQ)TRRA 2018-4(FCS)TRRA 2018-5(AD)TSR 2016-1(AR)TSRR 2011-1(TS)TSRR 2012-1(TS)TSWS 2017-1(SA)TXN 2015-2(AR)TXN 2015-3(TS)TXN 2015-4(TS)TXN 2018-1(ROP)TXN 2018-2(GC)TXNW 2018-1(HMT)UFRC 2017-5(SI)UFRC 2017-6(AD)UFRC 2017-7(GC)UP 2015-266(TS)UP 2015-350(EP)UP 2015-386(ROP)UP 2016-63(TS)UP 2016-305(GC)UP 2016-426(TS)UP 2016-719(SA)

FRA No.

09/24/201810/03/201710/03/201710/03/201710/03/201705/01/201805/01/201805/01/201805/01/201805/01/201805/01/201803/26/201803/26/201803/26/201804/25/201809/27/201809/27/201803/29/201805/01/201811/17/201711/17/201711/17/201701/31/201811/17/201705/03/201805/03/201805/14/201808/24/201808/16/201804/25/201811/14/201711/14/201701/12/201809/24/201809/24/201809/24/201809/24/201809/24/201808/24/201812/12/201701/11/201803/20/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


23121211111111111113111111111121111111122111110151

No. ofViolations

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

PRCA

$5,000 $7,400 $1,400 $6,850 $1,350 $2,500 $1,250 $1,250 $2,500 $2,500 $2,500 $0 $0 $0 $1,500 $1,950 $1,950 $1,000 $3,750 $7,000 $4,000 $2,000 $3,000 $5,500 $3,000 $3,000 $2,500 $2,500 $2,500 $1,500 $1,300 $650 $5,000 $900 $3,000 $1,900 $4,750 $2,000 $3,250 $2,000 $3,500 $2,500 $5,110 $650 $0 $7,500 $3,750 $9,375 $0

SettlementAmount


POCA

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


Case Terminated.Case Terminated.Case Terminated.

Case Terminated.

Case Terminated.

72

UP 2016-757(SA)UP 2016-817(EQ)UP 2016-823(SI)UP 2016-984(SA)UP 2016-1080(GC)UP 2016-1110(HMT)UP 2017-15(TS)UP 2017-44(HMT)UP 2017-54(LI)UP 2017-59(TS)UP 2017-64(FCS)UP 2017-69(SA)UP 2017-74(SA)UP 2017-79(FCS)UP 2017-84(FCS)UP 2017-89(SA)UP 2017-94(SA)UP 2017-99(SA)UP 2017-104(SA)UP 2017-109(SA)UP 2017-110(SA)UP 2017-114(HS)UP 2017-115(HS)UP 2017-119(SA)UP 2017-120(EP)UP 2017-124(SA)UP 2017-125(SA)UP 2017-129(SA)UP 2017-130(SA)UP 2017-134(TS)UP 2017-139(TS)UP 2017-140(TS)UP 2017-144(RW)UP 2017-149(SA)UP 2017-150(SA)UP 2017-154(TS)UP 2017-155(TS)UP 2017-159(TS)UP 2017-160(ROP)UP 2017-164(GC)UP 2017-165(HS)UP 2017-169(SI)UP 2017-170(SI)UP 2017-174(SA)UP 2017-175(SA)UP 2017-179(SA)UP 2017-184(LI)UP 2017-185(LI)UP 2017-189(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


10181110311111111111111121111111610321111111211111111

No. ofViolations

$25,000 $5,000 $20,000 $2,500 $5,000 $75,000 $15,000 $7,500 $2,500 $2,500 $5,000 $2,500 $5,000 $2,500 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500 $5,000 $1,000 $2,000 $5,000 $1,000 $5,000 $5,000 $2,500 $5,000 $40,000 $10,000 $7,500 $4,000 $5,000 $5,000 $5,000 $5,000 $2,500 $9,500 $2,500 $2,000 $1,000 $2,500 $5,000 $2,500 $5,000 $2,500 $2,500 $5,000

PRCA

$18,750 $3,750 $15,400 $1,875 $3,750 $56,250 $10,950 $6,000 $1,875 $1,875 $3,750 $1,875 $3,750 $1,875 $1,875 $3,750 $1,875 $1,875 $1,875 $1,875 $3,750 $853 $1,706 $3,750 $853 $3,750 $3,750 $1,875 $3,750 $32,000 $8,000 $5,625 $3,000 $3,750 $3,750 $3,750 $3,750 $1,875 $7,005 $1,875 $1,706 $853 $1,825 $3,750 $1,875 $3,750 $1,875 $1,875 $3,750

SettlementAmount


POCA

$25,000 $5,000 $20,000 $2,500 $5,000 $75,000 $15,000 $7,500 $2,500 $2,500 $5,000 $2,500 $5,000 $2,500 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500 $5,000 $1,000 $2,000 $5,000 $1,000 $5,000 $5,000 $2,500 $5,000 $40,000 $10,000 $7,500 $4,000 $5,000 $5,000 $5,000 $5,000 $2,500 $9,500 $2,500 $2,000 $1,000 $2,500 $5,000 $2,500 $5,000 $2,500 $2,500 $5,000

73

UP 2017-190(FCS)UP 2017-194(FCS)UP 2017-195(FCS)UP 2017-199(ROP)UP 2017-200(SA)UP 2017-204(SI)UP 2017-205(SI)UP 2017-209(SI)UP 2017-214(TS)UP 2017-215(TS)UP 2017-219(GC)UP 2017-220(HMT)UP 2017-224(HMT)UP 2017-225(HS)UP 2017-229(SA)UP 2017-230(SA)UP 2017-234(HS)UP 2017-235(SA)UP 2017-239(HMT)UP 2017-240(HMT)UP 2017-244(SA)UP 2017-245(SA)UP 2017-249(LI)UP 2017-250(HMT)UP 2017-254(TS)UP 2017-255(SA)UP 2017-259(AR)UP 2017-260(ROP)UP 2017-264(ROP)UP 2017-265(SA)UP 2017-270(SA)UP 2017-275(SA)UP 2017-279(FCS)UP 2017-280(FCS)UP 2017-284(HS)UP 2017-285(ROR)UP 2017-289(TS)UP 2017-290(GC)UP 2017-295(TS)UP 2017-299(ROP)UP 2017-300(ROP)UP 2017-304(SA)UP 2017-305(HMT)UP 2017-309(FCS)UP 2017-310(ROP)UP 2017-314(SA)UP 2017-315(SA)UP 2017-319(SA)UP 2017-320(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111131111211211111111111111111112181111121111

No. ofViolations

$2,500 $5,000 $2,500 $2,000 $5,000 $1,000 $2,500 $1,000 $7,500 $5,000 $5,000 $2,000 $2,000 $2,000 $5,000 $5,000 $5,000 $1,000 $2,000 $2,000 $2,500 $5,000 $2,500 $5,000 $2,500 $2,500 $1,000 $7,500 $2,000 $2,500 $2,500 $5,000 $2,500 $2,500 $1,000 $9,500 $7,500 $5,000 $16,000 $7,500 $9,500 $2,500 $4,000 $5,000 $4,000 $2,500 $2,500 $5,000 $2,500

PRCA

$1,875 $3,750 $1,875 $1,455 $3,750 $853 $1,825 $853 $5,625 $3,750 $3,750 $1,500 $1,500 $1,706 $3,750 $3,750 $0 $853 $1,500 $1,500 $1,875 $3,750 $1,875 $3,750 $1,875 $1,875 $853 $5,525 $1,250 $1,875 $1,875 $3,750 $1,875 $1,875 $0 $6,650 $5,625 $3,750 $12,000 $5,525 $7,005 $1,875 $3,000 $3,750 $2,500 $1,875 $1,875 $3,750 $1,875

SettlementAmount


POCA

$2,500 $5,000 $2,500 $2,000 $5,000 $1,000 $2,500 $1,000 $7,500 $5,000 $5,000 $2,000 $2,000 $2,000 $5,000 $5,000 $0 $1,000 $2,000 $2,000 $2,500 $5,000 $2,500 $5,000 $2,500 $2,500 $1,000 $7,500 $2,000 $2,500 $2,500 $5,000 $2,500 $2,500 $0 $9,500 $7,500 $5,000 $16,000 $7,500 $9,500 $2,500 $4,000 $5,000 $4,000 $2,500 $2,500 $5,000 $2,500

Case Terminated.

Case Terminated.

74

UP 2017-324(SA)UP 2017-325(SA)UP 2017-329(SA)UP 2017-330(SA)UP 2017-333(GC)UP 2017-334(HSR)UP 2017-335(GC)UP 2017-338(HSR)UP 2017-339(HSR)UP 2017-344(LI)UP 2017-348(TS)UP 2017-349(TS)UP 2017-352(TS)UP 2017-353(TS)UP 2017-354(RW)UP 2017-358(TS)UP 2017-360(AR)UP 2017-361(AR)UP 2017-365(FCS)UP 2017-366(SA)UP 2017-367(SA)UP 2017-370(SA)UP 2017-371(SA)UP 2017-372(SA)UP 2017-375(HS)UP 2017-376(FCS)UP 2017-377(ROR)UP 2017-380(SA)UP 2017-381(EP)UP 2017-382(TS)UP 2017-383(ROP)UP 2017-384(SA)UP 2017-385(ROP)UP 2017-386(HMT)UP 2017-387(SA)UP 2017-388(SA)UP 2017-389(SA)UP 2017-390(CC)UP 2017-391(CC)UP 2017-392(CC)UP 2017-393(CC)UP 2017-394(CC)UP 2017-395(SA)UP 2017-396(SA)UP 2017-397(SI)UP 2017-398(SI)UP 2017-399(SA)UP 2017-400(TS)UP 2017-401(TS)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111111112211311111111111111111111111111111121

No. ofViolations

$5,000 $5,000 $2,500 $2,500 $5,000 $1,000 $5,000 $1,000 $1,000 $2,500 $5,000 $2,500 $5,000 $7,500 $2,000 $2,500 $7,500 $2,500 $2,500 $5,000 $2,500 $2,500 $5,000 $2,500 $1,000 $2,500 $9,500 $2,500 $1,000 $5,000 $7,500 $5,000 $2,000 $7,500 $5,000 $5,000 $5,000 $4,000 $4,000 $4,000 $4,000 $4,000 $2,500 $5,000 $1,000 $1,000 $5,000 $10,000 $5,000

PRCA

$3,750 $3,750 $1,875 $1,875 $3,750 $853 $3,750 $853 $853 $1,875 $3,750 $1,875 $3,750 $5,625 $1,500 $1,875 $5,325 $1,875 $1,875 $3,750 $1,875 $1,875 $3,750 $1,875 $0 $1,875 $6,650 $1,875 $853 $3,750 $5,525 $3,750 $1,455 $5,625 $3,750 $3,750 $3,750 $3,000 $3,000 $3,000 $3,000 $3,000 $1,875 $3,750 $853 $853 $3,750 $7,500 $3,750

SettlementAmount


POCA

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

Case Terminated.

75

UP 2017-402(TS)UP 2017-403(TS)UP 2017-405(ROP)UP 2017-406(FCS)UP 2017-408(FCS)UP 2017-409(SA)UP 2017-411(SA)UP 2017-412(SA)UP 2017-413(SA)UP 2017-414(SA)UP 2017-415(SA)UP 2017-416(SA)UP 2017-417(SA)UP 2017-418(SA)UP 2017-419(SA)UP 2017-420(SA)UP 2017-421(SA)UP 2017-422(SA)UP 2017-423(HS)UP 2017-424(SA)UP 2017-425(SA)UP 2017-426(SA)UP 2017-427(ROP)UP 2017-428(ROP)UP 2017-429(ROP)UP 2017-430(ROP)UP 2017-431(SA)UP 2017-432(SA)UP 2017-433(SA)UP 2017-435(FCS)UP 2017-436(ROP)UP 2017-437(ROP)UP 2017-438(SA)UP 2017-439(SA)UP 2017-440(HSR)UP 2017-441(TS)UP 2017-442(LI)UP 2017-443(LI)UP 2017-444(LI)UP 2017-445(TS)UP 2017-446(LI)UP 2017-447(LI)UP 2017-448(RW)UP 2017-449(TS)UP 2017-450(TS)UP 2017-451(LI)UP 2017-452(LI)UP 2017-454(GC)UP 2017-455(GC)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111111111111112111111111111111111111111121111

No. ofViolations

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

PRCA

$1,875 $1,875 $7,125 $1,875 $1,875 $1,875 $7,500 $3,750 $1,875 $1,875 $1,875 $1,875 $3,750 $1,875 $1,875 $3,750 $3,750 $3,750 $1,706 $1,875 $3,750 $3,750 $5,525 $1,455 $5,525 $1,455 $3,750 $1,875 $1,875 $1,875 $5,525 $7,005 $1,875 $3,750 $853 $3,750 $1,500 $853 $1,875 $1,825 $853 $1,875 $1,500 $3,500 $7,300 $1,875 $1,875 $3,750 $3,750

SettlementAmount


POCA

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

76

UP 2017-456(GC)UP 2017-457(GC)UP 2017-458(TS)UP 2017-459(GC)UP 2017-460(SA)UP 2017-461(FCS)UP 2017-462(ROP)UP 2017-463(HMT)UP 2017-464(SA)UP 2017-465(FCS)UP 2017-466(ROP)UP 2017-467(SA)UP 2017-468(ROP)UP 2017-469(LI)UP 2017-470(LI)UP 2017-471(LI)UP 2017-472(RW)UP 2017-473(TS)UP 2017-474(TS)UP 2017-475(RW)UP 2017-476(TS)UP 2017-477(LI)UP 2017-478(GC)UP 2017-479(GC)UP 2017-480(TS)UP 2017-481(TS)UP 2017-482(HMT)UP 2017-483(GC)UP 2017-484(SA)UP 2017-485(SA)UP 2017-486(SA)UP 2017-487(SA)UP 2017-488(FCS)UP 2017-489(SA)UP 2017-490(SA)UP 2017-491(SA)UP 2017-492(SA)UP 2017-493(SA)UP 2017-494(ROP)UP 2017-495(ROP)UP 2017-496(SA)UP 2017-497(LI)UP 2017-498(LI)UP 2017-499(SA)UP 2017-500(SA)UP 2017-501(ROP)UP 2017-502(ROP)UP 2017-503(FCS)UP 2017-504(FCS)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


11111111111111111212111111121111111111111111111111

No. ofViolations

$5,000 $5,000 $35,000 $1,000 $2,500 $2,500 $9,500 $2,000 $5,000 $2,500 $2,000 $5,000 $7,500 $2,500 $1,000 $1,000 $4,500 $5,000 $5,000 $3,000 $5,000 $2,500 $5,000 $5,000 $2,500 $1,000 $6,000 $2,500 $2,500 $2,500 $5,000 $2,500 $5,000 $5,000 $5,000 $2,500 $5,000 $2,500 $9,500 $9,500 $5,000 $2,500 $2,500 $5,000 $5,000 $2,000 $2,000 $2,500 $2,500

PRCA

$3,750 $3,750 $28,000 $853 $1,875 $1,875 $7,125 $1,500 $3,750 $1,875 $1,455 $3,750 $5,525 $1,875 $853 $853 $3,375 $3,650 $3,650 $2,195 $3,650 $1,875 $3,750 $3,750 $1,825 $853 $4,500 $1,875 $1,875 $1,875 $3,750 $1,875 $3,750 $3,750 $3,750 $1,875 $3,750 $1,875 $7,005 $7,125 $3,750 $1,875 $1,772 $3,750 $3,750 $1,455 $1,455 $1,875 $1,875

SettlementAmount


POCA

$5,000 $5,000 $35,000 $1,000 $2,500 $2,500 $9,500 $2,000 $5,000 $2,500 $2,000 $5,000 $7,500 $2,500 $1,000 $1,000 $4,500 $5,000 $5,000 $3,000 $5,000 $2,500 $5,000 $5,000 $2,500 $1,000 $6,000 $2,500 $2,500 $2,500 $5,000 $2,500 $5,000 $5,000 $5,000 $2,500 $5,000 $2,500 $9,500 $9,500 $5,000 $2,500 $2,500 $5,000 $5,000 $2,000 $2,000 $2,500 $2,500

77

UP 2017-505(FCS)UP 2017-506(SA)UP 2017-507(SA)UP 2017-508(SA)UP 2017-509(SA)UP 2017-510(SA)UP 2017-511(SA)UP 2017-512(SA)UP 2017-513(SA)UP 2017-514(SA)UP 2017-515(SA)UP 2017-516(HMT)UP 2017-517(HMT)UP 2017-518(ROP)UP 2017-519(FCS)UP 2017-520(LI)UP 2017-521(LI)UP 2017-522(LI)UP 2017-523(LI)UP 2017-524(AD)UP 2017-525(TS)UP 2017-526(EP)UP 2017-527(EP)UP 2017-528(EP)UP 2017-529(EP)UP 2017-530(EP)UP 2017-531(EP)UP 2017-533(SA)UP 2017-534(SA)UP 2017-535(SA)UP 2017-536(FCS)UP 2017-537(FCS)UP 2017-538(FCS)UP 2017-539(FCS)UP 2017-540(FCS)UP 2017-541(FCS)UP 2017-542(FCS)UP 2017-543(FCS)UP 2017-544(FCS)UP 2017-545(FCS)UP 2017-546(FCS)UP 2017-547(FCS)UP 2017-548(FCS)UP 2017-549(FCS)UP 2017-550(FCS)UP 2017-551(ROP)UP 2017-552(SA)UP 2017-554(LI)UP 2017-555(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111111111111111111111111111111111111111111111

No. ofViolations

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

PRCA

$1,875 $3,750 $1,875 $1,875 $3,750 $1,875 $1,875 $1,875 $1,875 $1,875 $3,750 $3,000 $1,875 $5,525 $1,875 $853 $1,875 $1,875 $853 $1,875 $3,650 $853 $853 $853 $853 $853 $853 $3,750 $3,750 $3,750 $1,875 $1,875 $1,875 $1,600 $1,600 $1,875 $1,875 $3,750 $3,750 $1,875 $1,875 $1,875 $1,875 $1,875 $1,875 $3,675 $3,750 $1,875 $3,750

SettlementAmount


POCA

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

78

UP 2017-556(SA)UP 2017-557(SA)UP 2017-558(HMT)UP 2017-559(LI)UP 2017-560(LI)UP 2017-561(TS)UP 2017-562(TS)UP 2017-563(SA)UP 2017-564(FCS)UP 2017-565(FCS)UP 2017-566(FCS)UP 2017-567(LI)UP 2017-568(TS)UP 2017-569(TS)UP 2017-570(ROP)UP 2017-571(ROP)UP 2017-572(ROP)UP 2017-573(TS)UP 2017-574(LI)UP 2017-575(TH)UP 2017-576(TS)UP 2017-577(AR)UP 2017-578(ROP)UP 2017-579(ROP)UP 2017-580(ROP)

UP 2017-581(SA)UP 2017-582(SA)UP 2017-583(SA)UP 2017-584(SA)UP 2017-585(SA)UP 2017-586(SA)UP 2017-587(HMT)UP 2017-588(SA)UP 2017-589(TS)UP 2017-590(TS)UP 2017-591(TS)UP 2017-592(RW)UP 2017-594(SA)UP 2017-595(HMT)UP 2017-596(SA)UP 2017-597(SA)UP 2017-598(HMT)UP 2017-599(FCS)UP 2017-600(LI)UP 2017-601(TS)UP 2017-602(TS)UP 2017-603(AR)UP 2017-604(FCS)UP 2017-605(FCS)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111112111111111111111111

111111111121111121111111

No. ofViolations

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

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

PRCA

$2,500 $1,875 $3,750 $1,875 $1,250 $1,825 $7,300 $1,875 $1,875 $3,750 $3,750 $1,125 $3,650 $1,825 $1,455 $1,500 $5,625 $1,825 $1,875 $3,594 $1,825 $853 $1,500 $1,500 $5,000

$3,750 $3,750 $3,750 $3,750 $3,200 $3,750 $11,250 $3,750 $1,825 $1,725 $3,500 $853 $1,875 $5,625 $1,875 $3,750 $3,750 $1,875 $853 $2,250 $1,500 $1,875 $1,875 $1,875

SettlementAmount


POCA

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

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


79

UP 2017-606(FCS)UP 2017-607(FCS)UP 2017-608(FCS)UP 2017-609(FCS)UP 2017-610(FCS)UP 2017-611(FCS)UP 2017-612(FCS)UP 2017-613(ROP)UP 2017-614(HSR)UP 2017-615(HSR)UP 2017-616(LI)UP 2017-617(HSR)UP 2017-618(HS)UP 2017-619(HS)UP 2017-620(HS)UP 2017-622(HS)UP 2017-623(SA)UP 2017-624(SA)UP 2017-625(SA)UP 2017-626(SA)UP 2017-627(SA)UP 2017-628(SA)UP 2017-629(SA)UP 2017-630(SA)UP 2017-631(HMT)UP 2017-632(SA)UP 2017-633(SA)UP 2017-634(FCS)UP 2017-635(FCS)UP 2017-636(SA)UP 2017-637(ROP)

UP 2017-638(ROP)UP 2017-639(SA)UP 2017-640(SA)UP 2017-641(SA)UP 2017-642(SA)UP 2017-643(SA)UP 2017-644(SA)UP 2017-645(SA)UP 2017-646(SA)UP 2017-647(SA)UP 2017-648(SA)UP 2017-649(SA)UP 2017-650(SA)UP 2017-651(SA)UP 2017-652(SA)UP 2017-653(SA)UP 2017-654(FCS)UP 2017-655(FCS)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111111112222111111111111111

111111111111111111

No. ofViolations

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

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

PRCA

$1,875 $1,875 $1,875 $1,875 $1,875 $3,750 $1,875 $1,500 $853 $853 $1,875 $853 $1,706 $1,706 $1,706 $0 $3,750 $1,875 $1,875 $1,875 $1,875 $1,875 $3,750 $1,875 $3,750 $2,000 $2,000 $1,875 $1,875 $1,875 $4,500

$1,500 $1,875 $1,875 $3,750 $1,875 $1,875 $1,875 $4,000 $3,750 $3,750 $1,875 $1,875 $3,200 $1,600 $3,200 $3,750 $1,725 $1,875

SettlementAmount


POCA

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

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

Case Terminated.


80

UP 2017-656(FCS)UP 2017-657(SA)UP 2017-658(SA)UP 2017-659(SA)UP 2017-660(FCS)UP 2017-661(FCS)UP 2017-662(FCS)UP 2017-663(FCS)UP 2017-664(FCS)UP 2017-665(FCS)UP 2017-666(FCS)UP 2017-667(FCS)UP 2017-668(FCS)UP 2017-669(FCS)UP 2017-670(FCS)UP 2017-671(FCS)UP 2017-672(FCS)UP 2017-673(FCS)UP 2017-674(FCS)UP 2017-675(FCS)UP 2017-677(SI)UP 2017-678(SI)UP 2017-679(LI)UP 2017-681(SI)UP 2017-682(SI)UP 2017-683(TS)UP 2017-684(TS)UP 2017-685(TS)UP 2017-686(SI)UP 2017-687(ROP)UP 2017-688(AR)UP 2017-689(ROP)UP 2017-690(LI)UP 2017-692(SA)UP 2017-693(SA)UP 2017-694(SA)UP 2017-695(SA)UP 2017-696(SA)UP 2017-697(SA)UP 2017-698(SA)UP 2017-699(LI)UP 2017-700(LI)UP 2017-701(TS)UP 2017-702(FCS)UP 2017-703(HMT)UP 2017-704(RW)UP 2017-705(HMT)UP 2017-706(FCS)UP 2017-707(FCS)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111111111111111111111111111111121111112121311

No. ofViolations

$5,000 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $2,500 $2,500 $2,500 $5,000 $2,500 $2,500 $1,000 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $1,000 $2,500 $7,500 $1,000 $5,000 $1,500 $2,500 $2,500 $5,000 $5,000 $2,500 $5,000 $5,000 $2,000 $2,000 $10,000 $5,000 $11,500 $3,000 $14,500 $2,500 $2,500

PRCA

$3,750 $1,875 $3,750 $1,875 $1,875 $1,875 $1,875 $1,875 $1,875 $1,875 $1,875 $1,875 $1,875 $3,750 $1,875 $1,875 $1,875 $3,750 $1,725 $1,875 $853 $1,825 $1,875 $1,825 $1,825 $3,650 $3,650 $853 $1,875 $5,625 $853 $3,750 $1,125 $1,875 $0 $3,250 $3,750 $2,000 $3,750 $3,750 $1,500 $1,500 $8,000 $3,750 $8,625 $2,195 $10,500 $1,875 $1,875

SettlementAmount


POCA

$5,000 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $2,500 $2,500 $2,500 $5,000 $2,500 $2,500 $1,000 $2,500 $2,500 $2,500 $2,500 $5,000 $5,000 $1,000 $2,500 $7,500 $1,000 $5,000 $1,500 $2,500 $0 $5,000 $5,000 $2,500 $5,000 $5,000 $2,000 $2,000 $10,000 $5,000 $11,500 $3,000 $14,500 $2,500 $2,500

Case Terminated.

81

UP 2017-708(FCS)UP 2017-709(FCS)UP 2017-710(FCS)UP 2017-711(SA)UP 2017-712(SI)UP 2017-713(SI)UP 2017-714(SI)UP 2017-715(SI)UP 2017-716(SA)UP 2017-717(SA)UP 2017-718(ROP)UP 2017-719(TS)UP 2017-720(LI)UP 2017-721(TS)UP 2017-722(LI)UP 2017-723(TS)UP 2017-724(TS)UP 2017-725(LI)UP 2017-726(LI)UP 2017-727(LI)UP 2017-728(LI)UP 2017-729(FCS)UP 2017-730(ROP)UP 2017-731(SA)UP 2017-732(SA)UP 2017-734(RMM)UP 2017-735(SA)UP 2017-736(ROP)UP 2017-737(ROP)UP 2017-738(ROP)UP 2017-739(ROP)UP 2017-740(LI)UP 2017-741(SA)UP 2017-742(SA)UP 2017-743(SA)

UP 2017-744(FCS)UP 2017-745(FCS)UP 2017-746(FCS)UP 2017-748(SI)UP 2017-749(SA)UP 2017-750(ROP)UP 2017-751(ROP)

UP 2017-752(HSR)UP 2017-753(TS)UP 2017-754(LI)UP 2017-755(TS)UP 2017-756(HS)UP 2017-758(LI)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


11111111111111111111111111111111111

1111111

121121

No. ofViolations

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

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

$1,000 $7,500 $2,500 $1,000 $2,000 $2,500

PRCA

$1,875 $1,875 $1,875 $1,725 $1,875 $1,825 $1,875 $1,875 $3,750 $1,875 $5,625 $1,825 $1,125 $3,650 $1,875 $853 $3,750 $1,500 $1,500 $1,500 $1,875 $3,750 $1,500 $3,750 $1,875 $1,875 $1,875 $1,500 $1,500 $1,500 $7,125 $1,875 $3,750 $3,750 $2,500

$3,750 $1,875 $1,875 $853 $1,875 $4,500 $4,500

$853 $5,625 $1,875 $853 $1,706 $1,875

SettlementAmount


POCA

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

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

$1,000 $7,500 $2,500 $1,000 $2,000 $2,500



82

UP 2017-759(LI)UP 2017-760(FCS)UP 2017-761(TS)UP 2017-762(HS)UP 2017-763(EQ)UP 2017-764(LI)UP 2017-765(LI)UP 2017-766(SA)UP 2017-767(SA)UP 2017-768(SA)UP 2017-769(SA)UP 2017-770(HS)UP 2017-771(SI)UP 2017-773(LI)UP 2017-774(TH)UP 2017-775(SA)UP 2017-776(ROP)UP 2017-777(TS)UP 2017-778(LI)UP 2017-779(SA)UP 2017-780(ROP)

UP 2017-781(ROP)UP 2017-782(ROP)UP 2017-783(SA)UP 2017-784(SA)UP 2017-785(SA)UP 2017-786(FCS)UP 2017-787(SA)UP 2017-788(SA)UP 2017-789(SA)UP 2017-790(SA)UP 2017-791(SA)UP 2017-792(SA)UP 2017-793(SA)UP 2017-794(LI)UP 2017-795(LI)UP 2017-796(LI)UP 2017-797(LI)UP 2017-798(LI)UP 2017-799(ROP)UP 2017-800(SA)UP 2017-801(HMT)UP 2017-802(SA)UP 2017-803(SA)UP 2017-804(SA)UP 2017-805(LI)UP 2017-806(HMT)UP 2017-807(HMT)UP 2017-808(GC)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1112111111111211111111

1112111111112221111111111111

No. ofViolations

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

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

PRCA

$3,750 $3,750 $3,750 $1,706 $853 $1,875 $1,875 $1,875 $1,875 $4,000 $3,750 $853 $8,400 $1,875 $3,595 $1,875 $5,625 $1,875 $1,875 $3,750 $1,400

$1,500 $1,400 $3,750 $4,500 $1,875 $3,750 $1,875 $1,875 $1,875 $1,875 $1,875 $1,875 $3,750 $3,750 $2,625 $1,875 $1,875 $1,875 $4,500 $3,750 $1,500 $3,750 $1,875 $1,875 $853 $1,500 $3,000 $3,750

SettlementAmount


POCA

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

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


83

UP 2017-809(GC)UP 2017-810(SA)UP 2017-811(ROP)UP 2017-813(ROP)UP 2017-814(ROP)UP 2017-815(AR)UP 2017-816(TS)UP 2017-818(TS)UP 2017-819(TS)UP 2017-820(HSR)UP 2017-821(HSR)UP 2017-823(HSR)UP 2017-824(HSR)UP 2017-825(SI)UP 2017-826(SI)UP 2017-829(HMT)UP 2017-830(SI)UP 2017-831(TS)UP 2017-832(ROP)UP 2017-833(HMT)UP 2017-834(HMT)UP 2017-835(TS)UP 2017-836(HMT)UP 2017-837(SA)

UP 2017-838(SA)UP 2017-839(SA)

UP 2017-840(FCS)UP 2017-841(SA)UP 2017-842(SA)UP 2017-843(SA)UP 2017-844(SA)UP 2017-845(LI)UP 2017-846(TS)UP 2017-847(TS)UP 2017-848(TS)UP 2017-849(GC)UP 2017-850(SA)UP 2017-851(LI)UP 2017-852(SA)UP 2017-853(SA)UP 2017-854(SA)UP 2017-855(TS)UP 2017-856(TS)UP 2017-857(TS)UP 2017-859(SA)UP 2017-860(SA)UP 2017-861(ROP)UP 2017-862(ROP)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


111111111121111111112111

11

1111111121111112111111

No. ofViolations

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

$2,500 $5,000

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

PRCA

$3,750 $2,700 $5,625 $1,500 $1,500 $1,875 $3,750 $1,875 $3,750 $853 $1,706 $853 $853 $1,250 $1,250 $3,800 $853 $3,750 $5,625 $1,875 $3,750 $1,875 $3,750 $2,500

$1,875 $2,500

$3,750 $3,750 $3,750 $3,750 $3,750 $1,825 $1,875 $1,875 $3,750 $853 $4,500 $1,825 $1,875 $3,750 $3,750 $5,625 $1,875 $1,875 $3,750 $1,875 $5,625 $1,500

SettlementAmount


POCA

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

$2,500 $2,500

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



84

UP 2017-863(FCS)UP 2017-864(FCS)UP 2017-865(SA)UP 2017-866(SA)UP 2017-867(FCS)UP 2017-868(FCS)UP 2017-869(FCS)UP 2017-870(FCS)UP 2017-871(FCS)UP 2017-872(SA)UP 2017-873(SA)UP 2017-874(TS)UP 2017-875(HMT)UP 2017-876(HMT)UP 2017-878(TS)UP 2017-879(ROP)UP 2017-881(SA)UP 2017-882(SA)UP 2017-883(SA)UP 2017-884(SA)UP 2017-885(HS)UP 2017-886(HS)UP 2017-887(HS)UP 2017-888(HS)UP 2017-890(HS)UP 2017-891(ROP)UP 2017-892(FCS)UP 2017-893(ROP)UP 2017-895(SA)UP 2017-896(SA)UP 2017-897(SA)UP 2017-898(SA)UP 2017-899(SA)UP 2017-900(FCS)UP 2017-901(FCS)UP 2017-902(LI)UP 2017-903(SI)UP 2017-904(RSP)UP 2017-905(LI)UP 2017-906(FCS)UP 2017-907(ROP)UP 2017-908(SA)UP 2017-909(LI)UP 2017-911(SA)UP 2017-912(SI)UP 2017-913(SI)UP 2017-914(ROP)UP 2017-915(ROP)UP 2017-916(ROP)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111111116391111122232111111111111111111111111

No. ofViolations

$2,500 $2,500 $2,500 $5,000 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $2,500 $2,500 $26,000 $6,000 $9,000 $7,500 $5,000 $5,000 $5,000 $5,000 $2,000 $2,000 $2,000 $3,000 $2,000 $7,500 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $1,000 $5,000 $9,500 $2,500 $2,500 $7,500 $5,000 $2,500 $5,000 $2,500 $2,500 $7,500 $2,000 $2,000

PRCA

$1,875 $1,875 $1,875 $3,750 $3,750 $1,875 $1,875 $1,875 $3,750 $3,750 $1,875 $1,875 $20,000 $4,800 $7,680 $5,625 $3,750 $3,750 $3,750 $3,750 $0 $1,706 $1,706 $2,559 $1,706 $5,625 $3,750 $3,750 $3,750 $1,875 $1,875 $1,875 $1,875 $1,875 $1,875 $853 $3,750 $7,125 $1,825 $1,875 $5,625 $2,125 $1,450 $3,750 $1,750 $1,750 $5,625 $1,500 $1,500

SettlementAmount


POCA

$2,500 $2,500 $2,500 $5,000 $5,000 $2,500 $2,500 $2,500 $5,000 $5,000 $2,500 $2,500 $26,000 $6,000 $9,000 $7,500 $5,000 $5,000 $5,000 $5,000 $0 $2,000 $2,000 $3,000 $2,000 $7,500 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $2,500 $1,000 $5,000 $9,500 $2,500 $2,500 $7,500 $5,000 $2,500 $5,000 $2,500 $2,500 $7,500 $2,000 $2,000

Case Terminated.

85

UP 2017-917(SI)UP 2017-918(SA)UP 2017-919(LI)UP 2017-920(SA)UP 2017-921(ROP)UP 2017-922(ROP)UP 2017-923(ROP)UP 2017-924(ROP)

UP 2017-925(TS)UP 2017-926(TS)UP 2017-927(SA)UP 2017-928(SA)UP 2017-929(SI)UP 2017-930(SI)UP 2017-931(ROP)UP 2017-932(ROP)UP 2017-933(SA)UP 2017-934(SA)UP 2017-935(SA)UP 2017-936(SA)UP 2017-937(SA)UP 2017-938(HSR)UP 2017-939(LI)UP 2017-940(HSR)UP 2017-941(HSR)UP 2017-942(HSR)UP 2017-943(HSR)UP 2017-944(HSR)UP 2017-945(HSR)UP 2017-946(HSR)UP 2017-947(HSR)UP 2017-948(HSR)UP 2017-949(LI)UP 2017-950(EP)UP 2017-951(SA)UP 2017-952(SA)UP 2017-953(SI)UP 2017-954(SA)UP 2017-955(ROP)UP 2017-956(SA)UP 2017-957(TS)UP 2017-958(SA)UP 2017-959(HMT)UP 2017-960(SA)UP 2017-961(SA)UP 2017-962(SA)UP 2017-963(SA)UP 2017-964(CC)UP 2017-965(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


11111111

61111111111111111111111111111111111111111

No. ofViolations

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

$30,000 $1,000 $2,500 $2,500 $1,000 $1,000 $2,000 $2,000 $5,000 $5,000 $5,000 $5,000 $5,000 $1,000 $2,500 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $2,500 $1,000 $5,000 $5,000 $2,500 $2,500 $9,500 $2,500 $2,500 $5,000 $4,000 $5,000 $5,000 $5,000 $5,000 $4,000 $5,000

PRCA

$1,875 $3,750 $1,825 $1,875 $3,750 $1,500 $5,625 $5,000

$22,500 $853 $1,875 $1,875 $853 $853 $1,500 $1,500 $3,750 $3,750 $3,750 $3,750 $3,750 $853 $1,825 $853 $853 $853 $853 $853 $853 $853 $853 $853 $1,825 $853 $3,750 $3,750 $1,875 $1,875 $7,125 $1,875 $1,875 $3,750 $3,000 $3,750 $3,750 $3,750 $3,750 $3,000 $3,750

SettlementAmount


POCA

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

$30,000 $1,000 $2,500 $2,500 $1,000 $1,000 $2,000 $2,000 $5,000 $5,000 $5,000 $5,000 $5,000 $1,000 $2,500 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $2,500 $1,000 $5,000 $5,000 $2,500 $2,500 $9,500 $2,500 $2,500 $5,000 $4,000 $5,000 $5,000 $5,000 $5,000 $4,000 $5,000


86

UP 2017-966(SA)UP 2017-967(SA)UP 2017-968(SA)UP 2017-969(SA)UP 2017-970(SA)UP 2017-971(SA)UP 2017-972(SA)UP 2017-973(SA)UP 2017-974(SA)UP 2017-975(EP)UP 2017-976(EP)UP 2017-977(SA)UP 2017-978(SA)UP 2017-979(SA)UP 2017-980(LI)UP 2017-981(LI)UP 2017-982(GC)UP 2017-983(TS)UP 2017-984(FCS)UP 2017-985(FCS)UP 2017-986(FCS)UP 2017-987(FCS)UP 2017-988(FCS)UP 2017-989(FCS)UP 2017-990(EQ)UP 2017-991(LI)UP 2017-992(LI)UP 2017-993(SA)UP 2017-994(SA)UP 2017-995(SA)UP 2017-997(FCS)UP 2017-998(FCS)UP 2017-999(SA)UP 2017-1000(GC)UP 2017-1001(ROP)UP 2017-1002(CC)UP 2017-1003(ROP)UP 2017-1004(SA)UP 2017-1005(SA)UP 2017-1006(SA)UP 2017-1007(SA)UP 2017-1008(SA)UP 2017-1009(SA)UP 2017-1010(SA)UP 2017-1011(SA)UP 2017-1012(SA)UP 2017-1013(FCS)UP 2017-1014(LI)UP 2017-1015(LI)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111111111111111111111111111111111111111111111

No. ofViolations

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

PRCA

$3,750 $3,750 $3,750 $3,750 $1,875 $1,875 $3,750 $1,875 $1,875 $853 $853 $1,875 $1,875 $3,750 $1,825 $1,825 $3,750 $3,750 $1,775 $1,875 $1,875 $3,750 $1,875 $3,750 $3,750 $1,825 $1,450 $3,750 $1,875 $1,875 $1,875 $1,875 $3,750 $1,875 $1,500 $3,000 $3,750 $1,875 $7,000 $7,000 $1,875 $1,875 $3,750 $3,750 $1,875 $1,875 $1,875 $1,085 $1,085

SettlementAmount


POCA

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

87

UP 2017-1016(LI)UP 2017-1017(SA)UP 2017-1018(SA)UP 2017-1019(SA)UP 2017-1020(SA)UP 2017-1022(SA)UP 2017-1023(SA)UP 2017-1024(SA)UP 2017-1025(SA)UP 2017-1026(SA)UP 2017-1027(FCS)UP 2017-1028(LI)UP 2017-1029(LI)UP 2017-1030(LI)UP 2017-1031(SA)UP 2017-1032(SA)UP 2017-1033(SA)UP 2017-1034(FCS)UP 2017-1035(ROP)UP 2017-1036(ROP)UP 2017-1037(FCS)UP 2017-1038(SA)UP 2017-1039(SA)UP 2017-1040(SA)UP 2017-1042(FCS)UP 2017-1043(SA)UP 2017-1044(SA)UP 2017-1045(GC)UP 2017-1047(TS)UP 2017-1048(TS)UP 2017-1049(TS)UP 2017-1050(TS)UP 2017-1051(SA)UP 2017-1052(SA)UP 2017-1053(FCS)UP 2017-1054(SA)UP 2017-1055(SA)UP 2017-1056(FCS)UP 2017-1057(FCS)UP 2017-1058(SA)UP 2017-1059(SA)UP 2017-1060(TS)UP 2017-1061(LI)UP 2017-1062(LI)UP 2017-1063(LI)UP 2017-1064(LI)UP 2017-1065(LI)UP 2017-1066(LI)UP 2017-1067(TS)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


11111111111111111111111111111111211111111111211111

No. ofViolations

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

PRCA

$1,825 $3,750 $3,750 $3,750 $3,750 $1,875 $1,875 $1,875 $853 $1,875 $3,750 $1,450 $1,825 $1,825 $3,750 $3,750 $1,875 $3,750 $1,500 $5,625 $1,875 $1,875 $1,875 $3,750 $1,875 $3,750 $3,750 $3,750 $1,875 $3,750 $3,750 $12,375 $3,750 $1,875 $1,875 $3,750 $1,875 $1,875 $1,875 $1,875 $3,750 $853 $1,825 $3,675 $1,825 $1,825 $1,825 $853 $3,650

SettlementAmount


POCA

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

88

UP 2017-1068(ROP)UP 2017-1069(ROP)UP 2017-1070(ROP)UP 2017-1071(ROP)UP 2017-1072(SA)UP 2017-1073(SA)UP 2017-1074(SA)UP 2017-1076(SA)UP 2017-1077(SA)UP 2017-1078(SA)UP 2017-1079(SA)UP 2017-1080(HMT)UP 2018-1(HMT)UP 2018-2(SA)UP 2018-3(LI)UP 2018-4(LI)UP 2018-5(LI)UP 2018-6(SA)UP 2018-7(SA)UP 2018-8(FCS)UP 2018-9(SI)UP 2018-10(SA)UP 2018-11(SA)UP 2018-12(LI)UP 2018-13(TS)UP 2018-14(ROP)UP 2018-15(ROP)UP 2018-17(SA)UP 2018-18(SA)UP 2018-19(SA)UP 2018-21(TS)UP 2018-22(RW)UP 2018-23(TS)UP 2018-24(ROP)UP 2018-25(ROP)UP 2018-26(ROP)UP 2018-27(SA)UP 2018-28(ROP)UP 2018-29(TS)UP 2018-31(LI)UP 2018-32(LI)UP 2018-33(LI)UP 2018-34(ROP)UP 2018-35(ROP)UP 2018-37(SA)UP 2018-38(SA)UP 2018-39(SA)UP 2018-40(SA)UP 2018-41(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111111111111111111112111111151111111111111411

No. ofViolations

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

PRCA

$5,625 $1,500 $1,500 $1,500 $3,750 $3,750 $3,750 $3,750 $3,750 $3,750 $3,750 $5,250 $1,500 $1,875 $1,085 $853 $1,825 $1,875 $3,750 $1,875 $1,750 $3,750 $3,750 $1,825 $5,500 $1,500 $1,500 $1,875 $3,750 $3,650 $3,650 $2,250 $4,265 $1,500 $5,625 $1,500 $3,650 $3,750 $3,650 $1,825 $1,825 $1,825 $1,500 $1,500 $1,800 $3,650 $12,900 $3,650 $1,800

SettlementAmount


POCA

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

89

UP 2018-42(FCS)UP 2018-43(HMT)UP 2018-44(ROP)UP 2018-45(ROP)UP 2018-47(ROP)UP 2018-48(HS)UP 2018-49(HS)

UP 2018-50(SA)UP 2018-52(SA)UP 2018-53(SA)UP 2018-54(ROP)UP 2018-55(LI)UP 2018-57(SA)UP 2018-58(HS)UP 2018-59(AR)UP 2018-60(LI)UP 2018-62(SA)UP 2018-63(SA)UP 2018-64(FCS)UP 2018-65(FCS)UP 2018-67(EQ)UP 2018-68(TS)UP 2018-69(LI)UP 2018-70(FCS)UP 2018-72(SA)UP 2018-73(SA)UP 2018-74(SA)UP 2018-75(SA)UP 2018-77(HMT)UP 2018-78(SA)UP 2018-79(SA)UP 2018-80(SA)UP 2018-82(SA)UP 2018-83(SA)UP 2018-84(SA)UP 2018-85(SA)UP 2018-87(SA)UP 2018-88(LI)UP 2018-89(LI)UP 2018-90(LI)UP 2018-92(LI)UP 2018-93(SA)UP 2018-94(FCS)UP 2018-95(SA)UP 2018-97(FCS)UP 2018-98(LI)UP 2018-99(LI)UP 2018-102(SA)UP 2018-103(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111124

111111211111111111111311111111111111131111

No. ofViolations

$2,500 $2,500 $5,000 $7,500 $2,000 $2,000 $4,000

$5,000 $2,500 $5,000 $7,500 $2,500 $5,000 $2,000 $1,000 $2,500 $2,500 $5,000 $2,500 $2,500 $5,000 $1,000 $1,000 $2,500 $5,000 $5,000 $2,500 $2,500 $14,000 $2,500 $5,000 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $1,500 $2,500 $2,500 $2,500 $5,000 $5,000 $6,000 $2,500 $2,500 $2,500 $2,500

PRCA

$1,875 $1,875 $3,750 $5,625 $1,500 $1,706 $1,706

$3,650 $1,800 $3,650 $5,625 $1,825 $3,650 $1,706 $853 $1,825 $1,800 $3,650 $1,875 $1,875 $3,750 $853 $853 $1,875 $3,650 $3,650 $1,800 $1,800 $10,500 $1,800 $3,650 $3,650 $1,800 $1,800 $3,650 $3,650 $3,650 $1,825 $1,085 $1,825 $1,825 $1,800 $3,750 $3,650 $4,500 $1,825 $1,825 $1,800 $1,800

SettlementAmount


POCA

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

$5,000 $2,500 $5,000 $7,500 $2,500 $5,000 $2,000 $1,000 $2,500 $2,500 $5,000 $2,500 $2,500 $5,000 $1,000 $1,000 $2,500 $5,000 $5,000 $2,500 $2,500 $14,000 $2,500 $5,000 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000 $2,500 $1,500 $2,500 $2,500 $2,500 $5,000 $5,000 $6,000 $2,500 $2,500 $2,500 $2,500


90

UP 2018-104(SA)UP 2018-105(SA)UP 2018-107(HMT)UP 2018-108(HMT)UP 2018-109(HMT)UP 2018-112(SI)UP 2018-113(FCS)UP 2018-114(HMT)UP 2018-117(CC)UP 2018-118(TS)UP 2018-119(TS)UP 2018-120(TS)UP 2018-122(TS)UP 2018-124(FCS)UP 2018-127(FCS)UP 2018-128(TS)UP 2018-129(SA)UP 2018-130(TS)UP 2018-132(AR)UP 2018-134(FCS)UP 2018-135(ROP)UP 2018-137(SA)UP 2018-138(SA)UP 2018-139(SA)UP 2018-140(SA)UP 2018-142(SA)UP 2018-144(SA)UP 2018-145(SA)UP 2018-147(FCS)UP 2018-149(FCS)UP 2018-150(LI)UP 2018-152(SI)UP 2018-153(SI)UP 2018-154(ROP)UP 2018-155(HMT)UP 2018-157(TS)UP 2018-159(LI)UP 2018-160(LI)UP 2018-162(ROP)UP 2018-164(SA)UP 2018-165(SA)UP 2018-167(SA)UP 2018-168(ROP)UP 2018-169(ROP)UP 2018-170(ROP)UP 2018-172(FCS)UP 2018-173(SA)UP 2018-174(ROP)UP 2018-176(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


11111111111111111111111111111111111101111111111111

No. ofViolations

$2,500 $2,500 $4,000 $7,500 $7,500 $2,500 $2,500 $4,000 $4,000 $2,500 $1,000 $2,500 $2,500 $5,000 $5,000 $2,500 $2,500 $5,000 $1,000 $5,000 $2,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $2,500 $1,000 $2,500 $2,000 $4,000 $14,500 $2,500 $2,500 $7,500 $2,500 $5,000 $2,500 $9,500 $5,000 $2,000 $2,500 $2,500 $7,500 $2,500

PRCA

$1,800 $1,800 $3,000 $5,650 $5,650 $1,875 $1,875 $3,000 $3,000 $1,800 $853 $1,800 $1,800 $3,750 $3,750 $1,800 $1,800 $3,650 $853 $3,750 $1,400 $3,650 $3,650 $3,650 $1,800 $1,800 $1,800 $1,800 $1,875 $3,750 $1,825 $853 $1,875 $1,500 $3,000 $10,680 $1,825 $1,825 $5,625 $1,800 $3,650 $1,800 $6,655 $3,000 $1,500 $1,875 $1,800 $5,250 $1,800

SettlementAmount


POCA

$2,500 $2,500 $4,000 $7,500 $7,500 $2,500 $2,500 $4,000 $4,000 $2,500 $1,000 $2,500 $2,500 $5,000 $5,000 $2,500 $2,500 $5,000 $1,000 $5,000 $2,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $2,500 $1,000 $2,500 $2,000 $4,000 $14,500 $2,500 $2,500 $7,500 $2,500 $5,000 $2,500 $9,500 $5,000 $2,000 $2,500 $2,500 $7,500 $2,500

91

UP 2018-177(SA)UP 2018-178(SA)UP 2018-179(SA)UP 2018-181(LI)UP 2018-182(TS)UP 2018-183(SA)UP 2018-184(SA)UP 2018-186(ROP)UP 2018-187(SA)UP 2018-188(LI)UP 2018-189(SA)UP 2018-191(HS)UP 2018-192(HS)UP 2018-193(HMT)UP 2018-196(SA)UP 2018-197(SA)UP 2018-198(SA)UP 2018-199(SA)UP 2018-201(SA)UP 2018-202(SA)UP 2018-203(SA)UP 2018-206(ROP)UP 2018-207(ROP)UP 2018-208(FCS)UP 2018-209(ROP)UP 2018-211(CC)UP 2018-212(ROP)UP 2018-213(ROP)UP 2018-214(ROP)UP 2018-216(HMT)UP 2018-217(SA)UP 2018-218(SA)UP 2018-219(SA)UP 2018-221(TS)UP 2018-222(LI)UP 2018-224(LI)UP 2018-225(TS)UP 2018-226(SI)UP 2018-227(SI)UP 2018-229(GC)UP 2018-230(LI)UP 2018-231(LI)UP 2018-232(LI)UP 2018-234(TS)UP 2018-235(TS)UP 2018-236(SA)UP 2018-237(HMT)UP 2018-239(ROP)UP 2018-240(ROP)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1211111111121211111111111111111114111111111211111

No. ofViolations

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

PRCA

$1,800 $3,650 $1,800 $1,825 $3,650 $3,650 $3,650 $1,500 $3,650 $1,825 $3,650 $1,706 $853 $7,500 $3,650 $3,650 $3,650 $3,650 $3,650 $3,650 $3,650 $853 $1,400 $3,750 $5,625 $3,000 $5,625 $5,625 $5,625 $5,650 $1,800 $7,350 $3,650 $11,050 $1,825 $1,825 $1,800 $1,500 $3,750 $4,000 $1,825 $1,825 $1,825 $3,650 $1,800 $1,800 $1,500 $6,650 $5,625

SettlementAmount


POCA

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

92

UP 2018-241(SA)UP 2018-242(SA)UP 2018-244(CC)UP 2018-245(CC)UP 2018-246(FCS)UP 2018-247(CC)UP 2018-249(CC)UP 2018-250(ROP)UP 2018-251(FCS)UP 2018-252(FCS)UP 2018-254(FCS)UP 2018-255(FCS)UP 2018-256(FCS)UP 2018-257(SI)UP 2018-258(TS)UP 2018-259(TS)UP 2018-260(SA)UP 2018-262(SA)UP 2018-263(SA)UP 2018-264(SA)UP 2018-265(SA)UP 2018-267(SA)UP 2018-268(SA)UP 2018-269(SA)UP 2018-270(SA)UP 2018-272(SA)UP 2018-273(SA)UP 2018-274(SA)UP 2018-275(SA)UP 2018-277(SA)UP 2018-278(SA)UP 2018-279(SA)UP 2018-280(SA)UP 2018-282(ROP)UP 2018-283(SA)UP 2018-284(SA)UP 2018-285(HMT)UP 2018-287(SA)UP 2018-290(SA)UP 2018-291(SA)UP 2018-292(FCS)UP 2018-295(HMT)UP 2018-296(SI)UP 2018-297(SA)UP 2018-300(TS)UP 2018-301(HSR)UP 2018-302(HSR)UP 2018-305(SA)UP 2018-306(SA)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/2018


1111111111111111111111111111111111111111111111111

No. ofViolations

$5,000 $10,000 $4,000 $4,000 $2,500 $4,000 $4,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $5,000 $2,500 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $9,500 $5,000 $5,000 $7,500 $2,500 $2,500 $2,500 $2,500 $7,000 $2,500 $5,000 $2,500 $1,000 $1,000 $2,500 $5,000

PRCA

$3,650 $7,350 $3,000 $3,000 $1,875 $3,000 $3,000 $3,750 $1,875 $1,875 $1,875 $1,875 $1,875 $3,750 $1,800 $1,800 $3,650 $3,650 $3,650 $3,650 $3,650 $3,650 $1,800 $1,800 $1,800 $3,650 $1,800 $3,650 $4,000 $1,800 $1,800 $1,800 $1,800 $6,655 $3,650 $3,650 $5,650 $1,800 $1,800 $1,800 $1,875 $5,250 $1,750 $3,650 $1,800 $853 $853 $1,800 $3,650

SettlementAmount


POCA

$5,000 $10,000 $4,000 $4,000 $2,500 $4,000 $4,000 $5,000 $2,500 $2,500 $2,500 $2,500 $2,500 $5,000 $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 $2,500 $2,500 $2,500 $5,000 $2,500 $5,000 $5,000 $2,500 $2,500 $2,500 $2,500 $9,500 $5,000 $5,000 $7,500 $2,500 $2,500 $2,500 $2,500 $7,000 $2,500 $5,000 $2,500 $1,000 $1,000 $2,500 $5,000

93

UP 2018-307(SA)UP 2018-310(SA)UP 2018-311(SA)UP 2018-312(SA)UP 2018-315(FCS)UP 2018-316(ROP)UP 2018-317(ROP)UP 2018-320(ROP)UP 2018-321(TS)UP 2018-322(TS)UP 2018-327(TS)UP 2018-330(TS)UP 2018-331(LI)UP 2018-334(LI)UP 2018-336(TS)UP 2018-339(SA)UP 2018-340(SA)UP 2018-344(HS)UP 2018-346(HS)UP 2018-349(HS)UP 2018-351(HS)UP 2018-354(HS)UP 2018-474(SI)VR 2018-1(ROP)VSOR 2017-1(AR)WATX 2017-3(SA)WATX 2017-4(GC)WATX 2017-5(SA)WATX 2017-6(SA)WE 2017-2(RW)WE 2017-3(AD)WE 2017-4(ROR)WHIR 2018-1(HMT)WNYP 2018-1(HMT)WPRR 2017-1(SA)WPRR 2017-2(SA)WSS 2017-1(AD)WTJR 2018-1(SA)WTLC 2015-19(AD)WTLC 2016-7(AR)WTLC 2016-8(AR)WTLC 2016-9(AR)WVC 2017-1(ROR)WW 2018-1(FCS)XAHM 2018-1(HMT)XAIR 2018-1(HMT)XAMA 2017-1(SA)XAMA 2017-2(SA)XAWS 2017-2(BW)

FRA No.

09/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201809/28/201808/24/201809/27/201809/24/201809/24/201809/24/201809/24/201809/24/201802/27/201802/27/201802/27/201809/07/201808/28/201809/27/201809/27/201805/29/201803/05/201804/25/201804/25/201804/25/201804/25/201810/31/201705/23/201805/03/201804/17/201802/13/201802/13/201805/01/2018


11111111217311221113322111111112111111111111111111

No. ofViolations

$2,500 $2,500 $5,000 $5,000 $5,000 $2,000 $2,000 $7,500 $7,500 $5,000 $17,500 $15,000 $2,500 $2,500 $44,000 $5,000 $5,000 $1,000 $3,000 $3,000 $2,000 $2,000 $27,904 $2,000 $2,500 $2,500 $5,000 $2,500 $2,500 $1,000 $5,000 $7,500 $2,000 $2,000 $5,000 $5,000 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500 $7,500 $2,500 $2,000 $2,000 $5,000 $5,000 $2,500

PRCA

$1,800 $1,800 $3,650 $3,650 $3,750 $1,500 $1,500 $5,625 $5,500 $3,650 $12,900 $11,050 $1,825 $1,825 $31,895 $3,650 $3,650 $853 $2,559 $2,559 $1,706 $1,706 $25,113 $1,600 $1,750 $1,750 $3,250 $1,500 $1,500 $925 $4,000 $6,150 $2,000 $1,200 $3,950 $3,950 $1,900 $4,000 $1,800 $1,500 $1,500 $1,500 $5,000 $1,300 $1,300 $2,000 $3,500 $3,000 $2,500

SettlementAmount


POCA

$2,500 $2,500 $5,000 $5,000 $5,000 $2,000 $2,000 $7,500 $7,500 $5,000 $17,500 $15,000 $2,500 $2,500 $44,000 $5,000 $5,000 $1,000 $3,000 $3,000 $2,000 $2,000 $27,904 $2,000 $2,500 $2,500 $5,000 $2,500 $2,500 $1,000 $5,000 $7,500 $2,000 $2,000 $5,000 $5,000 $2,500 $5,000 $2,500 $2,500 $2,500 $2,500 $7,500 $2,500 $2,000 $2,000 $5,000 $5,000 $2,500

94

XAWS 2018-1(BW)XBBR 2018-1(HSR)XBBR 2018-2(HS)XBCP 2017-1(SA)XBRI 2018-1(GC)XCAI 2018-1(HMT)XCAI 2018-2(HMT)XCHS 2017-3(HMT)XCHS 2017-4(HMT)XCIH 2017-1(HMT)XCIH 2018-1(HMT)XCPT 2015-1(HMT)XCPT 2016-1(HMT)XCPT 2016-2(HMT)XCPT 2017-1(HMT)XCPT 2018-1(HMT)XCRB 2016-1(RW)XCSG 2017-2(HMT)XCSK 2016-1(HMT)XCSK 2017-1(HMT)XCVA 2017-1(HMT)XCWW 2017-1(RMM)XDOO 2016-1(HMT)

XDOO 2016-2(HMT)XFBR 2016-2(HMT)XFLD 2010-1(HMT)XFLD 2017-1(HMT)XFMC 2016-4(HMT)XFMC 2017-1(HMT)XFUJ 2018-1(HMT)XGEI 2017-1(HMT)XGEO 2017-1(HMT)XGEO 2018-1(HMT)XGEO 2018-2(HMT)XGLK 2017-1(HMT)XHLL 2017-1(RW)XICB 2018-1(HMT)XLCS 2016-1(RW)XLOV 2018-1(HMT)XLTC 2017-1(HMT)XMAG 2017-1(HMT)XMAG 2017-2(HMT)XMDA 2017-1(HMT)XMKW 2017-5(HMT)XMKW 2017-6(HMT)XMKW 2018-1(HMT)XMKW 2018-2(HMT)XMPM 2018-1(HMT)XMSW 2017-1(HMT)

FRA No.

09/27/201803/27/201803/27/201812/08/201703/28/201806/04/201805/16/201805/07/201805/07/201804/18/201804/18/201805/04/201805/14/201805/14/201805/14/201808/16/201801/12/201810/11/201709/26/201809/26/201801/12/201801/12/201806/18/2018

06/18/201808/18/201805/08/201812/04/201712/15/201712/04/201707/26/201805/10/201804/03/201804/03/201804/03/201805/30/201801/22/201807/19/201810/23/201702/28/201802/08/201809/27/201809/27/201810/31/201710/12/201701/15/201806/14/201808/17/201804/09/201810/10/2017


11111521121111222131113

44112141211131211125111111

No. ofViolations

$2,500 $1,000 $1,000 $2,500 $2,500 $25,000 $10,000 $2,000 $2,000 $5,000 $2,000 $2,000 $2,000 $2,000 $10,000 $4,000 $6,000 $2,000 $12,000 $5,000 $5,000 $5,000 $22,500

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

PRCA

$2,500 $1,000 $1,000 $1,250 $0 $25,000 $10,000 $1,650 $1,650 $3,700 $1,800 $1,500 $1,500 $1,500 $8,000 $3,000 $0 $2,000 $9,000 $3,800 $5,000 $3,500 $5,875

$7,125 $8,000 $0 $7,500 $4,000 $5,000 $4,000 $4,000 $12,000 $3,250 $3,250 $4,600 $5,700 $2,000 $3,000 $2,000 $2,500 $0 $0 $10,000 $4,000 $8,000 $3,850 $8,000 $2,000 $5,000

SettlementAmount


POCA

$2,500 $1,000 $1,000 $2,500 $0 $25,000 $10,000 $2,000 $2,000 $5,000 $2,000 $2,000 $2,000 $2,000 $10,000 $4,000 $0 $2,000 $12,000 $5,000 $5,000 $5,000 $9,500

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

Case Terminated.

Case Terminated.


Case Terminated.


95

XMVM 2018-1(HMT)XNSD 2017-1(HMT)XQDI 2018-1(HMT)XRJC 2016-2(RW)XRMA 2016-1(HMT)XRNN 2018-1(HMT)XRPI 2018-1(RW)XRRP 2017-1(RW)XSBK 2017-1(HMT)XSER 2017-1(HMT)XSNJ 2017-1(AR)XSRS 2015-1(TS)XSSP 2018-1(HMT)XSTH 2017-1(HMT)XTEC 2013-1(HMT)XTGS 2011-1(AD)XTGS 2011-2(TS)XTGS 2011-3(TS)XTGS 2011-4(RW)XTGS 2011-5(AD)XTGS 2011-6(EO)XTGS 2011-7(HMT)XTGS 2011-8(TS)XTGS 2011-9(RW)XTGS 2011-10(TS)XTGS 2011-11(HS)XTGS 2011-12(ROP)XTGS 2011-13(SA)XTGS 2011-15(TS)XTGS 2011-16(RSP)XTGS 2011-17(EQ)XTGS 2012-1(ROP)XTGS 2012-2(HMT)XTGS 2012-3(HMT)XTGS 2012-4(RW)XTGS 2012-5(TS)XTGS 2012-6(SA)XTGS 2012-7(ROP)XTGS 2012-8(SA)XTGS 2012-9(SA)YVRR 2015-2(LI)ZAAO 2017-2(HMT)ZAAO 2017-3(HMT)ZABC 2018-1(HMT)ZABS 2018-1(HMT)ZACR 2017-2(HMT)ZACR 2018-1(HMT)ZACR 2018-2(HMT)ZACR 2018-3(HMT)

FRA No.

02/22/201801/03/201801/25/201812/18/201712/15/201708/29/201806/11/201805/31/201805/23/201805/29/201805/23/201805/14/201803/16/201805/29/201812/06/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201711/01/201712/22/201711/01/201710/18/201703/01/201803/01/201804/24/201806/14/201811/30/201703/22/201803/28/201806/19/2018


211421111121111210313211464331110121112111121211211112

No. ofViolations

$20,000 $2,000 $2,000 $21,000 $4,000 $2,000 $5,000 $5,000 $5,000 $5,000 $5,000 $25,000 $2,000 $2,500 $7,500 $5,000 $10,000 $3,000 $38,500 $5,000 $2,500 $2,500 $4,000 $16,500 $4,000 $33,000 $9,500 $5,000 $10,000 $1,000 $6,000 $7,500 $7,500 $2,500 $6,000 $19,500 $5,000 $2,000 $10,000 $2,500 $5,000 $2,000 $2,000 $7,500 $4,000 $5,000 $5,000 $5,000 $10,000

PRCA

$15,000 $2,000 $0 $16,500 $3,000 $1,800 $5,000 $5,000 $5,000 $5,000 $5,000 $0 $2,000 $2,500 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $2,500 $1,460 $1,460 $7,500 $2,800 $3,600 $3,000 $3,000 $6,500

SettlementAmount


POCA

$20,000 $2,000 $0 $21,000 $4,000 $2,000 $5,000 $5,000 $5,000 $5,000 $5,000 $0 $2,000 $2,500 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $5,000 $2,000 $2,000 $7,500 $4,000 $5,000 $5,000 $5,000 $10,000

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.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.

96

ZACR 2018-5(HMT)ZADN 2017-2(HMT)ZADN 2018-1(HMT)ZAEM 2018-1(HMT)ZAEN 2018-1(HMT)ZAEO 2018-1(HMT)ZAEX 2017-1(HMT)ZAFQ 2017-1(HMT)ZAFQ 2017-2(HMT)ZAFQ 2017-3(HMT)ZAG 2017-1(HMT)ZAG 2017-2(HMT)ZAGA 2018-1(HMT)ZAGP 2018-1(HMT)ZAGT 2018-1(HMT)ZAHL 2017-1(HMT)ZAHL 2018-1(HMT)ZAID 2016-1(HMT)ZAIV 2018-1(HMT)ZAKN 2017-2(HMT)ZAKN 2017-3(HMT)ZAKN 2018-1(HMT)ZALA 2017-1(HMT)ZALG 2018-1(HMT)ZALQ 2018-1(HMT)ZALTI 2017-1(HMT)ZALTI 2017-2(HMT)

ZAMC 2017-4(HMT)ZAMC 2018-1(HMT)ZAMC 2018-2(HMT)ZAMC 2018-3(HMT)ZAMC 2018-4(HMT)ZAMRI 2018-1(HMT)ZAMV 2017-1(HMT)ZAND 2017-1(HMT)ZAND 2017-2(HMT)ZAND 2017-3(HMT)ZAND 2017-4(HMT)ZAND 2017-5(HMT)ZAND 2018-1(HMT)ZAPM 2017-2(HMT)ZAPM 2018-1(HMT)ZAPM 2018-2(HMT)ZARGR 2017-2(HMT)ZARJ 2017-2(HMT)ZARJ 2017-3(HMT)ZARK 2017-1(HMT)ZASR 2017-3(HMT)ZASR 2018-1(HMT)

FRA No.

09/28/201811/21/201702/12/201804/05/201803/29/201804/19/201804/24/201803/27/201803/27/201803/27/201803/14/201803/13/201806/27/201804/30/201806/14/201801/04/201802/15/201805/29/201805/01/201801/04/201804/30/201809/11/201810/10/201705/23/201806/05/201805/31/201805/31/2018

01/16/201802/01/201805/22/201807/05/201809/04/201809/28/201811/09/201702/12/201810/05/201711/21/201711/21/201711/21/201707/12/201801/23/201801/23/201808/18/201811/09/201702/01/201802/01/201810/29/201711/30/201704/03/2018


111311111111411151121111111

1211111132212233111111

No. ofViolations

$5,000 $10,000 $5,000 $6,000 $5,000 $10,000 $5,000 $10,000 $10,000 $5,000 $5,000 $5,000 $20,000 $2,000 $2,500 $5,000 $12,000 $10,000 $5,000 $10,000 $10,000 $2,000 $2,000 $2,000 $10,000 $5,000 $10,000

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

PRCA

$3,500 $8,000 $3,400 $4,200 $5,000 $10,000 $2,050 $8,000 $4,000 $2,000 $0 $4,150 $20,000 $2,000 $2,500 $5,000 $12,000 $6,200 $3,900 $7,100 $8,000 $2,000 $1,300 $0 $10,000 $900 $900

$0 $7,000 $1,300 $1,300 $3,350 $10,000 $5,000 $2,800 $6,000 $7,000 $3,500 $7,800 $11,250 $5,000 $6,000 $15,000 $3,650 $1,400 $1,300 $10,000 $2,000 $2,000

SettlementAmount


POCA

$5,000 $10,000 $5,000 $6,000 $5,000 $10,000 $5,000 $10,000 $10,000 $5,000 $0 $5,000 $20,000 $2,000 $2,500 $5,000 $12,000 $10,000 $5,000 $10,000 $10,000 $2,000 $2,000 $0 $10,000 $5,000 $5,000

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

Case Terminated.

Case Terminated.

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

97

ZASY 2017-1(HMT)ZAUL 2018-1(HMT)ZAVX 2018-1(HMT)ZAXI 2017-1(HMT)ZAXI 2018-1(HMT)ZAXI 2018-2(HMT)ZAXI 2018-3(HMT)ZBAC 2018-1(HMT)ZBADG 2017-2(HMT)ZBAK 2017-1(HMT)ZBAN 2015-1(HMT)ZBAN 2016-1(HMT)ZBAN 2016-2(HMT)ZBAS 2017-3(HMT)ZBAS 2017-4(HMT)ZBAS 2017-5(HMT)ZBAS 2018-1(HMT)ZBAS 2018-2(HMT)ZBAS 2018-3(HMT)ZBCU 2017-2(HMT)ZBEP 2017-1(HMT)ZBEP 2017-2(HMT)ZBEP 2018-1(HMT)ZBEP 2018-2(HMT)ZBEP 2018-3(HMT)ZBGL 2018-1(HMT)ZBHM 2018-1(HMT)ZBMR 2018-1(HMT)ZBMS 2017-1(HMT)ZBMS 2017-2(HMT)ZBMS 2017-3(HMT)ZBMS 2018-1(HMT)ZBRM 2017-1(HMT)ZBRM 2018-1(HMT)ZBRP 2018-1(HMT)ZBRY 2018-1(HMT)ZBSN 2017-1(HMT)ZBTA 2017-1(HMT)ZBTC 2017-1(HMT)ZBTM 2018-1(HMT)ZBUT 2018-1(HMT)ZBWW 2018-1(HMT)ZBYS 2018-1(HMT)ZCAB 2017-1(HMT)ZCAM 2016-1(HMT)ZCAU 2017-1(HMT)ZCBK 2016-1(HMT)ZCCF 2017-1(HMT)ZCCM 2017-2(HMT)

FRA No.

10/26/201706/28/201806/05/201811/28/201704/10/201805/22/201805/22/201803/28/201801/08/201803/05/201810/18/201710/18/201710/18/201710/12/201711/29/201701/10/201804/14/201805/02/201808/16/201811/20/201701/18/201801/18/201802/06/201805/22/201806/12/201803/09/201804/09/201809/24/201810/30/201712/29/201712/29/201701/19/201811/30/201709/17/201808/21/201804/03/201811/02/201703/06/201811/17/201704/23/201809/25/201809/18/201806/19/201810/25/201705/09/201805/09/201805/09/201801/03/201801/03/2018


1111211211214131111112111111111211111132112111121

No. ofViolations

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

PRCA

$1,400 $1,300 $3,600 $1,360 $5,250 $3,500 $3,100 $7,500 $5,000 $2,500 $5,000 $8,750 $14,000 $5,000 $9,000 $2,000 $2,000 $5,000 $5,000 $8,500 $7,000 $6,250 $10,000 $5,000 $2,500 $2,500 $6,000 $2,000 $2,000 $2,000 $2,000 $4,000 $10,000 $5,000 $1,600 $2,800 $8,500 $1,500 $8,000 $4,000 $1,000 $1,300 $4,000 $5,000 $5,250 $1,500 $3,250 $9,000 $5,000

SettlementAmount


POCA

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

98

ZCCN 2018-2(HMT)ZCDA 2016-1(HMT)ZCDY 2017-1(HMT)ZCEE 2017-2(HMT)ZCEF 2018-2(HMT)ZCELA 2017-3(HMT)ZCFC 2017-4(HMT)ZCHX 2018-1(HMT)ZCHY 2017-1(HMT)ZCIE 2017-1(HMT)ZCJZ 2017-1(HMT)ZCLQ 2016-1(HMT)ZCLX 2017-1(HMT)ZCLX 2017-2(HMT)ZCMA 2015-1(HMT)ZCMA 2017-1(HMT)ZCME 2016-1(HMT)ZCME 2017-1(HMT)ZCMP 2017-1(HMT)ZCNC 2017-2(HMT)ZCNL 2017-1(HMT)ZCNL 2017-2(HMT)ZCORN 2016-1(HMT)ZCOV 2017-1(HMT)ZCOY 2017-1(HMT)ZCPSI 2018-1(HMT)ZCRY 2017-1(HMT)ZCRY 2018-2(HMT)ZCRZ 2017-1(HMT)ZCSF 2018-1(HMT)ZCSPI 2017-1(HMT)ZCT 2018-2(HMT)ZCUI 2016-2(HMT)ZCUI 2018-1(HMT)ZCYS 2018-1(HMT)ZDAK 2018-1(HMT)ZDCM 2017-1(HMT)ZDCU 2017-5(HMT)ZDCU 2018-1(HMT)ZDCU 2018-2(HMT)ZDET 2017-1(HMT)ZDKR 2018-1(HMT)ZDMX 2014-1(HMT)ZDNA 2016-1(HMT)ZDNA 2016-2(HMT)ZDNA 2016-3(HMT)ZDNA 2017-1(HMT)

ZDPM 2017-1(HMT)ZDSP 2018-1(HMT)

FRA No.

05/09/201801/10/201812/21/201710/25/201705/07/201812/04/201705/07/201802/07/201803/09/201803/14/201801/12/201805/31/201801/17/201805/04/201810/17/201701/12/201805/07/201805/07/201801/12/201812/28/201702/05/201802/05/201812/28/201705/16/201812/04/201705/02/201801/10/201805/02/201801/12/201807/09/201801/10/201807/09/201803/14/201805/04/201802/28/201806/12/201803/20/201801/23/201807/03/201807/12/201801/19/201804/25/201811/17/201709/12/201809/12/201809/12/201809/12/2018

01/25/201805/21/2018


21211111114231111111111111121121211111111121323

21

No. ofViolations

$4,000 $2,000 $4,000 $5,000 $999 $5,000 $2,000 $10,000 $2,500 $5,000 $8,000 $10,000 $22,500 $2,000 $4,000 $4,000 $5,000 $5,000 $5,000 $5,000 $2,000 $10,000 $2,000 $5,000 $2,000 $2,000 $10,000 $15,000 $10,000 $2,000 $20,000 $2,000 $6,500 $5,000 $2,000 $2,000 $5,000 $5,000 $2,000 $5,000 $5,000 $15,000 $4,000 $5,000 $15,000 $10,000 $15,000

$12,500 $10,000

PRCA

$4,000 $2,000 $3,000 $5,000 $999 $5,000 $1,600 $10,000 $2,500 $5,000 $6,400 $7,500 $17,500 $1,500 $3,000 $0 $4,000 $4,000 $4,000 $4,000 $1,600 $7,500 $1,500 $3,500 $2,000 $2,000 $8,000 $12,500 $8,000 $2,000 $16,000 $2,000 $5,200 $5,000 $2,000 $2,000 $3,500 $4,000 $1,600 $4,000 $4,000 $0 $3,000 $3,250 $9,750 $6,500 $4,500

$4,500 $4,000

SettlementAmount


POCA

$4,000 $2,000 $4,000 $5,000 $999 $5,000 $2,000 $10,000 $2,500 $5,000 $8,000 $10,000 $22,500 $2,000 $4,000 $0 $5,000 $5,000 $5,000 $5,000 $2,000 $10,000 $2,000 $5,000 $2,000 $2,000 $10,000 $15,000 $10,000 $2,000 $20,000 $2,000 $6,500 $5,000 $2,000 $2,000 $5,000 $5,000 $2,000 $5,000 $5,000 $0 $4,000 $5,000 $15,000 $10,000 $6,000

$5,000 $10,000

Case Terminated.

Case Terminated.

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

99

ZDUB 2017-2(HMT)ZDUK 2018-1(HMT)ZDUP 2017-3(HMT)ZDUP 2018-1(HMT)ZDUP 2018-2(HMT)ZDYI 2017-3(HMT)ZDYI 2017-4(HMT)ZDYI 2018-1(HMT)ZDYI 2018-2(HMT)ZEACH 2018-1(HMT)ZEACH 2018-2(HMT)ZECD 2018-1(HMT)ZECD 2018-2(HMT)ZECDP 2017-1(HMT)ZECQ 2017-1(HMT)ZEJO 2018-1(HMT)ZEME 2018-1(HMT)ZEMER 2018-1(HMT)ZEMT 2018-1(HMT)ZENK 2017-1(HMT)ZEPC 2017-1(HMT)ZEPG 2017-1(HMT)ZEPZ 2017-1(HMT)ZEQU 2017-1(HMT)ZESG 2018-1(HMT)ZESG 2018-2(HMT)ZESR 2017-2(HMT)ZETT 2018-1(HMT)ZEVC 2018-1(HMT)ZEVD 2017-1(HMT)ZFAL 2011-1(HMT)ZFAS 2017-1(HMT)ZFBB 2009-1(HMT)ZFBI 2006-2(HMT)ZFCQ 2009-1(HMT)ZFEQ 2010-1(HMT)ZFFP 2010-1(HMT)ZFGC 2014-1(HMT)ZFGC 2017-2(HMT)ZFGC 2018-1(HMT)ZFHR 2014-1(HMT)ZFHR 2016-3(HMT)ZFHR 2018-1(HMT)ZFIC 2010-1(HMT)ZFIC 2010-2(HMT)ZFIT 2018-1(HMT)ZFIT 2018-2(HMT)ZFKP 2018-1(HMT)ZFLS 2017-1(HMT)

FRA No.

10/11/201708/01/201812/05/201706/14/201806/01/201803/29/201812/29/201703/26/201804/10/201804/17/201807/10/201803/20/201806/26/201810/12/201701/04/201808/09/201807/03/201806/28/201809/25/201810/12/201710/02/201711/02/201710/24/201710/31/201703/05/201803/20/201801/04/201802/27/201808/16/201811/30/201703/27/201802/13/201803/27/201803/27/201803/27/201803/27/201803/27/201808/21/201808/21/201804/19/201808/22/201812/05/201708/21/201803/27/201803/27/201809/04/201805/05/201804/25/201811/06/2017


1212221211311611111311111111112132131111112111111

No. ofViolations

$2,000 $3,000 $5,000 $7,000 $8,000 $4,000 $2,000 $10,000 $5,000 $2,000 $6,000 $2,000 $5,000 $30,000 $7,500 $10,000 $5,000 $5,000 $5,000 $7,500 $5,000 $2,000 $5,000 $10,000 $5,000 $5,000 $10,000 $5,000 $5,000 $2,000 $10,000 $5,000 $14,500 $10,000 $2,000 $15,000 $7,500 $4,000 $5,000 $5,000 $5,000 $5,000 $10,000 $5,000 $7,500 $2,000 $2,000 $5,000 $2,000

PRCA

$2,000 $3,000 $3,750 $7,000 $5,000 $4,000 $2,000 $10,000 $5,000 $1,360 $4,200 $1,400 $3,950 $30,000 $5,475 $8,100 $5,000 $5,000 $5,000 $7,500 $5,000 $2,000 $5,000 $7,700 $4,000 $4,000 $8,200 $3,500 $5,000 $1,360 $0 $4,000 $0 $0 $0 $0 $0 $3,500 $4,000 $4,000 $3,500 $5,000 $8,500 $0 $0 $2,000 $2,000 $4,000 $1,500

SettlementAmount


POCA

$2,000 $3,000 $5,000 $7,000 $8,000 $4,000 $2,000 $10,000 $5,000 $2,000 $6,000 $2,000 $5,000 $30,000 $7,500 $10,000 $5,000 $5,000 $5,000 $7,500 $5,000 $2,000 $5,000 $10,000 $5,000 $5,000 $10,000 $5,000 $5,000 $2,000 $0 $5,000 $0 $0 $0 $0 $0 $4,000 $5,000 $5,000 $5,000 $5,000 $10,000 $0 $0 $2,000 $2,000 $5,000 $2,000

Case Terminated.



100

ZFLS 2017-2(HMT)ZFMB 2017-1(HMT)ZFMJ 2008-1(HMT)ZFNS 2011-1(HMT)ZFON 2013-1(HMT)ZFOR 2017-1(HMT)ZFOR 2018-1(HMT)ZFOT 2010-1(HMT)ZFPC 2018-1(HMT)ZFPI 2007-1(HMT)ZFRR 2007-1(HMT)ZFSQ 2007-1(HMT)ZFTP 2006-1(HMT)ZFUR 2010-1(HMT)ZFVP 2017-1(HMT)ZFXI 2016-2(HMT)ZGDB 2016-1(HMT)ZGDE 2015-1(HMT)ZGEO 2016-1(HMT)ZGEPA 2016-3(HMT)ZGEPA 2016-4(HMT)ZGEPA 2017-1(HMT)ZGEPA 2018-1(HMT)ZGEPA 2018-2(HMT)ZGEU 2016-3(HMT)ZGEU 2017-1(HMT)ZGEU 2018-1(HMT)ZGFE 2017-2(HMT)ZGFE 2017-3(HMT)ZGPE 2016-1(HMT)ZGPE 2017-1(HMT)ZGPF 2017-1(HMT)ZGPF 2017-2(HMT)ZGSR 2017-1(HMT)ZGSZ 2016-2(HMT)ZGSZ 2017-1(HMT)ZGSZ 2017-2(HMT)ZGSZ 2017-4(HMT)ZGSZ 2017-5(HMT)ZGUS 2016-1(HMT)ZHAR 2018-1(HMT)ZHAR 2018-2(HMT)ZHCG 2017-4(HMT)ZHCG 2018-1(HMT)ZHCG 2018-2(HMT)ZHCG 2018-3(HMT)ZHCH 2018-1(HMT)ZHCM 2018-1(HMT)ZHEI 2017-1(HMT)

FRA No.

02/08/201812/12/201703/28/201803/28/201803/28/201811/29/201709/18/201803/27/201804/09/201805/08/201803/28/201805/08/201803/27/201803/27/201809/27/201801/22/201805/24/201803/23/201805/30/201804/03/201804/03/201804/03/201804/03/201805/21/201805/16/201805/16/201805/16/201804/11/201804/11/201805/09/201805/09/201804/03/201812/07/201707/02/201804/04/201804/04/201803/22/201803/28/201804/04/201805/16/201803/26/201806/01/201801/31/201806/05/201805/14/201806/14/201808/22/201805/31/201802/01/2018


2114141311211111111121311112111111121111121111111

No. ofViolations

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

PRCA

$4,000 $4,000 $0 $0 $0 $20,000 $5,000 $0 $3,250 $0 $0 $0 $0 $0 $4,000 $1,600 $5,000 $3,250 $3,500 $8,000 $6,000 $3,000 $15,500 $3,250 $2,900 $7,500 $7,500 $6,900 $3,500 $7,000 $7,000 $3,000 $2,000 $6,000 $4,000 $10,000 $5,000 $10,000 $7,500 $7,500 $2,000 $4,000 $5,000 $5,000 $5,000 $5,000 $2,000 $3,250 $4,500

SettlementAmount


POCA

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

Case Terminated.Case Terminated.Case Terminated.

Case Terminated.



101

ZHEI 2018-1(HMT)ZHEI 2018-2(HMT)ZHEI 2018-3(HMT)ZHFA 2017-1(HMT)ZHFR 2018-1(HMT)ZHFR 2018-2(HMT)ZHLA 2017-1(HMT)ZHLR 2018-1(HMT)ZHMS 2017-1(HMT)ZHNI 2017-4(HMT)ZHNI 2018-1(HMT)ZHNI 2018-2(HMT)ZHRM 2018-1(HMT)ZHUN 2018-1(HMT)ZHWS 2017-1(HMT)ZHYC 2018-1(HMT)

ZIEL 2018-1(HMT)ZIML 2017-1(HMT)ZIP 2017-4(HMT)ZIP 2017-5(HMT)ZIRO 2017-1(HMT)ZIRO 2017-2(HMT)ZIRR 2013-1(HMT)ZIRR 2013-2(HMT)ZITH 2018-1(HMT)ZIVE 2017-1(HMT)ZIWI 2018-1(HMT)ZIWT 2017-1(HMT)ZJCC 2016-1(HMT)ZJCC 2016-2(HMT)ZJCC 2017-1(HMT)ZJMA 2017-1(HMT)ZJRS 2017-2(HMT)ZJRS 2017-3(HMT)ZJRS 2018-1(HMT)ZJRS 2018-2(HMT)ZJRS 2018-3(HMT)ZJRS 2018-4(HMT)ZJRS 2018-5(HMT)ZJRS 2018-6(HMT)ZKAE 2018-1(HMT)ZKAT 2016-1(HMT)ZKDM 2017-2(HMT)ZKDM 2017-3(HMT)ZKEL 2017-1(HMT)ZKEM 2017-1(HMT)ZKEN 2017-1(HMT)

ZKKC 2016-1(HMT)

FRA No.

03/28/201806/05/201807/02/201810/25/201706/06/201806/05/201801/29/201805/21/201812/07/201701/02/201807/03/201807/18/201807/18/201805/25/201801/18/201807/10/2018

09/24/201810/27/201710/27/201710/06/201711/28/201711/28/201705/30/201805/30/201809/10/201806/04/201807/26/201808/28/201810/04/201710/04/201710/04/201711/09/201710/10/201701/16/201802/21/201803/20/201804/11/201804/11/201805/09/201808/16/201802/15/201805/10/201803/05/201803/05/201805/04/201804/18/201805/07/2018

05/16/2018


2211161821111116

1141111511111111211111112111121

1

No. ofViolations

$4,000 $4,000 $2,000 $5,000 $2,000 $30,000 $2,500 $34,000 $10,000 $2,000 $2,000 $4,500 $2,000 $5,000 $2,000 $45,000

$2,500 $5,000 $8,000 $2,000 $5,000 $2,000 $5,000 $25,000 $4,000 $5,000 $2,000 $2,500 $2,000 $5,000 $15,000 $1,000 $20,000 $5,000 $5,000 $10,000 $5,000 $5,000 $2,000 $2,000 $10,000 $4,000 $5,000 $10,000 $5,000 $10,000 $10,000

$10,000

PRCA

$3,200 $3,000 $1,700 $5,000 $2,000 $30,000 $0 $34,000 $10,000 $1,500 $2,000 $3,750 $1,250 $5,000 $1,250 $6,000

$2,500 $3,475 $6,000 $2,000 $5,000 $2,000 $0 $0 $4,000 $5,000 $2,000 $2,500 $1,000 $4,000 $12,000 $650 $14,000 $3,000 $2,500 $8,000 $3,000 $3,000 $1,500 $1,300 $10,000 $4,000 $2,500 $6,500 $3,500 $10,000 $7,500

$8,000

SettlementAmount


POCA

$4,000 $4,000 $2,000 $5,000 $2,000 $30,000 $0 $34,000 $10,000 $2,000 $2,000 $4,500 $2,000 $5,000 $2,000 $7,500

$2,500 $5,000 $8,000 $2,000 $5,000 $2,000 $0 $0 $4,000 $5,000 $2,000 $2,500 $2,000 $5,000 $15,000 $1,000 $20,000 $5,000 $5,000 $10,000 $5,000 $5,000 $2,000 $2,000 $10,000 $4,000 $5,000 $10,000 $5,000 $10,000 $7,500

$10,000

Case Terminated.




102

ZKML 2017-3(HMT)ZKML 2017-4(HMT)ZKML 2018-1(HMT)ZKML 2018-2(HMT)ZKML 2018-3(HMT)ZKML 2018-4(HMT)ZKML 2018-5(HMT)ZKMQ 2017-1(HMT)ZKMQ 2018-1(HMT)ZKOR 2015-1(HMT)ZKOR 2016-1(HMT)ZKOR 2016-2(HMT)ZKPI 2017-3(HMT)ZKRA 2018-1(HMT)ZKTS 2017-1(HMT)ZKWS 2017-1(HMT)ZKWS 2017-2(HMT)ZKWS 2017-3(HMT)ZKYE 2015-1(HMT)ZLAS 2018-1(HMT)ZLDE 2017-3(HMT)ZLDE 2018-1(HMT)ZLDE 2018-2(HMT)ZLDI 2017-1(HMT)ZLDI 2017-2(HMT)ZLDI 2018-1(HMT)ZLDI 2018-2(HMT)ZLDR 2017-1(HMT)ZLEA 2017-1(HMT)ZLGD 2018-1(HMT)ZLHP 2018-1(HMT)ZLSH 2017-1(HMT)ZLUB 2017-4(HMT)ZLUB 2018-1(HMT)ZLUIN 2018-1(HMT)ZLUIN 2018-2(HMT)ZLWD 2003-1(HMT)ZMAF 2017-2(HMT)ZMAF 2017-3(HMT)ZMAX 2017-2(HMT)ZMAX 2018-1(HMT)ZMFQ 2017-2(HMT)ZMFQ 2017-3(HMT)ZMFQ 2017-4(HMT)ZMFQ 2018-1(HMT)ZMFQ 2018-2(HMT)ZMGP 2017-1(HMT)ZMGP 2017-2(HMT)ZMGP 2018-1(HMT)

FRA No.

01/08/201801/08/201806/06/201807/09/201805/02/201807/09/201807/09/201803/06/201803/06/201805/04/201805/04/201805/04/201812/18/201705/22/201804/20/201804/18/201812/05/201712/05/201706/06/201802/22/201805/14/201803/08/201803/08/201810/23/201712/18/201702/12/201803/05/201802/09/201801/08/201807/31/201806/05/201812/18/201712/21/201705/08/201807/17/201809/14/201812/04/201710/03/201711/28/201711/29/201704/11/201811/14/201702/02/201802/02/201806/21/201805/18/201810/17/201712/19/201703/26/2018


1111111111112211113111211121711111111471121412121

No. ofViolations

$2,000 $2,000 $2,000 $2,000 $2,000 $5,000 $2,000 $5,000 $5,000 $2,000 $10,000 $2,000 $10,000 $7,000 $2,000 $1,000 $5,000 $5,000 $6,000 $2,000 $10,000 $2,000 $4,500 $5,000 $2,000 $2,000 $10,000 $10,000 $23,000 $5,000 $5,000 $5,000 $5,000 $10,000 $2,000 $5,000 $2,000 $8,000 $14,000 $5,000 $5,000 $3,000 $2,000 $8,000 $10,000 $4,000 $5,000 $8,000 $5,000

PRCA

$1,500 $1,300 $1,750 $1,400 $2,000 $4,500 $1,400 $2,750 $2,750 $1,200 $8,000 $1,500 $6,000 $5,600 $1,500 $1,000 $3,000 $3,000 $6,000 $1,000 $7,500 $1,300 $3,300 $3,500 $1,400 $1,400 $7,000 $6,000 $23,000 $5,000 $5,000 $3,250 $5,000 $10,000 $2,000 $3,000 $0 $6,400 $11,200 $5,000 $5,000 $3,000 $1,500 $6,400 $0 $4,000 $3,900 $6,240 $3,900

SettlementAmount


POCA

$2,000 $2,000 $2,000 $2,000 $2,000 $5,000 $2,000 $5,000 $5,000 $2,000 $10,000 $2,000 $10,000 $7,000 $2,000 $1,000 $5,000 $5,000 $6,000 $2,000 $10,000 $2,000 $4,500 $5,000 $2,000 $2,000 $10,000 $10,000 $23,000 $5,000 $5,000 $5,000 $5,000 $10,000 $2,000 $5,000 $0 $8,000 $14,000 $5,000 $5,000 $3,000 $2,000 $8,000 $0 $4,000 $5,000 $8,000 $5,000

Case Terminated.

Case Terminated.

103

ZMHO 2017-2(HMT)ZMIP 2017-2(HMT)ZMIP 2018-1(HMT)ZMIP 2018-2(HMT)ZMKJ 2018-1(HMT)ZMNE 2017-1(HMT)ZMNP 2017-3(HMT)ZMNP 2017-4(HMT)ZMNP 2017-5(HMT)

ZMNP 2018-1(HMT)ZMNT 2018-1(HMT)ZMNX 2018-1(HMT)ZMQE 2017-1(HMT)ZMQE 2018-1(HMT)ZMRK 2018-1(HMT)ZMSL 2018-1(HMT)ZMTE 2017-3(HMT)ZMTE 2018-1(HMT)ZMTE 2018-2(HMT)ZMTE 2018-3(HMT)ZMTE 2018-4(HMT)ZMTE 2018-5(HMT)ZMTE 2018-6(HMT)ZMTE 2018-7(HMT)

ZMTR 2018-1(HMT)ZMUN 2017-1(HMT)ZMUN 2018-1(HMT)ZMUSK 2017-2(HMT)ZMWE 2017-1(HMT)ZNAL 2017-1(HMT)ZNAL 2017-2(HMT)ZNBA 2017-1(HMT)ZNBA 2017-2(HMT)ZNBA 2017-3(HMT)ZNBX 2018-1(HMT)ZNCS 2017-1(HMT)ZNDM 2017-1(HMT)ZNDM 2018-1(HMT)ZNDM 2018-2(HMT)ZNGE 2017-1(HMT)ZNGE 2018-1(HMT)ZNGL 2017-1(HMT)ZNPT 2018-1(HMT)

ZNSL 2017-2(HMT)ZNSL 2017-3(HMT)ZNSS 2016-1(HMT)ZNXE 2017-2(HMT)

FRA No.

02/26/201802/22/201802/22/201809/06/201805/03/201801/04/201812/05/201712/05/201704/23/2018

03/07/201802/20/201802/27/201810/03/201703/20/201809/06/201804/05/201801/10/201803/28/201805/29/201805/09/201805/09/201805/30/201808/10/201808/15/2018

04/17/201812/12/201704/25/201812/20/201702/26/201801/25/201801/25/201810/12/201711/21/201711/06/201705/16/201806/18/201811/28/201703/01/201809/12/201812/27/201702/08/201810/03/201706/07/2018

01/30/201801/11/201806/06/201804/05/2018


114411112

111131112524212

1211112211212111415

1111

No. ofViolations

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

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

$5,000 $6,000 $10,000 $2,000 $10,000 $2,000 $10,000 $10,000 $5,000 $1,000 $4,000 $2,000 $12,000 $10,000 $2,000 $500 $20,000 $2,000 $20,000

$4,000 $2,000 $2,000 $5,000

PRCA

$5,000 $2,500 $10,000 $10,000 $1,250 $1,600 $2,000 $4,000 $10,000

$2,500 $5,000 $0 $4,000 $15,000 $4,000 $3,200 $2,000 $4,000 $0 $4,000 $8,000 $4,000 $2,000 $4,000

$5,000 $6,000 $8,000 $2,000 $10,000 $1,400 $7,000 $6,500 $3,500 $700 $2,800 $2,000 $12,000 $10,000 $2,000 $500 $12,000 $2,000 $2,500

$0 $2,000 $1,000 $5,000

SettlementAmount


POCA

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

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

$5,000 $6,000 $10,000 $2,000 $10,000 $2,000 $10,000 $10,000 $5,000 $1,000 $4,000 $2,000 $12,000 $10,000 $2,000 $500 $20,000 $2,000 $2,500

$0 $2,000 $2,000 $5,000


Case Terminated.

Case Terminated.


Terminated Violation(s): 1, 2, 4.Case Terminated.

104

ZNXE 2017-3(HMT)ZNXE 2018-1(HMT)ZOBC 2017-1(HMT)ZOCC 2016-4(HMT)ZOCC 2016-5(HMT)ZOCC 2016-6(HMT)ZOCC 2017-1(HMT)ZOCC 2017-2(HMT)ZOCC 2017-3(HMT)ZOCC 2017-4(HMT)ZOCC 2018-1(HMT)ZOCC 2018-2(HMT)ZOEE 2018-1(HMT)ZOKH 2018-1(HMT)ZOLI 2017-4(HMT)ZOLI 2017-5(HMT)ZOLI 2018-1(HMT)ZOLI 2018-2(HMT)ZOLI 2018-3(HMT)ZOLI 2018-4(HMT)ZOLI 2018-5(HMT)ZOLI 2018-6(HMT)ZOLI 2018-7(HMT)ZOLI 2018-8(HMT)ZOLI 2018-9(HMT)ZOLI 2018-10(HMT)ZOMP 2017-1(HMT)ZONB 2017-1(HMT)ZONG 2018-1(HMT)ZOTER 2017-2(HMT)ZOTER 2018-1(HMT)ZOTER 2018-2(HMT)ZOTER 2018-3(HMT)ZOTT 2017-1(HMT)ZOTT 2018-1(HMT)ZPAE 2016-2(HMT)ZPAE 2017-1(HMT)

ZPAE 2017-2(HMT)ZPCSI 2018-1(HMT)ZPCSS 2017-1(HMT)ZPCSS 2018-1(HMT)ZPCSS 2018-2(HMT)ZPCU 2018-1(HMT)ZPGW 2015-1(HMT)ZPHO 2016-1(HMT)ZPLA 2018-1(HMT)ZPLA 2018-2(HMT)ZPLS 2017-2(HMT)ZPME 2017-1(HMT)

FRA No.

12/18/201704/05/201812/27/201702/14/201802/14/201802/14/201805/08/201805/08/201805/08/201805/08/201809/18/201809/18/201806/04/201806/08/201812/12/201701/22/201804/26/201805/24/201805/24/201805/24/201805/24/201805/24/201806/28/201808/10/201809/10/201809/18/201801/05/201811/22/201705/31/201802/14/201806/05/201806/05/201807/11/201810/16/201709/05/201810/09/201710/09/2017

10/09/201704/18/201805/21/201805/21/201805/21/201809/11/201804/10/201805/21/201803/14/201804/18/201811/17/201711/13/2017


1111111122111111212141111211311112111

111211121111

No. ofViolations

$2,500 $2,000 $5,000 $6,000 $5,000 $5,000 $10,000 $5,000 $10,000 $10,000 $5,000 $5,000 $10,000 $5,000 $7,500 $5,000 $10,000 $10,000 $7,000 $10,000 $18,000 $5,000 $5,000 $6,000 $5,000 $10,000 $5,000 $8,000 $4,500 $11,000 $10,000 $2,000 $10,000 $7,000 $5,000 $5,000 $5,000

$5,000 $2,000 $5,000 $10,000 $5,000 $5,000 $6,000 $10,000 $10,000 $2,000 $5,000 $5,000

PRCA

$2,500 $2,000 $5,000 $4,920 $3,850 $3,850 $8,000 $3,500 $7,000 $7,000 $4,000 $3,500 $8,500 $5,000 $6,375 $3,250 $7,000 $8,500 $5,600 $8,500 $13,500 $3,750 $4,000 $4,500 $3,750 $8,000 $3,750 $4,000 $4,500 $7,000 $8,000 $1,000 $7,000 $5,850 $4,000 $4,000 $2,000

$5,000 $2,000 $3,750 $7,000 $3,750 $5,000 $6,000 $7,500 $10,000 $2,000 $4,000 $5,000

SettlementAmount


POCA

$2,500 $2,000 $5,000 $6,000 $5,000 $5,000 $10,000 $5,000 $10,000 $10,000 $5,000 $5,000 $10,000 $5,000 $7,500 $5,000 $10,000 $10,000 $7,000 $10,000 $18,000 $5,000 $5,000 $6,000 $5,000 $10,000 $5,000 $8,000 $4,500 $11,000 $10,000 $2,000 $10,000 $7,000 $5,000 $5,000 $2,000

$5,000 $2,000 $5,000 $10,000 $5,000 $5,000 $6,000 $10,000 $10,000 $2,000 $5,000 $5,000


105

ZPME 2017-2(HMT)ZPMS 2016-5(HMT)ZPNF 2017-1(HMT)ZPNF 2017-2(HMT)ZPNQ 2017-1(HMT)ZPOL 2017-1(HMT)ZPOTS 2017-1(HMT)ZPOTS 2018-1(HMT)ZPPJ 2018-1(HMT)ZPRG 2009-1(HMT)ZPRX 2018-1(HMT)ZPRX 2018-2(HMT)ZPVS 2018-1(HMT)ZPVS 2018-2(HMT)ZQTL 2018-1(HMT)ZRAI 2017-1(HMT)ZRAS 2018-1(HMT)ZRBA 2018-1(HMT)ZRCA 2017-1(HMT)ZRCA 2017-2(HMT)ZRCA 2017-3(HMT)ZRFC 2018-1(HMT)ZRFC 2018-2(HMT)ZRKM 2017-1(HMT)ZRKP 2018-1(HMT)ZRLG 2018-1(HMT)ZRPM 2017-2(HMT)ZRSH 2017-1(HMT)ZRSO 2018-1(HMT)ZRTLS 2017-1(HMT)ZRTLS 2018-1(HMT)ZRVI 2016-1(HMT)ZRVI 2017-1(HMT)ZSAB 2018-1(HMT)ZSAM 2017-1(HMT)ZSAM 2018-1(HMT)ZSASN 2017-1(HMT)ZSASN 2017-2(HMT)ZSASN 2018-1(HMT)ZSCC 2015-1(HMT)ZSCC 2016-1(HMT)ZSCC 2016-2(HMT)ZSCC 2017-2(HMT)ZSCC 2017-3(HMT)ZSCC 2018-1(HMT)ZSCC 2018-2(HMT)ZSCC 2018-3(HMT)ZSCC 2018-4(HMT)ZSHEL 2017-1(HMT)

FRA No.

10/20/201711/17/201705/21/201805/21/201801/03/201810/12/201705/21/201805/21/201801/23/201805/31/201806/07/201806/07/201809/12/201809/12/201804/30/201811/30/201707/26/201805/15/201812/20/201702/21/201802/21/201806/15/201808/24/201805/04/201806/25/201808/30/201812/15/201705/14/201803/28/201803/12/201803/12/201811/28/201711/28/201704/24/201801/03/201803/13/201805/21/201801/17/201802/28/201803/16/201803/16/201803/16/201803/16/201803/16/201805/29/201805/29/201805/29/201805/29/201803/16/2018


1111111111111111111131211241211111111111111111111

No. ofViolations

$5,000 $10,000 $10,000 $7,500 $2,000 $2,000 $5,000 $5,000 $2,000 $2,500 $5,000 $10,000 $2,000 $5,000 $2,000 $2,000 $2,000 $2,000 $2,000 $7,500 $15,000 $2,500 $10,000 $10,000 $2,000 $5,000 $30,000 $7,500 $4,000 $2,000 $2,000 $2,000 $2,000 $2,000 $2,000 $2,000 $5,000 $5,000 $5,000 $5,000 $5,000 $10,000 $10,000 $10,000 $5,000 $5,000 $10,000 $15,000 $12,500

PRCA

$5,000 $8,500 $8,500 $6,000 $2,000 $1,000 $3,750 $3,750 $2,000 $1,000 $4,250 $8,500 $1,500 $4,250 $2,000 $2,000 $2,000 $2,000 $2,000 $7,500 $15,000 $2,500 $10,000 $7,000 $2,000 $4,500 $30,000 $5,500 $4,000 $2,000 $2,000 $1,000 $1,000 $1,400 $2,000 $2,000 $5,000 $5,000 $5,000 $5,000 $5,000 $10,000 $10,000 $10,000 $5,000 $5,000 $10,000 $15,000 $12,500

SettlementAmount


POCA

$5,000 $10,000 $10,000 $7,500 $2,000 $2,000 $5,000 $5,000 $2,000 $2,500 $5,000 $10,000 $2,000 $5,000 $2,000 $2,000 $2,000 $2,000 $2,000 $7,500 $15,000 $2,500 $10,000 $10,000 $2,000 $5,000 $30,000 $7,500 $4,000 $2,000 $2,000 $2,000 $2,000 $2,000 $2,000 $2,000 $5,000 $5,000 $5,000 $5,000 $5,000 $10,000 $10,000 $10,000 $5,000 $5,000 $10,000 $15,000 $12,500

106

ZSHEL 2017-2(HMT)ZSHEL 2017-3(HMT)

ZSHIN 2018-1(HMT)ZSHL 2015-2(HMT)ZSI 2018-1(HMT)ZSIND 2017-1(HMT)

ZSIQ 2016-1(HMT)ZSIQ 2017-1(HMT)ZSIQ 2018-1(HMT)ZSKE 2018-1(HMT)ZSKE 2018-2(HMT)ZSKI 2017-1(HMT)ZSKS 2017-1(HMT)ZSLH 2017-1(HMT)ZSLH 2018-2(HMT)ZSMC 2017-1(HMT)ZSMZ 2018-1(HMT)

ZSNA 2018-1(HMT)ZSNG 2018-1(HMT)ZSOC 2016-1(HMT)ZSOC 2017-1(HMT)ZSOC 2018-1(HMT)ZSOLI 2018-1(HMT)ZSRE 2014-1(HMT)ZSRE 2014-2(HMT)ZSRE 2014-3(HMT)ZSRE 2017-1(HMT)ZSRE 2017-2(HMT)ZSRE 2017-3(HMT)ZSRE 2018-1(HMT)ZSRZ 2017-1(HMT)ZSRZ 2018-1(HMT)ZSSCO 2015-14(HMT)ZSSCO 2016-1(HMT)ZSSCO 2016-2(HMT)ZSSCO 2016-3(HMT)ZSSCO 2016-4(HMT)ZSSCO 2016-5(HMT)ZSSCO 2016-7(HMT)ZSSCO 2016-8(HMT)ZSSCO 2017-1(HMT)ZSSCO 2017-2(HMT)ZSSCO 2017-3(HMT)ZSSCO 2018-1(HMT)ZSSQ 2018-1(HMT)ZSUF 2017-1(HMT)ZSVC 2017-1(HMT)

FRA No.

03/16/201803/16/2018

04/09/201803/16/201802/26/201801/24/2018

05/21/201805/22/201804/25/201805/21/201805/21/201805/21/201805/23/201804/06/201805/18/201805/21/201805/25/2018

05/21/201802/27/201803/16/201803/16/201803/16/201806/21/201805/03/201805/29/201805/30/201805/14/201805/14/201805/14/201805/24/201804/11/201804/11/201804/02/2018

04/02/201804/02/201804/02/201804/02/201804/02/201804/02/201804/02/201804/02/201804/02/201804/02/201804/02/201809/28/201805/21/201805/21/2018


11

1111

11211111225

1111514231121332

12111221111231

No. ofViolations

$2,000 $5,000

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

$2,000 $5,000 $6,000 $5,000 $2,000 $5,000 $2,000 $2,000 $4,000 $6,000 $32,500

$5,000 $4,000 $5,000 $5,000 $10,000 $2,000 $8,000 $4,000 $15,000 $2,000 $10,000 $15,000 $5,000 $6,000 $20,000 $10,000

$2,000 $10,000 $5,000 $5,000 $5,000 $15,000 $10,000 $5,000 $5,000 $2,000 $2,000 $4,000 $9,000 $5,000

PRCA

$2,000 $1,000

$5,000 $3,500 $2,000 $1,600

$2,000 $5,000 $6,000 $2,500 $1,000 $5,000 $2,000 $2,000 $4,000 $6,000 $17,500

$5,000 $4,000 $5,000 $5,000 $10,000 $1,400 $6,400 $3,200 $12,000 $2,000 $10,000 $15,000 $3,000 $6,000 $20,000 $6,800

$1,300 $7,000 $3,500 $3,500 $3,500 $10,700 $7,000 $3,500 $3,500 $1,300 $1,300 $2,800 $5,850 $3,500

SettlementAmount


POCA

$2,000 $1,000

$5,000 $3,500 $2,000 $2,000

$2,000 $5,000 $6,000 $5,000 $2,000 $5,000 $2,000 $2,000 $4,000 $6,000 $25,000

$5,000 $4,000 $5,000 $5,000 $10,000 $2,000 $8,000 $4,000 $15,000 $2,000 $10,000 $15,000 $5,000 $6,000 $20,000 $10,000

$2,000 $10,000 $5,000 $5,000 $5,000 $15,000 $10,000 $5,000 $5,000 $2,000 $2,000 $4,000 $9,000 $5,000




107

ZSXL 2017-1(HMT)ZSYM 2017-1(HMT)ZSYM 2017-2(HMT)ZSYM 2018-1(HMT)ZTCML 2017-1(HMT)ZTCZ 2017-1(HMT)ZTCZ 2017-2(HMT)ZTDL 2013-2(HMT)ZTDL 2018-1(HMT)ZTERM 2018-1(HMT)ZTIL 2016-1(HMT)ZTIM 2017-1(HMT)ZTLY 2017-1(HMT)ZTLY 2017-2(HMT)ZTLY 2017-3(HMT)ZTMT 2015-1(HMT)ZTMT 2016-1(HMT)ZTMT 2017-1(HMT)ZTPE 2018-1(HMT)ZTRG 2013-1(HMT)ZTRG 2014-1(HMT)ZTRG 2015-1(HMT)ZTRG 2015-2(HMT)ZTRG 2016-1(HMT)ZTRG 2016-2(HMT)ZTRG 2016-3(HMT)ZTRG 2016-4(HMT)ZTRG 2017-1(HMT)ZTRG 2017-2(HMT)ZTRSP 2005-1(HMT)ZTRSP 2012-1(HMT)ZTRSP 2014-1(HMT)ZTRSP 2017-1(HMT)ZTRSP 2018-1(HMT)ZTSS 2017-1(HMT)ZTTM 2017-1(HMT)ZTTM 2017-2(HMT)ZTTP 2017-1(HMT)ZTUI 2012-1(HMT)ZTUI 2014-1(HMT)ZTYR 2017-1(HMT)ZUCL 2017-1(HMT)ZUNC 2018-1(HMT)ZUPZ 2018-1(HMT)ZURC 2018-1(HMT)ZURC 2018-2(HMT)ZURC 2018-3(HMT)ZUSEP 2018-1(HMT)ZUTC 2013-1(HMT)

FRA No.

05/21/201805/22/201801/10/201805/07/201804/09/201811/06/201711/06/201709/26/201809/25/201804/19/201803/20/201804/09/201810/06/201701/12/201801/12/201801/09/201801/09/201801/09/201804/04/201812/27/201712/27/201712/27/201712/27/201712/27/201712/27/201712/27/201712/27/201712/27/201712/27/201701/03/201801/03/201812/29/201712/29/201708/21/201812/06/201709/04/201809/04/201812/07/201712/13/201712/13/201704/09/201811/28/201702/08/201802/07/201802/01/201805/10/201808/01/201803/14/201812/12/2017


11311112111111111121111115111111112211121111111122

No. ofViolations

$10,000 $5,000 $6,000 $2,000 $7,500 $10,000 $5,000 $4,000 $5,000 $5,000 $1,000 $4,000 $2,000 $27,000 $2,000 $10,000 $2,000 $17,500 $2,000 $4,000 $10,000 $10,000 $5,000 $5,000 $25,000 $10,000 $5,000 $10,000 $10,000 $2,500 $5,000 $10,000 $5,000 $4,000 $4,000 $5,000 $5,000 $7,500 $15,000 $10,000 $2,500 $2,000 $1,000 $1,000 $4,000 $5,000 $5,000 $15,000 $15,000

PRCA

$7,000 $5,000 $6,000 $2,000 $7,500 $8,000 $3,000 $0 $5,000 $5,000 $1,000 $4,000 $1,600 $18,000 $1,500 $7,000 $1,600 $11,000 $2,000 $2,000 $8,000 $7,500 $3,250 $3,000 $15,000 $8,000 $3,000 $7,750 $7,500 $0 $0 $7,500 $3,750 $4,000 $4,000 $3,250 $3,000 $7,500 $0 $8,000 $2,500 $1,200 $650 $1,000 $4,000 $5,000 $5,000 $15,000 $0

SettlementAmount


POCA

$10,000 $5,000 $6,000 $2,000 $7,500 $10,000 $5,000 $0 $5,000 $5,000 $1,000 $4,000 $2,000 $27,000 $2,000 $10,000 $2,000 $17,500 $2,000 $4,000 $10,000 $10,000 $5,000 $5,000 $25,000 $10,000 $5,000 $10,000 $10,000 $0 $0 $10,000 $5,000 $4,000 $4,000 $5,000 $5,000 $7,500 $0 $10,000 $2,500 $2,000 $1,000 $1,000 $4,000 $5,000 $5,000 $15,000 $0

Case Terminated.


Case Terminated.

Case Terminated.

108

ZUTC 2017-2(HMT)ZUTC 2017-4(HMT)ZUTC 2017-5(HMT)ZUTC 2017-6(HMT)ZUTC 2018-1(HMT)ZVALM 2010-1(HMT)ZVALM 2010-2(HMT)ZVALM 2011-1(HMT)ZVALM 2012-1(HMT)ZVALM 2012-3(HMT)ZVCL 2014-1(HMT)ZVCL 2017-1(HMT)ZVES 2016-1(HMT)ZVES 2017-1(HMT)ZVES 2017-2(HMT)ZVGT 2010-1(HMT)ZVGT 2010-2(HMT)ZVGT 2017-1(HMT)ZVLQ 2010-2(HMT)ZVLQ 2010-3(HMT)ZVPK 2010-2(HMT)ZVRI 2016-1(HMT)ZVSA 2017-1(HMT)ZVSC 2017-1(HMT)ZVSE 2008-2(HMT)ZVSI 2015-1(HMT)ZVSW 2017-1(HMT)ZVTM 2017-1(HMT)ZVTM 2017-2(HMT)ZVTZ 2013-2(HMT)ZVTZ 2014-1(HMT)ZVTZ 2015-1(HMT)ZVTZ 2017-1(HMT)ZVUS 2012-1(HMT)ZVUS 2016-1(HMT)ZWDB 2018-1(HMT)ZWEB 2018-1(HMT)ZWEN 2014-1(HMT)ZWHS 2018-1(HMT)ZWLL 2018-1(HMT)ZWLL 2018-2(HMT)ZWLT 2017-1(HMT)ZWMS 2017-1(HMT)ZWPCO 2017-1(HMT)ZWRB 2017-1(HMT)ZWRC 2017-2(HMT)ZWRE 2018-1(HMT)ZWSA 2018-1(HMT)ZZAR 2018-1(HMT)

FRA No.

10/23/201705/09/201812/27/201712/15/201705/29/201805/31/201805/31/201805/31/201805/31/201805/31/201811/17/201711/17/201711/13/201711/13/201711/13/201710/06/201710/06/201710/06/201705/31/201805/31/201801/27/201811/16/201702/20/201805/31/201810/13/201710/27/201710/11/201710/11/201702/28/201801/27/201801/11/201801/11/201810/11/201710/26/201710/26/201707/17/201808/30/201812/28/201704/03/201805/01/201805/18/201801/18/201802/06/201802/13/201804/06/201812/08/201705/07/201806/05/201807/03/2018


5111113712111111163116111122111132111111111111121

No. ofViolations

$5,000 $5,000 $10,000 $10,000 $10,000 $2,000 $12,500 $35,000 $2,500 $15,000 $10,000 $5,000 $5,000 $5,000 $5,000 $4,000 $5,000 $18,500 $6,000 $5,000 $5,000 $24,000 $3,000 $2,000 $7,500 $5,000 $20,000 $4,000 $2,000 $10,000 $5,000 $5,000 $6,000 $4,000 $3,000 $2,000 $2,000 $15,000 $5,000 $5,000 $10,000 $2,000 $5,000 $2,000 $10,000 $10,000 $10,000 $8,000 $2,000

PRCA

$5,000 $5,000 $10,000 $10,000 $10,000 $1,000 $6,000 $17,000 $1,200 $7,000 $8,000 $3,000 $3,250 $3,500 $4,750 $0 $0 $12,500 $3,000 $2,000 $0 $12,500 $3,000 $1,200 $0 $0 $20,000 $4,000 $2,000 $0 $3,000 $4,000 $6,000 $4,000 $3,000 $2,000 $1,650 $0 $4,250 $0 $7,000 $1,500 $3,500 $1,650 $9,000 $10,000 $7,500 $4,900 $2,000

SettlementAmount


POCA

$5,000 $5,000 $10,000 $10,000 $10,000 $2,000 $12,500 $35,000 $2,500 $15,000 $10,000 $5,000 $5,000 $5,000 $5,000 $0 $0 $18,500 $6,000 $5,000 $0 $24,000 $3,000 $2,000 $0 $0 $20,000 $4,000 $2,000 $0 $5,000 $5,000 $6,000 $4,000 $3,000 $2,000 $2,000 $0 $5,000 $0 $10,000 $2,000 $5,000 $2,000 $10,000 $10,000 $10,000 $8,000 $2,000


Case Terminated.


Case Terminated.

Case Terminated.

Case Terminated.

109

ZZBT 2018-1(HMT)ZZBT 2018-2(HMT)ZZCT 2018-1(HMT)ZZIE 2018-1(HMT)ZZPR 2018-1(HMT)ZZSG 2018-1(HMT)

FRA No.

05/14/201805/14/201805/15/201805/30/201805/29/201809/19/2018


751422

No. ofViolations

$14,000 $10,000 $2,000 $14,000 $5,000 $15,000

PRCA

$7,000 $5,000 $2,000 $2,400 $5,000 $9,000

SettlementAmount


POCA

$14,000 $10,000 $2,000 $4,000 $5,000 $15,000


7,157 $25,270,025 $23,429,525 $17,686,116Total

110

ABS

ACWR

ADCX

AERC

AGR

AIKR

ALAB

AM

APRR

ARR

ASRY

ATAX

ATK

ATN

AVR

AWRR

BAP

BB

BBAY

BJRY

BML

BNSF

BNSO

BPRR

BRC

BRSR

BVRR

CAGY

CBCX

CBR

CC

CCHA

CERA

CFNR

CFRC

CIC

CKIN

CLC

CMEM

Codes

Alabama Southern Railroad

ABERDEEN, CAROLINA AND WESTERN RAILROAD

Adirondack Scenic Railroad

ALBANY AND EASTERN RAILROAD COMPANY

Alabama & Gulf Coast Railway LLC.

Aiken Railway Company, LLC

ALABAMA RAILROAD CO.

Arkansas and Missouri Railroad Company

ALBANY PORT RAILROAD CORPORATION

Alaska Railroad Corporation

ASHLAND RAILWAY INC.

Balfour Beatty Rail

National Railroad Passenger Corporation

Alabama & Tennessee River Railway LLC

ALLEGHENY VALLEY RAILROAD CO.

AUSTIN WESTERN RAILROAD

Rarus Railway, LLC d/b/a Butte, Anaconda & Pacific

Buckingham Branch Railroad Company

Bogalusa Bayou Railroad LLC

BURLINGTON JUNCTION RAILWAY

BELFAST & MOOSEHEAD LAKE PRESERVATION SOCIETY

BNSF RAILWAY COMPANY

BNSF SUBURBAN OPERATIONS

BUFFALO & PITTSBURGH RAILROAD, INC.

The Belt Railway Company of Chicago

BATON ROUGE SOUTHERN RAILROAD

Boise Valley Railroad, LLC

Columbus & Greenville Railway

Columbia Business Center

Coos Bay Rail Line

CHICAGO, CENTRAL & PACIFIC RAILROAD COMPANY

Columbus & Chattahoochee Railroad, Inc.

CENTRAL RAILROAD COMPANY OF INDIANAPOLIS

CALIFORNIA NORTHERN RAILROAD CO.

CENTRAL FLORIDA RAIL CORRIDOR

Cedar Rapids and Iowa City Railway Company

CHESAPEAKE AND INDIANA RAILROAD CO. INC.

COLUMBIA & COWLITZ RAILWAY, LLC

Cargill Memphis

Respondent Names

Respondent

111

CMQX

CMR

CMTY

CN

COP

CORP

CP

CRL

CRSH

CSCD

CSX

CTM

CTN

CTRR

CVR

CWRO

DCR

DEAD

DGNO

DME

DMVW

DQE

DR

DSC

DSRC

EDW

EEC

EIRR

ELS

EMRY

ESPN

EWG

FCEN

FCR

FCTY

FMWX

FNOR

FWWR

GCSR

Codes

Central Maine & Quebec Railway

CENTRAL MIDLAND RAILWAY

Capital Metropolitan Transportation Authority

Canadian National Railway Company

City of Prineville Railway

CENTRAL OREGON & PACIFIC RAILROAD, INC.

CANADIAN PACIFIC RAILWAY

CHICAGO RAIL LINK

Consolidated Rail Corporation

CASCADE AND COLUMBIA RIVER RAILROAD CO.


Chicago Terminal Railroad

CANTON RAILROAD COMPANY

CLOQUET TERMINAL RR CO INC

Cimarron Valley Railroad

Cleveland Works Railway Co.

Delmarva Central Railroad

DEAD RIVER COMPANY

Dallas, Garland and Northeastern Railroad, Inc.

Dakota, Minnesota & Eastern Railroad Co.

DAKOTA MISSOURI VALLEY AND WESTERN

DEQUEEN AND EASTERN RAILROAD, LLC

DARDANELLE & RUSSELLVILLE RAILROAD

Drake Switching Company, LLC.

DAKOTA SOUTHERN RAILWAY COMPANY

EL DORADO & WESSON RAILWAY CO.

EAST ERIE COMMERCIAL RAILROAD

Eastern Idaho Railroad, LLC

ESCANABA AND LAKE SUPERIOR RAILROAD CO.

Eastern Maine Railway

East Penn Railroad LLC

EASTERN WASHINGTON GATEWAY RAILROAD

FLORIDA CENTRAL RAILROAD CO.

Fulton County Railway, LLC.

FULTON COUNTY RAILROAD

FILLMORE AND WESTERN RAILWAY

FLORIDA NORTHERN RAILROAD COMPANY INC.

FORT WORTH & WESTERN RAILROAD

Gulf, Colorado & San Saba Railway

Respondent Names

Respondent

112

GDLK

GFRR

GLC

GMRC

GNBC

GNRL

GNRR

GNWR

GRNW

GRYR

GS

GSM

GTRA

GWR

GWWL

HERQ

HRRC

IAIS

IHB

INRD

IORY

JCIV

KCS

KCT

KFR

KJRY

KNOR

KNWA

KRR

KYLE

LAJ

LBWR

LI

LSRC

LVRR

MACZ

MBRR

MBTA

MCRL

Codes

GRAND ELK RAILROAD, LLC.

GEORGIA AND FLORIDA RAILWAY, INC.

GREAT LAKES CENTRAL RAILROAD

GREEN MOUNTAIN RAILROAD CORPORATION

GRAINBELT CORPORATION

GNP RAILWAY INC.

GEORGIA NORTHEASTERN RAILROAD COMPANY, LLC

GENESEE AND WYOMING RAILROAD COMPANY

Great Northwest Railroad, LLC

Grenada Railroad, LLC

Georgia Southern Railway Company

GREAT SMOKEY MOUNTAIN RAILWAY

GOLDEN TRIANGLE RAILROAD, LLC

GREAT WESTERN RAILWAY COMPANY

Genesis Worldwide Logistics LLC

Herzog Railraod Services

HOUSATONIC RAILROAD COMPANY, INC.

Iowa Interstate Railroad

Indiana Harbor Belt Railroad Company

The Indiana Rail Road Company

INDIANA & OHIO RAILWAY COMPANY

Jacintoport International LLC

The Kansas City Southern Railway Company

KANSAS CITY TERMINAL RAILWAY COMPANY

KETTLE FALLS INTERNATIONAL RAILWAY, LLC.

KEOKUK JUNCTION RAILWAY COMPANY

KLAMATH NORTHERN RAILWAY COMPANY

Kanawha River Railroad

KIAMICHI RAILROAD CO., LLC.

KYLE RAILROAD CO.

LOS ANGELES JUNCTION RAILWAY COMPANY

Lubbock & Western Railway, L.L.C.

LONG ISLAND RAILROAD

LAKE STATE RAILWAY COMPANY

LYCOMING VALLEY RAILROAD

MARYLAND TRANSIT ADMINISTRATION

Meridian & Bigbee Railroad, LLC.

Massachusetts Bay Transportation Authority

Massachusetts Coastal Railroad LLC

Respondent Names

Respondent

113

MDDE

MDS

MEC

MH

MNA

MNBR

MNCW

MNNR

MNR

MOR

MRA

MRL

MSDR

NCTC

NCVA

NECR

NERR

NHN

NHRR

NJTR

NKCR

NMRX

NOGC

NOPB

NPB

NSCR

NYA

NYSW

OCTL

OERR

OHCR

OHIO

OMTX

PAL

PAS

PCC

PCJX

PNWR

PR

Codes

MARYLAND AND DELAWARE RAILROAD COMPANY

MERIDIAN SOUTHERN RAILWAY

Maine Central Railroad Company

MOUNT HOOD RAILWAY COMPANY

MISSOURI & NORTHERN ARKANSAS RAILROAD CO., INC.

Meridian and Bigbee Railroad, LLC

Metro-North Commuter Railroad Company

MINNESOTA COMMERCIAL RAILWAY

Maine Northern Railway Company

MOR, LLC.

Mineral Range Inc.

Montana Rail Link

MISSISSIPPI DELTA RAILROAD

North County Transit Coaster

NORTH CAROLINA & VIRGINIA RAILROAD CO., LLC

NEW ENGLAND CENTRAL RAILROAD, INC.

NASHVILLE & EASTERN RAILROAD

New Hampshire North Coast Railroad

New Hope & Ivyland Railroad

NEW JERSEY TRANSIT RAIL OPERATIONS

NEBRASKA KANSAS & COLORADO RAILNET, INC.

NEW MEXICO DEPARTMENT OF TRANSPORTATION

NEW ORLEANS & GULF COAST RAILWAY CO., INC.

NEW ORLEANS PUBLIC BELT RAILROAD CORP

Norfolk & Portsmouth Belt Line Railroad Company

NORTHSTAR COMMUTER RAIL

NEW YORK AND ATLANTIC RAILWAY COMPANY

The New York Susquehanna and Western Railway Corp.

OIL CREEK & TITUSVILLE LINES, INC.

Oregon Eastern Railroad

Ohio Central Railroad, Inc.

Ohio Terminal Railway Co.

OmniTRAX Inc.

PADUCAH & LOUISVILLE RAILWAY COMPANY

Pan Am Southern LLC.

Palouse River & Coulee City Railroad, LLC

PENINSULA CORRIDOR JOINT POWERS BOARD

PORTLAND AND WESTERN RAILROAD INC.

Palmetto Railroad

Respondent Names

Respondent

114

PSRM

PW

RJCP

SAPT

SBG

SCAX

SCCT

SCIH

SCX

SDTI

SEPA

SFRV

SGSC

SIRS

SJVR

SKOL

SLC

SLGW

SLR

SLRG

SLWC

SM

SMRT

SNC

SOU

SRN

SS

ST

STE

SW

SYSI

TASD

TIBR

TMBL

TNMR

TPW

TRC

TRMW

TRRA

Codes

PACIFIC SOUTHWEST RAILWAY MUSEUM

PROVIDENCE AND WORCESTER RR COMPANY

R. J. Corman Railroad Company/Pennsylvania Lines

SAVANNAH PORT TERMINAL RAILROAD

Savage Bingham & Garfield Railroad Company

Southern California Regional Rail Authority

SANTA CLARA COUNTY TRANSIT DISTRICT

SOUTH CHICAGO & INDIANA HARBOR RAILWAY

Santa Cruz and Monterey Bay Railway Co.

SAN DIEGO METROPOLITAN TRANSIT SYSTEM

Southeastern Pennsylvania Transportation Authority

South Florida Regional Transportation Authority

SGS Petroleum Service Corporation

Savage Industrial Rail Services, Inc.

San Joaquin Valley Railroad Co.

South Kansas and Oklahoma Railroad Company

San Luis Central Railroad Company

Salt Lake, Garfield & Western Railway Company

ST. LAWRENCE & ATLANTIC RAILROAD COMPANY

SAN LUIS & RIO GRANDE RAILROAD

Stillwater Central Railroad Company, LLC

St. Mary's Railroad Company

Sonoma Marin Area Rail Transit (SMART)

Saratoga & North Creek Railway, LLC

Norfolk Southern Railway Company

SABINE RIVER & NORTHERN RAILROAD COMPANY

SAND SPRINGS RAILWAY COMPANY

SPRINGFIELD TERMINAL RAILWAY COMPANY

STOCKTON TERMINAL AND EASTERN RAILROAD

Southwestern Railroad, Inc.

SAVAGE YARD SERVICES INC

Terminal Railway Alabama State Docks

Timberrock Railroad Company, LLC

Tacoma Municipal Belt Line Railway

TEXAS & NEW MEXICO RAILWAY COMPANY

Toledo, Peoria and Western Railway Corp.

TRONA RAILWAY COMPANY

Tacoma Rail

Terminal Railroad Association of St. Louis

Respondent Names

Respondent

115

TSR

TSRR

TSWS

TXN

TXNW

UFRC

UP

VR

VSOR

WATX

WE

WHIR

WNYP

WPRR

WSS

WTJR

WTLC

WVC

WW

XAHM

XAIR

XAMA

XAWS

XBBR

XBCP

XBRI

XCAI

XCHS

XCIH

XCPT

XCRB

XCSG

XCSK

XCVA

XCWW

XDOO

XFBR

XFLD

XFMC

Codes

TEXAS STATE RAILROAD

TENNESSEE SOUTHERN RAILROAD COMPANY, LLC

Terminal Switching Services

Texas New Mexico Railway, LLC.

TEXAS NORTHWESTERN RAILWAY COMPANY

UTAH FRONTRUNNER COMMUTER RAIL

Union Pacific Railroad Company

Valdosta Railway, L.P.

VICKSBURG SOUTHERN RAILROAD

WATCO Switching

Wheeling & Lake Erie Railway Company

Whirlpool Corporation

WESTERN NEW YORK & PENNSYLVANIA RAILROAD

WILLIAMETTE AND PACIFIC RAILROAD, INC.

WINSTON-SALEM SOUTHBOUND RAILWAY

WICHITA, TILLMAN AND JACKSON RY. CO., INC.

West Texas and Lubbock Railway Company

WEST VIRGINIA CENTRAL RAILROAD

WINCHESTER AND WESTERN RAILROAD COMPANY

American Honda Motors

Airgas Carbonic Industries, Inc.

American Auto Works, LLC

Archer Western Contractors

Bombardier Mass Transit Corporation

BP Cherry Point Refinery

BALFOUR BEATTY RAIL, INC.

Cargill, Inc.

CHS, INC.

Chemsolv Inc.

Center Point Terminal Company

Colo Railroad Builders

Certainteed Saint-Gobain

CSX Transportation Storekeeper

CEVA Logistics

CW&W CONTRACTORS

Dooleys Petroleum Inc.

Fibrant LLC

Florida Distillers Company

FREEPORT-MCMORAN INC.

Respondent Names

Respondent

116

XFUJ

XGEI

XGEO

XGLK

XHLL

XICB

XLCS

XLOV

XLTC

XMAG

XMDA

XMKW

XMPM

XMSW

XMVM

XNSD

XQDI

XRJC

XRMA

XRNN

XRPI

XRRP

XSBK

XSER

XSNJ

XSRS

XSSP

XSTH

XTEC

XTGS

YVRR

ZAAO

ZABC

ZABS

ZACR

ZADN

ZAEM

ZAEN

ZAEO

Codes

Fuji Hunt Photo Chemicals

GULFMARK ENERGY, INC.

Georgia Pacific, LLC.

Great Lakes Water Authority

Holland LP

INCOBRASA INDUSTRIES, LTD

Lamberts Cable Splicing Company, LLC.

Loveland Products Inc.

Lambent Technologies Corporation

Matheson Gas Company

Midland Asphalt Materials Inc.

MarkWest Hydrocarbon, L.L.C.

MOMENTIVE PERFORMANCE MATERIALS, INC.

MI SWACO

McKenzie Valve & Machining Co.

New South Distribution, Inc.

Quality Distribution Inc.

R. J. Corman Construction

Rocky Mountain Agronomics, Inc.

Roadrunner Transportation

Rail Pros, Inc.

Railroad Protective Services, Inc.

Superior Bulk Logistics, Inc.

Sem Minerals

SOUTHERN NEW JERSEY LIGHT RAIL GROUP, LLC

Sperry Rail Service (SPRQ)

Solvay Specialty Polymers USA LLC

Sawtooth NGL Caverns

Techno Adhesives Company

Trans-Global Solutions, Inc.

Yadkin Valley Railroad Co.

AOC LLC

ABC COKE

ABF Freight System, Inc.

ADM CORN PROCESSING

THE ANDERSONS, INC.

Agri-Empresa Transload & Storage, LLC

Altex Energy, Ltd.

ARLANXEO Canada Inc.

Respondent Names

Respondent

117

ZAEX

ZAFQ

ZAG

ZAGA

ZAGP

ZAGT

ZAHL

ZAID

ZAIV

ZAKN

ZALA

ZALG

ZALQ

ZALTI

ZAMC

ZAMRI

ZAMV

ZAND

ZAPM

ZARGR

ZARJ

ZARK

ZASR

ZASY

ZAUL

ZAVX

ZAXI

ZBAC

ZBADG

ZBAK

ZBAN

ZBAS

ZBCU

ZBEP

ZBGL

ZBHM

ZBMR

ZBMS

ZBRM

Codes

ALPHA EXPLOSIVES

Afton Chemical Corporation

Ash Grove Cement Company

Airgas Carbonic

AG PROCESSING INC.

AmeriGas Propane L.P.

Ashland, Inc.

Austin Industries, Inc.

Addivant

Akzo Nobel Functional Chemicals LLC

ALON ASPHALT

Amalgamated Sugar Company

Airgas, an Air Liquide Company

Altivia Petrochemicals, LLC

ARCHER DANIELS MIDLAND CO.

AMERICAN RAILCAR INDUSTRIES

AMVAC CHEMICAL CORPORATION

THE ANDERSONS, INC.

Ascend Performance Materials LLC

American Refining Group, Inc.

Arrow Material Services

ARKEMA, INC.

AMERICAN SYNTHETIC RUBBER COMPANY

Americas Styrenics

ALLIED UNIVERSAL CORPORATION

AdvanSix

Axiall Corporation

Base, Inc.

BADGER STATE ETHANOL

BAKER PETROLITE CORPORATION

Bulk Trans, Inc.

BASF CORPORATION

Blue Cube Operations LLC - Olin Chlor Alkali Logis

Buckeye Partners

Brenntag Great Lakes, LLC

BHS Specialty Chemical Products

Benchmark River & Rail Terminals

BRENNTAG MID-SOUTH, INC.

Blue Racer Midstream, LLC

Respondent Names

Respondent

118

ZBRP

ZBRY

ZBSN

ZBTA

ZBTC

ZBTM

ZBUT

ZBWW

ZBYS

ZCAB

ZCAM

ZCAU

ZCBK

ZCCF

ZCCM

ZCCN

ZCDA

ZCDY

ZCEE

ZCEF

ZCELA

ZCFC

ZCHX

ZCHY

ZCIE

ZCJZ

ZCLQ

ZCLX

ZCMA

ZCME

ZCMP

ZCNC

ZCNL

ZCORN

ZCOV

ZCOY

ZCPSI

ZCRY

ZCRZ

Codes

BRENNTAG PACIFIC, INC.

Berryman Chemical, Inc.

Basin Transload, LLC

Bio Trans Modal, LLC

BULK TRANSPORTATION COMPANY

Buckeye Terminals LLC-Macungie

BioUrja Trading LLC

BUTTONWILLOW WAREHOUSE COMPANY

Battery Solutions

CABOT CORP.

CALIFORNIA AMMONIA COMPANY

Carbellus, LLC.

C&C Bulk Liquid Transfer, Inc.

Consumer Co-Op Refiners

CARGILL-CORN MILLING DIVISION

Clearon Corporaton

Canada Colors & Chemicals LTD.

Cody Group Inc.

Centennial Energy

CHIEF ETHANOL FUELS

Celanese

Chemours Co. FC, LLC

CLEAN HARBORS ENVIRONMENTAL SERVICES, INC.

Catalyst & Chemical Containers, Inc.

CENTRAL INDIANA ETHANOL

Caljet of America

CORN LP

CHEMTRADE LOGISTICS

CMA-CGM (AMERICA)

Calumet Montana Refining, LLC

CHEMICAL PRODUCTS CORPORATION

CHEROKEE NITROGEN

Canal Terminal Company

CORN PLUS

Covestro LLC.

Coastal Energy Corporation

CROP PRODUCTION SERVICE, INC.

CHEMTRADE REFINERY SERVICES, INC.

Cornerstone Chemical Company

Respondent Names

Respondent

119

ZCSF

ZCSPI

ZCT

ZCUI

ZCYS

ZDAK

ZDCM

ZDCU

ZDET

ZDKR

ZDMX

ZDNA

ZDPM

ZDSP

ZDUB

ZDUK

ZDUP

ZDYI

ZEACH

ZECD

ZECDP

ZECQ

ZEJO

ZEME

ZEMER

ZEMT

ZENK

ZEPC

ZEPG

ZEPZ

ZEQU

ZESG

ZESR

ZETT

ZEVC

ZEVD

ZFAL

ZFAS

ZFBB

Codes

Chemical Systems of Florida, Inc.

CHEMICAL SPECIALTIES, INC.

COLONIAL TERMINALS

Chevron USA, Inc.

Cornerstone Systems (CTSQ)

DAK AMERICAS LLC

DOVER CHEMICAL CORP.

The Dow Chemical Company

DIDION ETHANOL

DELEK REFINING, LTD.

DuPont de Mexico S.A. de C.V

Diageo Americas Supply, Inc.

DCP MIDSTREAM

DIMMITT SULFUR PRODUCTS, LTD

DU BOIS Chemicals

DUKE ENERGY

E.I. DUPONT DE NEMOURS AND COMPANY

DYNO NOBEL, INC.

EASTMAN CHEMICAL COMPANY

EMCO CHEMICAL DISTRIBUTORS, INC.

EPCO CARBON DIOXIDE PRODUCTS

E & C Chemicals, Inc

Exxon Mobil-Joliet Refinery

Emerald Performance Materials

EMERALD SERVICES, INC.

Emerald Transformer

EnLink Midstream

Enterprise Products Operating LLC

EASTERN PROPANE GAS, INC.

Enterprise Products Operating LLC

EQUISTAR CHEMICALS LP

Energy Services Group, Inc.

Eco Services Operations Corp.

Endeavor Tank & Transport LLC

EVONIK CYRO LLC

Evonik Corporation

Forbo Adhesives LLC

Fort Amanda Specialities LLC

FIREBIRD BULK CARRIERS, INC.

Respondent Names

Respondent

120

ZFBI

ZFCQ

ZFEQ

ZFFP

ZFGC

ZFHR

ZFIC

ZFIT

ZFKP

ZFLS

ZFMB

ZFMJ

ZFNS

ZFON

ZFOR

ZFOT

ZFPC

ZFPI

ZFRR

ZFSQ

ZFTP

ZFUR

ZFVP

ZFXI

ZGDB

ZGDE

ZGEO

ZGEPA

ZGEU

ZGFE

ZGPE

ZGPF

ZGSR

ZGSZ

ZGUS

ZHAR

ZHCG

ZHCH

ZHCM

Codes

FALCON BRIDGE LIMITED

FMC CORPORATION - HYDROGEN PEROXIDE DIVISION

Feed Energy Company

FLEXIBLE FOAM PRODUCTS

FERRELL GAS, INC.

Flint Hills Resources

Flint Group North America

Fortron Industries

Foremark Performance Chemical

Frontier Logistical Services

Flambeau River Papers

FMC, INDUSTRIES

FNS, INC.

Fonbrai Inc.

HollyFrontier El Dorado Refining LLC

FARSTAD OIL COMPANY

FORMOSA PLASTICS CO.

FOAMEX PRODUCTS INC.

FRONT RANGE ENERGY LLC

Quimica Fluor S.A. de C.V.

FERTILIZANTES TEPEYAC/PRODUCTORA DEFERTILIZANTES

First Union Rail Corporation

First Virgina Propane, Inc.

FXI

GDB INTERNATIONAL, INC.

Garmi Del Norte, S.A. DE C.V.

Geo Specialty Chemicals, Inc.

Georgia Pacific Company

GIBSON ENERGY LLC

Greenfield Ethanol, Inc.

Green Plains, Inc.

Georgia-Pacific Chemicals LLC.

Gas Supply Resources, LLC.

SGS North America, Inc., Petroleum Service Corp.

GELITA USA

Harcros Chemicals Inc.

HUNTSMAN CORPORATION

HELENA CHEMICAL COMPANY

HCH Marketing Co.

Respondent Names

Respondent

121

ZHEI

ZHFA

ZHFR

ZHLA

ZHLR

ZHMS

ZHNI

ZHRM

ZHUN

ZHWS

ZHYC

ZIEL

ZIML

ZIP

ZIRO

ZIRR

ZITH

ZIVE

ZIWI

ZIWT

ZJCC

ZJMA

ZJRS

ZKAE

ZKAT

ZKDM

ZKEL

ZKEM

ZKEN

ZKKC

ZKML

ZKMQ

ZKOR

ZKPI

ZKRA

ZKTS

ZKWS

ZKYE

ZLAS

Codes

HEXION Inc.

HollyFrontier Cheyenne Refining

HollyFrontier Refining & Marketing LLC

HAPAG - LLOYD AMERICA, INC.

Husky Lima Refinery

Husky Marketing and Supply Co.

Honeywell International, Inc.

HOLLY ENERGY PARTNERS

Huntsman Chemical Corporation

Hiram Walker & Sons, Inc.

HYDRITE CHEMICAL CO.

Chemco Ireland Limited

IMTT - Lemont

INTERNATIONAL PAPER COMPANY

IRVING OIL COMPANY

Ironedge Resources

Interstate Chemical Inc.

Indorama Ventures

International Waxes, Inc.

Infiltrator Water Technologies

JCI JONES CHEMICALS, INC.

Johns Manville

J. R. SIMPLOT COMPANY

Kappa Ethanol

Kane Transport

Kinder Morgan Energy Partners, L.P.

KAAPA ETHANOL LLC

Kemira Water Solutions

KENNECOTT CORP.

KIK Custom Products, Inc.

Kinder Morgan Liquids Terminals, LLC

Kinder Morgan

KERN OIL AND REFINING COMPANY

Koppers Inc.

KRATON

KELLERSTRASS

KEMIRA WATER SOLUTIONS

Keyera Corp.

LOUISIANA SPECIALTY PRODUCTS, INCORPORATED

Respondent Names

Respondent

122

ZLDE

ZLDI

ZLDR

ZLEA

ZLGD

ZLHP

ZLSH

ZLUB

ZLUIN

ZLWD

ZMAF

ZMAX

ZMFQ

ZMGP

ZMHO

ZMIP

ZMKJ

ZMNE

ZMNP

ZMNT

ZMNX

ZMQE

ZMRK

ZMSL

ZMTE

ZMTR

ZMUN

ZMUSK

ZMWE

ZNAL

ZNBA

ZNBX

ZNCS

ZNDM

ZNGE

ZNGL

ZNPT

ZNSL

ZNSS

Codes

LYONDELL CHEMICAL CO.

Linde North America, Inc.

Louis Dreyfus Company LLC

LaCrosse Solutions

Legend LLC

LBC Houston

Lone Star NGL Hattiesburg LLC

Lubrizol Corporation

LUCITE INTERNATIONAL

LWD INCORPORATED

Maverick Fuel Oil Terminal

METHANEX METHANOL COMPANY

Mosaic Fertilizer LLC

MGP Ingredients, Inc.

Monument Chemical Houston, Ltd.

MAERSK LINE, INC.

Mizkan Americas, Inc.

McNeil PPC, Inc.

Marathon Petroleum Company

MARTIN OPERATING PARTNERSHIP LP

Maintex, Inc.

MARQUIS ENERGY, LLC

Maersk Line

MicroSource LLC

Motiva Enterprises LLC

MONTANA RESOURCES

The Mundy Companies

MUSKET CORPORATION

Midwest Renewable Energy, LLC

Nalco Company

Noble Americas Corporation

NELSON BROTHERS

Nease Corporation

Domtar Paper Company LLC

NuGen Energy LLC

NGL Supply Wholesale, LLC

NewPort Tank Containers, Inc.

NGL SUPPLY COMPANY, LTD.

Northern Star Cooperative Service

Respondent Names

Respondent

123

ZNXE

ZOBC

ZOCC

ZOEE

ZOKH

ZOLI

ZOMP

ZONB

ZONG

ZOTER

ZOTT

ZPAE

ZPCSI

ZPCSS

ZPCU

ZPGW

ZPHO

ZPLA

ZPLS

ZPME

ZPMS

ZPNF

ZPNQ

ZPOL

ZPOTS

ZPPJ

ZPRG

ZPRX

ZPVS

ZQTL

ZRAI

ZRAS

ZRBA

ZRCA

ZRFC

ZRKM

ZRKP

ZRLG

ZRPM

Codes

Nexeo Solutions Company

OLD BRIDGE CHEMICAL, INC.

Occidental Chemical Corporation

One Earth Energy, LLC

ONEOK Hydrocarbon, L.P.

OLIN CORPORATION

OMEGA PARTNERS, LLC

O'NEILL VINTNERS & DISTILLERS

Conagra

ODFJELL TERMINALS (HOUSTON), INC.

Oiltanking Texas City L.P.

PACIFIC ETHANOL, INC.

P-C Sales & Services, Inc.

PCS SALES (USA), INC.

Polynt Composites USA, Inc.

Pengrowth Energy Corporation

PCS PHOSPHATE COMPANY

PINE LAKE CORN PROCESSORS

PLAINS LPG SERVICES LP

Plymouth Energy

Plains Midstream Canada, LLC

PCS Nitrogen Fertilizer

PENCCO, Inc.

POOLE CHEMICAL CO.

POTASH CORPORATION

Pro Petroleum Incorporated

PREMCOR REFINING GROUP INC.

PRAXAIR, INC.

PVS Chemicals, Inc.

QUALITY TRANSLOAD

Rainy Lake Oil

Royal Adhesives & Sealants

RB Manufacturing - Hillsborough

Ruetgers Canada, Inc.

Superior Refining Company

Rocky Mountain Transload

Rockville Propane Terminal LLC.

Rail Link

Renewable Product Marketing Group, LLC

Respondent Names

Respondent

124

ZRSH

ZRSO

ZRTLS

ZRVI

ZSAB

ZSAM

ZSASN

ZSCC

ZSHEL

ZSHIN

ZSHL

ZSI

ZSIND

ZSIQ

ZSKE

ZSKI

ZSKS

ZSLH

ZSMC

ZSMZ

ZSNA

ZSNG

ZSOC

ZSOLI

ZSRE

ZSRZ

ZSSCO

ZSSQ

ZSUF

ZSVC

ZSXL

ZSYM

ZTCML

ZTCZ

ZTDL

ZTERM

ZTIL

ZTIM

ZTLY

Codes

RSI LOGISTICS, INC.

Rail Solutions LLC

RAIL TERMINAL SERVICES

Servichem, Inc.

SABIC Innovative Plastics

Styrolution America LLC

SASOL CHEMICALS NORTH AMERICA

SHELL CHEMICAL LP

SHELL CHEMICALS CANADA

Savage Safe Handling

Shell Canada Products

Southern Ionics, Inc.

SEELER INDUSTRIES

SI Group, Inc.

Snake River Petroleum LLC

Safety-Kleen Systems, Inc.

Sekisui Chemical Company

Splash Products, Inc.

Scott Petroleum Corporation

SAIA Motor Freight Line LLC

Schneider National Carriers, Inc.

Sun Gas Corporation

SHELL OIL COMPANY

SOLUTIA, INC.

Suncor Energy Products, Inc.

St. Paul Park Refining Co. LLC

SAVAGE SERVICES CORPORATION

ED Staub & Sons

Suffolk Solutions Inc.

SOLVAY CHEMICALS, INC.

Siouxland Energy and Livestock Cooperative

Symrise

TECK COMINCO METALS LTD.

Samuel Coraluzzo Co., Inc.-Torrissi Transport

TDC LLC

TESORO REFINING AND MARKETING COMPANY

TERRA INTERNATIONAL

Tilden Mining Company

TATE & LYLE INGREDIENTS AMERICAS, INC.

Respondent Names

Respondent

125

ZTMT

ZTPE

ZTRG

ZTRSP

ZTSS

ZTTM

ZTTP

ZTUI

ZTYR

ZUCL

ZUNC

ZUPZ

ZURC

ZUSEP

ZUTC

ZVALM

ZVCL

ZVES

ZVGT

ZVLQ

ZVPK

ZVRI

ZVSA

ZVSC

ZVSE

ZVSI

ZVSW

ZVTM

ZVTZ

ZVUS

ZWDB

ZWEB

ZWEN

ZWHS

ZWLL

ZWLT

ZWMS

ZWPCO

ZWRB

Codes

TransMontaigne Product Services, Inc.

Texpar Energy LLC

Toledo Refining Company LLC

TROPICAL SHIPPING USA, LLC

Tessenderlo Kerley, Inc.

Tradebe Treatment and Recycling, LLC

Tristar Transload PNW, Inc.

Turner Industries, LLC

TYREE OIL

UNIVAR CANADA LTD.

Union Carbide Corporation

United Petroleum Transports, Inc.

UNITED REFINING COMPANY

U.S. ENERGY PARTNERS, LLC

UNION TANK CAR COMPANY

Valero Marketing and Supply Company

Vale Canada Limited

Veolia ES Technical Solutions, L.L.C.

VAN-G LOGISTICS

VALERO LP

Vopak USA

Virginia International Terminals, Inc.

Vopak Terminal Savannah

Valley Solvents & Chemicals

VERASUN ENERGY

Vertellus Agriculture & Nutrition Specialties LLC

Vopak Terminal South Wilmington

Vopak Terminals of Canada

VOPAK TERMINAL DEER PARK

Viscofan USA, Inc.

Western Dubuque Biodiesel LLC

WEBB CHEMICAL SERVICE CORP.

Walter Energy

White Springs Agricultural Chemicals

The Williams Companies, Inc.

WOLF LAKE TERMINALS, INC.

WILLIAMS MIDSTREAM

Western Petroleum Company

WRB Refining, LLC

Respondent Names

Respondent

126

ZWRC

ZWRE

ZWSA

ZZAR

ZZBT

ZZCT

ZZIE

ZZPR

ZZSG

Codes

WYOMING REFINING COMPANY

WESTERN REFINING COMPANY

WESTWOOD SHIPPING LINES, INC.

The Andersons, Inc.

Bulk Transfer, LLC.

CTI, Inc.

Ziegler Chemicals & Minerals Corp.

Prestone Products

Solar Gas, Inc.

Respondent Names

Respondent

Federal Railroad Administration Fiscal Year 2018 ......This is consistent with Sections 303 and 307...

Documents

Transcript of Federal Railroad Administration Fiscal Year 2018 ......This is consistent with Sections 303 and 307...