[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR209.309]

[Page 29]
 
                        TITLE 49--TRANSPORTATION
 
       CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF 
                             TRANSPORTATION
 
PART 209--RAILROAD SAFETY ENFORCEMENT PROCEDURES--Table of Contents
 
                 Subpart D--Disqualification Procedures
 
Sec. 209.309  Informal response.

    (a) If the respondent elects to make an informal response to a 
notice of proposed disqualification, he or she shall submit to the Chief 
Counsel such written explanations, information, or other materials as 
respondent may desire in answer to the charges or in mitigation of the 
proposed disqualification.
    (b) The respondent may include in an informal written response a 
request for a conference. Upon receipt of such a request, the Chief 
Counsel shall arrange for a conference at a time and place designated by 
the Chief Counsel.
    (c) Written explanations, information, or materials submitted by the 
respondent and relevant information presented during any conference held 
under this section shall be considered by the Chief Counsel in reviewing 
the notice of proposed disqualification, including the question of the 
respondent's fitness and the conditions of any disqualification that may 
be imposed.
    (d) After consideration of an informal response, including any 
relevant information presented at a conference, the Chief Counsel shall 
take one of the following actions:
    (1) Dismiss all the charges and terminate the notice of proposed 
disqualification;
    (2) Dismiss some of the charges and mitigate the proposed 
disqualification;
    (3) Mitigate the proposed disqualification; or
    (4) Sustain the charges and proposed disqualification.
    (e) Should the Chief Counsel sustain, in whole or in part, the 
charges and proposed disqualification and reach settlement with the 
respondent, the Chief Counsel shall issue an appropriate 
disqualification order reflecting the settlement and shall provide a 
copy of that order to the railroad by which the respondent is employed. 
The duration of the disqualification period may be less than, but shall 
be no greater than, the period set forth in the notice. Any settlement 
reached shall be evidenced by a written agreement, which shall include 
declarations from the respondent stipulating to the charges contained in 
the disqualification order, consenting to the imposition of the 
disqualification under the conditions set forth in the disqualification 
order, and waiving his or her right to a hearing.
    (f) If settlement of the charges against the respondent is not 
achieved, the Chief Counsel shall terminate settlement discussions no 
later than 30 days from service of the informal response upon the Chief 
Counsel by serving respondent written notice of termination of 
settlement negotiations.
    (g) By electing to make an informal response to a notice of proposed 
disqualification, the respondent does not waive the right to a hearing. 
However, the respondent must submit the hearing request required by 
Sec. 209.311(a) within l0 days after receipt of the notice of 
termination of settlement negotiations from the Chief Counsel. Failure 
to submit such a request constitutes a waiver of the respondent's right 
to appear and contest the charges or the proposed disqualification.
    (h) The Chief Counsel may extend the period for requesting a hearing 
for good cause shown, provided the request for extension is served 
before the expiration of the period provided in paragraph (g) of this 
section.

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