[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR240.309]

[Page 651-653]
 
                        TITLE 49--TRANSPORTATION
 
       CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF 
                             TRANSPORTATION
 
PART 240--QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS--Table of Contents
 
         Subpart D--Administration of the Certification Programs
 
Sec. 240.309  Railroad oversight responsibilities.

    (a) No later than March 31 of each year (beginning in calendar year 
1993), each Class I railroad (including the National Railroad Passenger 
Corporation and a railroad providing commuter service) and Class II 
railroad shall conduct a formal annual review and analysis concerning 
the administration of its program for responding to detected instances 
of poor safety conduct by certified locomotive engineers during the 
prior calendar year.
    (b) Each review and analysis shall involve:
    (1) The number and nature of the instances of detected poor safety 
conduct including the nature of the remedial action taken in response 
thereto;
    (2) The number and nature of FRA reported train accidents attributed 
to poor safety performance by locomotive engineers;
    (3) The number and type of operational monitoring test failures and 
observations of inadequate skill performance recorded by supervisors of 
locomotive engineers; and
    (4) If it conducts joint operations with another railroad, the 
number of

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locomotive engineers employed by such other railroad(s) to which such 
events were ascribed which the controlling railroad certified for joint 
operations purposes.
    (c) Based on that review and analysis each railroad shall determine 
what action(s) it will take to improve the safety of train operations to 
reduce or eliminate future incidents of that nature.
    (d) If requested in writing by FRA, the railroad shall provide a 
report of the findings and conclusions reached during such annual review 
and analysis effort.
    (e) For reporting purposes, information about the nature of detected 
poor safety conduct shall be capable of segregation for study and 
evaluation purposes into the following categories:
    (1) Incidents involving noncompliance with part 218;
    (2) Incidents involving noncompliance with part 219;
    (3) Incidents involving noncompliance with the procedures for the 
safe use of train or engine brakes when the procedures are required for 
compliance with the initial terminal, intermediate terminal, or transfer 
train and yard test provisions of 49 CFR part 232 or when the procedures 
are required for compliance with the class 1, class 1A, class II, or 
running brake test provisions of 49 CFR part 238;
    (4) Incidents involving noncompliance with the railroad's operating 
rules involving operation of a locomotive or train to operate at a speed 
that exceeds the maximum authorized limit;
    (5) Incidents involving noncompliance with the railroad's operating 
rules resulting in operation of a locomotive or train past any signal, 
excluding a hand or a radio signal indication or a switch, that requires 
a complete stop before passing it;
    (6) Incidents involving noncompliance with the provisions of 
restricted speed, and the operational equivalent thereof, that must be 
reported under the provisions of part 225 of this chapter;
    (7) Incidents involving occupying main track or a segment of main 
track without proper authority or permission;
    (8) Incidents involving the failure to comply with prohibitions 
against tampering with locomotive mounted safety devices, or knowingly 
operating or permitting to be operated a train with an unauthorized or 
disabled safety device in the controlling locomotive;
    (9) Incidents involving noncompliance with the railroad's operating 
practices (including train handling procedures) resulting in excessive 
in-train force levels; and
    (f) For reporting purposes each category of detected poor safety 
conduct identified in paragraph (d) of this section shall be capable of 
being annotated to reflect the following:
    (1) The nature of the remedial action taken and the number of events 
subdivided so as to reflect which of the following actions was selected:
    (i) Imposition of informal discipline;
    (ii) Imposition of formal discipline;
    (iii) Provision of informal training; or
    (iv) Provision of formal training; and
    (2) If the nature of the remedial action taken was formal 
discipline, the number of events further subdivided so as to reflect 
which of the following punishments was imposed by the hearing officer:
    (i) The person was withheld from service;
    (ii) The person was dismissed from employment or
    (iii) The person was issued demerits. If more than one form of 
punishment was imposed only that punishment deemed the most severe shall 
be shown.
    (g) For reporting purposes each category of detected poor safety 
conduct identified in paragraph (d) of this section which resulted in 
the imposition of formal or informal discipline shall be annotated to 
reflect the following:
    (1) The number of instances in which the railroad's internal appeals 
process reduced the punishment initially imposed at the conclusion of 
its hearing; and
    (2) The number of instances in which the punishment imposed by the 
railroad was reduced by any of the following entities: The National 
Railroad Adjustment Board, a Public Law Board, a Special Board of 
Adjustment

[[Page 653]]

or other body for the resolution of disputes duly constituted under the 
provisions of the Railway Labor Act.
    (h) For reporting purposes each category of detected poor safety 
conduct identified in paragraph (d) of this section shall be capable of 
being annotated to reflect the following:
    (1) The total number of incidents in that category;
    (2) The number of incidents within that total which reflect 
incidents requiring an FRA accident/incident report; and
    (3) The number of incidents within that total which were detected as 
a result of a scheduled operational monitoring effort.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60994, Nov. 8, 1999]