[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: 49CFR240.409]

[Page 655-657]
 
                        TITLE 49--TRANSPORTATION
 
       CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF 
                             TRANSPORTATION
 
PART 240--QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS--Table of Contents
 
                Subpart E--Dispute Resolution Procedures
 
Sec. 240.409  Hearings.

    (a) An administrative hearing for a locomotive engineer 
qualification petition shall be conducted by a presiding officer, who 
can be any person authorized by the Administrator, including an 
administrative law judge.
    (b) The presiding officer may exercise the powers of the 
Administrator to regulate the conduct of the hearing for the purpose of 
achieving a prompt and fair determination of all material issues in 
controversy.
    (c) The presiding officer shall convene and preside over the 
hearing. The hearing shall be a de novo hearing to find the relevant 
facts and determine the correct application of this part to those facts. 
The presiding officer may determine that there is no genuine issue 
covering some or all material facts and limit evidentiary proceedings to 
any issues of material fact as to which there is a genuine dispute.
    (d) The presiding officer may authorize discovery of the types and 
quantities which in the presiding officer's discretion will contribute 
to a fair hearing without unduly burdening the parties. The presiding 
officer may impose appropriate non-monetary sanctions, including 
limitations as to the presentation of evidence and issues, for any 
party's willful failure or refusal to comply with approved discovery 
requests.
    (e) Every petition, motion, response, or other authorized or 
required document shall be signed by the party filing the same, or by a 
duly authorized officer or representative of record, or by any other 
person. If signed by such other person, the reason therefor must be 
stated and the power of attorney or other authority authorizing such 
other person to subscribe the document must be filed with the document. 
The signature of the person subscribing any document constitutes a 
certification that he or she has read the document; that to the best of 
his or her knowledge, information and belief every statement contained 
in the document is true and no such statements are misleading; and that 
it is not interposed for delay or to be vexatious.
    (f) After the request for a hearing is filed, all documents filed or 
served upon one party must be served upon all parties. Each party may 
designate a person upon whom service is to be made when not specified by 
law, regulation, or directive of the presiding officer. If a party does 
not designate a person upon whom service is to be made, then service may 
be made upon any person having subscribed to a submission of the party 
being served, unless otherwise specified by law, regulation, or 
directive of the presiding officer. Proof of service shall accompany all 
documents when they are tendered for filing.
    (g) If any document initiating, filed, or served in, a proceeding is 
not in substantial compliance with the applicable law, regulation, or 
directive of the presiding officer, the presiding officer may strike or 
dismiss all or part of such document, or require its amendment.
    (h) Any party to a proceeding may appear and be heard in person or 
by an authorized representative.
    (i) Any person testifying at a hearing or deposition may be 
accompanied, represented, and advised by an attorney or other 
representative, and may be examined by that person.
    (j) Any party may request to consolidate or separate the hearing of 
two or more petitions by motion to the presiding officer, when they 
arise from the same or similar facts or when the matters are for any 
reason deemed more efficiently heard together.
    (k) Except as provided in Sec. 240.407(c) of this part and paragraph 
(u)(4) of this section, whenever a party has the right or is required to 
take action within a period prescribed by this part, or by law, 
regulation, or directive of the presiding officer, the presiding officer 
may extend such period, with or without notice, for good cause, provided 
another party is not substantially prejudiced by such extension. A 
request to extend a period which has already expired may be denied as 
untimely.
    (l) An application to the presiding officer for an order or ruling 
not otherwise specifically provided for in this part shall be by motion. 
The motion shall be filed with the presiding officer and, if written, 
served upon all parties. All motions, unless made during the hearing, 
shall be written. Motions made during hearings may be made

[[Page 656]]

orally on the record, except that the presiding officer may direct that 
any oral motion be reduced to writing. Any motion shall state with 
particularity the grounds therefor and the relief or order sought, and 
shall be accompanied by any affidavits or other evidence desired to be 
relied upon which is not already part of the record. Any matter 
submitted in response to a written motion must be filed and served 
within fourteen (14) days of the motion, or within such other period as 
directed by the presiding officer.
    (m) Testimony by witnesses at the hearing shall be given under oath 
and the hearing shall be recorded verbatim. The presiding officer shall 
give the parties to the proceeding adequate opportunity during the 
course of the hearing for the presentation of arguments in support of or 
in opposition to motions, and objections and exceptions to rulings of 
the presiding officer. The presiding officer may permit oral argument on 
any issues for which the presiding officer deems it appropriate and 
beneficial. Any evidence or argument received or proffered orally shall 
be transcribed and made a part of the record. Any physical evidence or 
written argument received or proffered shall be made a part of the 
record, except that the presiding officer may authorize the substitution 
of copies, photographs, or descriptions, when deemed to be appropriate.
    (n) The presiding officer shall employ the Federal Rules of Evidence 
for United States Courts and Magistrates as general guidelines for the 
introduction of evidence. Notwithstanding paragraph (m) of this section, 
all relevant and probative evidence shall be received unless the 
presiding officer determines the evidence to be unduly repetitive or so 
extensive and lacking in relevancy that its admission would impair the 
prompt, orderly, and fair resolution of the proceeding.
    (o) The presiding officer may:
    (1) Administer oaths and affirmations;
    (2) Issue subpoenas as provided for in Sec. 209.7 of part 209 in 
this chapter;
    (3) Adopt any needed procedures for the submission of evidence in 
written form;
    (4) Examine witnesses at the hearing;
    (5) Convene, recess, adjourn or otherwise regulate the course of the 
hearing; and
    (6) Take any other action authorized by or consistent with the 
provisions of this part and permitted by law that may expedite the 
hearing or aid in the disposition of the proceeding.
    (p) The petitioner before the Locomotive Engineer Review Board, the 
railroad involved in taking the certification action, and FRA shall be 
parties at the hearing. All parties may participate in the hearing and 
may appear and be heard on their own behalf or through designated 
representatives. All parties may offer relevant evidence, including 
testimony, and may conduct such cross-examination of witnesses as may be 
required to make a record of the relevant facts.
    (q) The party requesting the administrative hearing shall be the 
``hearing petitioner.'' The hearing petitioner shall have the burden of 
proving its case by a preponderance of the evidence. Hence, if the 
hearing petitioner is the railroad involved in taking the certification 
action, that railroad will have the burden of proving that its decision 
to deny certification, deny recertification, or revoke certification was 
correct. Conversely, if the petitioner before the Locomotive Engineer 
Review Board is the hearing petitioner, that person will have the burden 
of proving that the railroad's decision to deny certification, deny 
recertification, or revoke certification was incorrect. Between the 
petitioner before the Locomotive Engineer Review Board and the railroad 
involved in taking the certification action, the party who is not the 
hearing petitioner will be a respondent.
    (r) FRA will be a mandatory party to the administrative hearing. At 
the start of each proceeding, FRA will be a respondent.
    (s) The record in the proceeding shall be closed at the conclusion 
of the evidentiary hearing unless the presiding officer allows 
additional time for the submission of additional evidence. In such 
instances the record shall be left open for such time as the presiding 
officer grants for that purpose.

[[Page 657]]

    (t) At the close of the record, the presiding officer shall prepare 
a written decision in the proceeding.
    (u) The decision:
    (1) Shall contain the findings of fact and conclusions of law, as 
well as the basis for each concerning all material issues of fact or law 
presented on the record;
    (2) Shall be served on the hearing petitioner and all other parties 
to the proceeding;
    (3) Shall not become final for 35 days after issuance;
    (4) Constitutes final agency action unless an aggrieved party files 
an appeal within 35 days after issuance; and
    (5) Is not precedential.

[60 FR 53137, Oct. 12, 1995]