[Code of Federal Regulations]

[Title 49, Volume 4]

[Revised as of October 1, 2006]

From the U.S. Government Printing Office via GPO Access

[CITE: 49CFR240.309]



[Page 773-775]

 

                        TITLE 49--TRANSPORTATION

 

       CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF 

                             TRANSPORTATION

 

PART 240_QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS--Table 

 

         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



[[Page 774]]



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 775]]



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]