§ 240.309 Railroad oversight responsibilities. ( a ) No later than March 31 of each year, 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 the railroad conducts joint operations with another railroad, the number of locomotive engineers employed by the other railroad(s) that: Were involved in events described in this paragraph (b) and were determined to be certified and to have possessed the necessary territorial qualifications for joint operations purposes by the controlling railroad.
( 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 of this chapter;
( 2 ) Incidents involving noncompliance with part 219 of this chapter;
( 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 Class I, Class IA, Class II, Class III, or transfer train brake 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; and
( 9 ) Incidents involving noncompliance with the railroad's operating practices (including train handling procedures) resulting in excessive in-train force levels.
( f ) For reporting purposes, an instance of poor safety conduct involving a person who holds both conductor certification pursuant to part 242 of this chapter and locomotive engineer certification pursuant to this part need only be reported once (either under § 242.215 of this chapter or this section). The determination as to where to report the instance of poor safety conduct should be based on the work the person was performing at the time the conduct occurred.
( g ) For reporting purposes, each category of detected poor safety conduct identified in paragraph (b) 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 railroad: ( 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.
( h ) For reporting purposes, each category of detected poor safety conduct identified in paragraph (b) 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 or other body for the resolution of disputes duly constituted under the provisions of the Railway Labor Act.
( i ) For reporting purposes, each category of detected poor safety conduct identified in paragraph (b) 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 under part 225 of this chapter; 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; 74 FR 68185, Dec. 23, 2009; 85 FR 81317, Dec. 15, 2020]