§ 245.215 Railroad oversight responsibilities. ( a ) No later than March 31 of each year (beginning in calendar year 2027), each Class I railroad (including the National Railroad Passenger Corporation), each railroad providing commuter service, and each 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 dispatchers 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 dispatchers; and
( 3 ) The number and type of operational monitoring test failures recorded by railroad officers who meet the requirements of § 217.9(b)(1) of this chapter.
( c ) Based on that review and analysis, each railroad shall determine what action(s) it will take to improve the safety of railroad operations to reduce or eliminate future incidents of that nature.
( d ) If requested in writing by FRA, by the president of a labor organization that represents the railroad's dispatchers, or by a railroad's certified dispatcher that is not represented by a labor organization, 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 failure to properly issue or apply mandatory directives when warranted.
( 2 ) Incidents involving improperly authorizing a train or on-track equipment to enter into an out-of-service or blue flag protected track.
( 3 ) Incidents involving granting permission for a train or on-track equipment to enter into established RWIC limits without authority or permission from the RWIC.
( 4 ) Incidents involving removal of blocking devices or established protection of RWIC working limits prior to the RWIC releasing the limits.
( 5 ) Incidents involving failure to properly apply blocking devices or failure to establish proper protection for specified working limits or movements of trains or on-track equipment.
( 6 ) Incidents involving granting permission for a train to enter Positive Train Control (PTC) or Cab Signal limits with inoperative or malfunctioning PTC or Cab Signal equipment.
( 7 ) Incidents involving noncompliance with part 219 of this chapter.
( f ) For reporting purposes, each category of detected poor safety conduct identified in paragraph (e) 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.
( g ) For reporting purposes, each instance 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 the punishment deemed the most severe shall be shown.
( h ) For reporting purposes, each instance 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, an instance of poor safety conduct involving a person who is a certified dispatcher and is certified in another craft, such as a locomotive engineer or conductor, need only be reported once (*e.g.,* either under this section or § 240.309 or § 242.215 of this chapter). 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.