[Federal Register Volume 79, Number 144 (Monday, July 28, 2014)]
[Proposed Rules]
[Pages 43830-43915]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-17195]
[[Page 43829]]
Vol. 79
Monday,
No. 144
July 28, 2014
Part II
Department of Transportation
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Federal Railroad Administration
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49 CFR Part 219
Control of Alcohol and Drug Use: Coverage of Maintenance of Way
Employees, Retrospective Regulatory Review-Based Amendments (RRR);
Proposed Rule
Federal Register / Vol. 79 , No. 144 / Monday, July 28, 2014 /
Proposed Rules
[[Page 43830]]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
49 CFR Part 219
[Docket No. FRA-2009-0039]
RIN 2130-AC10
Control of Alcohol and Drug Use: Coverage of Maintenance of Way
Employees, Retrospective Regulatory Review-Based Amendments (RRR)
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation. (DOT).
ACTION: Notice of proposed rulemaking (NPRM).
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SUMMARY: In response to Congress' mandate in the Rail Safety
Improvement Act of 2008 (RSIA), FRA is proposing to expand the scope of
its alcohol and drug regulations to cover employees who perform
maintenance-of-way (MOW) activities. In addition, FRA is proposing
certain substantive amendments that either respond to National
Transportation Safety Board (NTSB) recommendations or update and
clarify the alcohol and drug regulations based on a retrospective
regulatory review (RRR) analysis.
DATES: Comments: Submit comments on or before September 26, 2014.
Public Hearing: FRA anticipates being able to resolve this
rulemaking without a public, oral hearing. However, if FRA receives a
specific request for a public, oral hearing prior to August 27, 2014,
one will be scheduled and FRA will publish a supplemental notice in the
Federal Register to inform interested parties of the date, time, and
location of any such hearing.
ADDRESSES: Comments: Comments related to Docket No. FRA-2009-0039 may
be submitted by any of the following methods:
Online: Comments should be filed at the Federal
eRulemaking Portal, http://www.regulations.gov. Follow the online
instructions for submitting comments.
Fax: 202-493-2251.
Mail: Docket Management Facility, U.S. DOT, 1200 New
Jersey Avenue SE., W12-140, Washington, DC 20590.
Hand Delivery: Room W12-140 on the Ground level of the
West Building, 1200 New Jersey Avenue SE., Washington, DC between 9
a.m. and 5 p.m. Monday through Friday, except federal holidays.
Instructions: All submissions must include the agency name and docket
number or Regulatory Identification Number (RIN) for this rulemaking.
Note that all comments received will be posted without change to http://www.regulations.gov including any personal information provided.
Please see the Privacy Act heading in the ``Supplementary Information''
section of this document for Privacy Act information related to any
submitted comments or materials.
Proposed Revised Part 219 Available in Docket No. FRA-2009-0039
A revised version of part 219 incorporating all amendments proposed
by this NPRM is available for review in the public docket of this
rulemaking (docket no. FRA-2009-0039). Interested persons can review
this document to learn how the proposed amendments would affect part
219 as a whole.
FOR FURTHER INFORMATION CONTACT: For program and technical issues,
contact Gerald Powers, Drug and Alcohol Program Manager, Office of
Safety Enforcement, Mail Stop 25, Federal Railroad Administration, 1200
New Jersey Avenue SE., Washington, DC 20590 (telephone 202-493-6313),
[email protected]. For legal issues, contact Elizabeth A. Gross,
Trial Attorney, Office of Chief Counsel, Federal Railroad
Administration, 1200 New Jersey Avenue SE., Mail Stop 10, Washington,
DC 20590 (telephone 202-493-1342), [email protected]; or Patricia
V. Sun, Trial Attorney, Office of Chief Counsel, Federal Railroad
Administration, 1200 New Jersey Avenue SE., Mail Stop 10, Washington,
DC 20590 (telephone 202-493-6060), [email protected].
SUPPLEMENTARY INFORMATION:
Table of Contents for Supplementary Information
I. Executive Summary
II. Statutory Authority and Proceedings to Date
III. Expansion of Part 219 to Employees Who Perform MOW Activities
A. Background
B. FRA's Proposed Definition of MOW Activities
C. ``Regulated Employees'' and ``Regulated Service''
D. Alternatives Considered for Part 219 Expansion
1. Alternative No. 1: Adopt the ``roadway worker'' definition in
Sec. 214.7
2. Alternative No. 2: Include all employees who perform FRA
safety-sensitive functions under Sec. Sec. 219.301 and 209.303
E. MOW Employees and the Small Railroad Exception
F. Railroad and Contractor Responsibility for Compliance
G. MOW Employee Random Testing Rate
H. MOW Employee Pre-employment Drug Testing
IV. Signal Contractors
V. Other Proposed Substantive Amendments
A. Small railroads would no longer be excepted from the
requirements for reasonable suspicion testing and pre-employment
drug testing
B. For purposes of the small railroad exception, a new
definition of ``joint operations'' would be incorporated
C. The post-accident toxicological (PAT) testing damage
threshold for major train accidents would be increased
D. Derailment and raking collisions would no longer be excluded
from the Sec. 219.5 definition of impact accident
E. PAT testing would be required for railroad highway-rail grade
crossing accidents/incidents involving human-factor errors
F. The provisions governing when regulated employees could be
recalled for PAT testing would be amended
G. Reasonable cause testing would be authorized only for
reportable ``train accidents and ``train incidents''
H. Federal reasonable cause testing would be authorized for
additional operating rule violations or other errors
I. Part 219 would be amended to conform certain provisions to
the final conductor certification rule
VI. Primary Clarifying Amendments
A. Reasonable suspicion and reasonable cause testing would be
separated into different subparts, resulting in the re-designation
of other subparts
B. Random alcohol and drug testing would be reorganized and
clarified
C. Substituting ``Drug and Alcohol'' for ``Alcohol and Drug''
VII. Section-by-Section Analysis
VIII. Regulatory Impact and Notices
A. Executive Orders 12866 and 13563 and DOT Regulatory Policies
and Procedures
B. Regulatory Flexibility Act and Executive Order 13272; Initial
Regulatory Flexibility Assessment
C. Paperwork Reduction Act
D. Federalism Implications
E. International Trade Impact Assessment
F. Environmental Impact
G. Unfunded Mandates Reform Act of 1995
H. Energy Impact
I. Privacy Act
[[Page 43831]]
I. Executive Summary
FRA has regulated the use of alcohol and drugs by certain railroad
employees since 1985, when it issued a final rule establishing alcohol
and drug use control regulations under 49 CFR part 219 (part 219). See
50 FR 31508, Aug. 2, 1985. The rule contained certain prohibitions on
the use and possession of alcohol and drugs by covered employees, who
were defined as employees who had been assigned to perform covered
service subject to the Hours of Service Act (45 U.S.C. 61-64b).\1\ See
id. at 31569. The rule also contained requirements for post-accident
toxicological (PAT) testing, discretionary reasonable cause and
reasonable suspicion testing, co-worker and voluntary referral
policies, pre-employment drug testing, and reporting. See id. at 31508.
In 1988, FRA amended part 219 to require random drug testing of covered
employees. See 53 FR 47102, Nov. 21, 1988. In 1994, FRA again amended
part 219 to require random alcohol testing and reasonable suspicion
testing, in conformance with the requirements of the Omnibus
Transportation Employee Testing Act of 1991 (Omnibus Act) (reasonable
cause testing remained discretionary). See 59 FR 7448, Feb. 15, 1994.
FRA has not fundamentally revised part 219 since 1994.\2\
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\1\ The hours of service (HOS) laws are currently found at 49
U.S.C. ch. 211.
\2\ In 2004, FRA expanded the scope of part 219 to cover foreign
railroad foreign-based employees who perform train or dispatching
service in the United States. See 69 FR 19270, Apr. 12, 2004. In
2013, FRA added routine tests for certain non-controlled substances
to its PAT testing program. See 78 FR 14217, Mar. 5, 2013.
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The Omnibus Act required the Department of Transportation (DOT or
Department) to establish Federal workplace testing procedures for
transportation employees. The Department's Procedures for
Transportation Workplace Drug and Alcohol Testing Program are contained
in 49 CFR part 40 (part 40), which is published by the DOT Office of
the Secretary (OST). Only the DOT Office of Drug and Alcohol Policy and
Compliance (ODAPC) and the DOT Office of General Counsel (OGC) are
authorized to interpret part 40 requirements. See 49 CFR 40.5.\3\ Part
40 testing requirements and procedures apply to any drug or alcohol
test required by DOT agency regulations, except for FRA's PAT testing
and certain testing conducted pursuant to DOT-mandated peer prevention
programs (including FRA's peer prevention program currently required by
subpart E of part 219). See Sec. 219.701. FRA's PAT testing program
pre-dates the enactment of the Omnibus Act, which specifically exempts
the program from part 40. See Sec. 40.1(c).
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\3\ Unless otherwise specified, all references to CFR sections
and parts in this document refer to Title 49 of the CFR.
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In response to Congress' mandate in the RSIA, FRA is proposing to
expand the scope of part 219 to cover employees who perform MOW
activities. As used in this NPRM, the term ``employee'' includes
employees, volunteers, and probationary employees of railroads and
contractors (defined to include subcontractors) to railroads. In
addition, because MOW employees are not subject to the HOS laws, FRA is
proposing a new term-of-art--``regulated service''--that would
encompass both covered service and MOW activities. Performance of
regulated service would make an individual a ``regulated employee''
subject to part 219, regardless of whether the individual is employed
by a railroad or a contractor to a railroad. This proposed expansion of
part 219 would both comply with the RSIA mandate and respond in part to
NTSB Recommendation R-08-07 (Apr. 10, 2008), available at http://www.ntsb.gov/doclib/recletters/2008/R08_05_07.pdf. In Recommendation
R-08-07, the NTSB advised FRA to expand its alcohol and drug
regulations to all railroad employees and contractors who perform FRA
safety-sensitive functions as defined by Sec. Sec. 209.301 and 209.303
(the regulations setting forth the purpose, scope and coverage of FRA's
procedures for disqualifying individuals from performing certain
safety-sensitive functions).
FRA is also proposing to amend part 219 in response to NTSB
Recommendation R-01-17, available at http://www.ntsb.gov/doclib/recletters/2001/R01_17.pdf. Recommendation R-01-17 advised FRA to
limit the current blanket exception for PAT testing after highway-rail
grade crossing accidents to allow PAT testing when an accident was
likely due to human factors or involved a regulated employee fatality.
This NPRM also proposes amendments based on a retrospective review
of part 219, which FRA has been implementing for more than 25 years.
These amendments, which reflect practical lessons FRA has learned, are
necessary to update and simplify the regulation's requirements.
Costs and Benefits of Proposed Rule
The proposed rule would impose costs that are outweighed by the
quantified safety benefits. For the 20-year period analyzed, the
estimated costs that will be imposed on industry total approximately
$24 million (undiscounted), with discounted costs totaling $14.2
million (Present Value (PV), 7 percent) and $18.9 million (PV, 3
percent). The estimated quantified benefits for this 20-year period
total approximately $115.8 million (undiscounted), with discounted
benefits totaling $57.4 million (PV, 7 percent) and $83.6 million (PV,
3 percent).
The costs would primarily be derived from implementation of the
statutory mandate to expand the scope of part 219 to cover MOW
employees. The benefits will primarily accrue from the expected injury,
fatality, and property damage avoidance resulting from the expansion of
part 219 to cover MOW employees, as well as the PAT testing threshold
increase. The table below summarizes the quantified costs and benefits
expected to accrue over a 20-year period from adoption of the proposed
rule and identifies the statutory costs and benefits (those required by
the RSIA mandate to expand part 219 to MOW employees) and the
discretionary costs and benefits (those that are due to the non-RSIA
requirements that FRA is proposing).
[[Page 43832]]
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20 Year costs Statutory Discretionary
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PAT Testing Costs--Adding MOW................................. $52,000 .......................
PAT Testing Costs--Impact Def + Xing.......................... $241,974
Reasonable Suspicion Testing Costs............................ 842,398 .......................
Pre-Emp. Testing Costs--Adding MOW............................ 673,897 .......................
Pre-Emp. Testing Costs--Sm. RR................................ 29,904
Random Testing Costs.......................................... 20,863,074 .......................
Annual Report Costs........................................... 160,911 .......................
Recordkeeping Requirements Costs.............................. 1,397,840 .......................
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Total Costs............................................... 23,990,121 271,878
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24,261,999
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20 Year Benefits Statutory Discretionary
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Accident Reduction Benefits................................... 115,369,281 .......................
PAT Testing Threshold Reduction Benefits...................... 388,295
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Total Benefits............................................ 115,757,576
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II. Statutory Authority and Proceedings to Date
Currently, part 219 applies only to covered employees, defined in
Sec. 219.5 as individuals who perform covered service subject to the
HOS laws at 49 U.S.C. 21103, 21104, or 21105. In Section 412 of the
RSIA (Section 412), Congress directed the Secretary to ``revise the
regulations prescribed under section 20140 of title 49, United States
Code, to cover all employees of railroad carriers and contractors or
subcontractors to railroad carriers who perform maintenance-of-way
activities.'' The Secretary has delegated this responsibility to the
FRA Administrator. See 49 CFR 1.89(b); see also 49 U.S.C. 103(g). The
RSIA does not define MOW activities.
When the RSIA was enacted in 2008, FRA was already conducting a
retrospective analysis of part 219, looking for ways to clarify the
regulations and make the requirements less burdensome. This NPRM
therefore proposes both amendments that would incorporate MOW employees
and amendments suggested by FRA's retrospective analysis of part 219.
As explained above, part 219 incorporates the alcohol and drug
testing procedures found in part 40, which is published and
administered by ODAPC. For this reason, FRA did not consult with the
Railroad Safety Advisory Committee (RSAC) on this proposed rule.
Instead, FRA gathered information and suggestions from railroads, labor
organizations, and other stakeholders at railroad industry meetings.
For example, railroad industry stakeholders provided statistics about
the number of employees of railroads and contractors to railroads who
perform MOW activities and submitted suggestions on how FRA should
define MOW activities.
III. Expansion of Part 219 to Employees Who Perform MOW Activities
In this NPRM, FRA is proposing to expand the scope of part 219 to
include employees who perform MOW activities (MOW employees). As
discussed above, the term ``employee,'' as used in this NPRM, includes
employees, contractors, subcontractors, volunteers, and probationary
employees. Accordingly, the term ``MOW employee'' includes any
individual performing MOW activities for a railroad, whether employed
directly by the railroad, employed by a contractor or subcontractor to
the railroad, or a volunteer for the railroad. MOW employees are at a
high safety risk because they work along railroad track and roadbed and
may suffer injury or death as a result of being struck by trains or
other on-track or fouling equipment. Additionally, MOW employees
directly affect the safety of railroad operations because they work on
or near railroad tracks, operate on-track or fouling equipment, and
assist in directing trains through work areas. The purpose of expanding
part 219 to include MOW employees is to improve safety by reducing the
rate of alcohol and drug use among the MOW employee population.
A. Background
On January 9, 2007, a southbound Massachusetts Bay Transit
Administration (MBTA) passenger train, operated by the Massachusetts
Bay Commuter Railroad (MBCR), struck a track maintenance vehicle that
was on the track near Woburn, Massachusetts. See NTSB, Railroad
Accident Report: Collision of Massachusetts Bay Transportation
Authority Train 322 and Track Maintenance Equipment Near Woburn,
Massachusetts, NTSB/RAR-08/01, PB2008-916301, Mar. 18, 2008, at 1,
available at http://www.ntsb.gov/doclib/reports/2008/RAR0801.pdf
(``Woburn Report''). At the time of the collision, six MBCR MOW
employees were replacing crossties and were working on or near the
track maintenance vehicle. The train rounded a curve at 62 mph and
struck the track maintenance vehicle. The MOW workers had only about 15
seconds warning before the collision. Id. at 17. Two of the MBCR
employees, a track foreman and a track worker/welder, were killed, and
two were seriously injured. The NTSB investigated the collision and
determined that one of its probable causes was the failure of the MOW
crew to apply a shunting device that would have provided redundant
signal protection for their track segment.\4\ An MBCR rule required the
crew to have a shunting device at the end of the work area every time a
track was taken out of service for maintenance. The track foreman in
charge of the MOW crew, however, had not complied with this rule. Id.
at vi and 17.
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\4\ The NTSB also found that a probable cause of the accident
was the failure of the train dispatcher to maintain blocking that
provided signal protection for the track segment occupied by the MOW
crew. See id. at vi.
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While the MOW employees involved in the MBTA accident were not
covered employees, Sec. 219.203(a)(4)(ii) requires PAT testing on the
remains of any railroad employee fatally injured in a train accident or
incident. The PAT testing results for the fatally injured foreman
involved in the MBTA accident showed that that he had likely used
marijuana within three hours of his
[[Page 43833]]
death. The NTSB concluded that the foreman's performance would likely
have been measurably impaired at the time of the accident by his recent
use of marijuana. The NTSB also concluded that the foreman's positive
drug test result was ``not an isolated incident among MBCR maintenance-
of-way employees.'' Id. at 19. Between December 2003 and January 2007,
the MBCR had four fatalities, one critical injury, and one potentially
serious incident involving MOW employees. Id. Seven MOW employees were
tested for drugs and/or alcohol as a result of these incidents. Id.
(Four fatally injured employees were tested under FRA authority, and
three surviving employees were tested under MBCR's company authority.
Id.) Of the seven MOW employees tested, four had positive results, and
one employee submitted a specimen that was a negative dilute which may
have masked a positive. Id. The NTSB found that this high rate of
positive test results was symptomatic of a substance abuse problem
among MBCR MOW employees. Id.
As part of its investigation of this accident, the NTSB reviewed
industry-wide PAT testing data for accidents involving MOW employee
fatalities. Over the 10-year period ending January 9, 2007, FRA PAT
testing of 26 MOW fatalities resulted in 5 positive test results, a
positive rate of 19.23%. Id. at 19. In contrast, the overall PAT
testing positive rate for covered employees was only 6.56%. Id. The
NTSB concluded that these results showed greater alcohol and drug use
among MOW employees than among covered employees subject to part 219.
Id. Thus, the NTSB determined that alcohol and drug use by MOW
employees in the railroad industry was a safety concern. Id. at vi and
19.
The NTSB noted that FRA data indicate that MOW employees are about
three times more likely to have positive test results than covered
employees (19.23% positive for MOW employees vs. 6.56% positive for
covered employees). See Woburn Report at 20. Attributing this
difference ``to the deterrent value of the FRA's random testing program
to which covered employees are subject but maintenance-of-way employees
are not,'' the NTSB recommended that FRA revise its definition of
covered employee to include all railroad employees and contractors who
perform FRA safety-sensitive functions, as defined by Sec. Sec.
209.301 and 209.303. See NTSB Recommendation R-08-07.
Section 209.303 lists the safety-sensitive functions that an
individual may be disqualified from performing if he or she has been
found unfit to do so after committing a FRA safety violation. See Sec.
209.301. If FRA expanded the scope of part 219 to cover the safety-
sensitive functions listed in Sec. 209.303, it would include not only
covered employees, as currently defined, but all railroad employees and
contractor employees (including managers and supervisors) who: (1)
Inspect, install, repair, or maintain track and roadbed; (2) inspect,
repair, or maintain locomotives, passenger cars, and freight cars; (3)
conduct training and testing of employees when required to do so by the
FRA's safety regulations; (4) perform service subject to the
Transportation of Hazardous Materials Law (Hazmat Law); \5\ (5)
supervise and otherwise direct the performance of the safety-sensitive
functions; or (6) are in a position to direct the commission of
violations of any FRA safety regulation. As discussed below, FRA does
not currently believe that it is necessary to expand part 219 beyond
railroad employees (including contractors, subcontractors, volunteers
and probationary employees) who perform covered service and/or MOW
activities for a railroad.
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\5\ The Transportation of Hazardous Materials Laws are located
at 49 U.S.C. ch. 51. Under 49 U.S.C. 5103, the Secretary is directed
to prescribe regulations for the ``safe transportation, including
security, of hazardous materials in intrastate, interstate, and
foreign commerce.'' These regulations apply to a person who performs
a broad range of activities, including testing a ``packaging
component that is represented, marked, certified, or sold as
qualified for use in transporting hazardous material in commerce''
and ``certif[ying] compliance with any requirements under this
chapter.'' Such activities generally are not related to what would
be considered railroad MOW activities.
The Secretary delegated the authority to issue these
regulations to the Pipeline and Hazardous Materials Safety
Administration (PHMSA), and the resulting regulations are found at
49 CFR subtitle B, ch. 1. The broad extent of these regulations go
far beyond what would be an appropriate scope for FRA's alcohol and
drug regulation.
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B. FRA's Proposed Definition of ``MOW Activities''
In response to the mandate contained in Section 412 and NTSB
Recommendation R-08-07, FRA is proposing to expand part 219 to include
employees who perform MOW activities, as defined in proposed Sec.
219.5. FRA's proposed definition of MOW activities includes the
following: (1) The inspection, repair, or maintenance of track,
roadbed, or electric traction systems; (2) the operation of on-track or
fouling equipment utilized for the inspection, repair, or maintenance
of track, roadbed, or electric traction systems; (3) the performance of
flagman or watchman/lookout duties; (4) the obtaining of on-track
authority and/or permission for the performance of activities described
by the proposed definition; or (5) the granting of on-track authority
and/or permission for operation over a segment of track while workers
are performing activities described by the proposed definition.
In drafting its proposed definition of ``MOW activities,'' FRA drew
from Sec. 209.303's definition of FRA safety-sensitive functions and
identified those activities that most closely fit the common
understanding of MOW activities in the railroad industry. Based in part
on feedback from stakeholders, FRA determined that these activities
include the inspection, installation, repair, or maintenance of track
and roadbed. See Sec. 209.303(b)(1). Individuals performing such
activities work along railroad track and roadbed and may suffer serious
injury or death from being struck by trains or other on-track or
fouling equipment. These individuals also directly affect the safety of
railroad operations because they work on or near railroad tracks,
operate on-track or fouling equipment, and authorize or direct trains
through working limits.
In contrast, individuals performing the other FRA safety-sensitive
functions listed in Sec. 209.303 do not typically experience the same
type of safety risks because they generally do not work on or around a
railroad's track or roadbed. Individuals who inspect, repair, or
maintain locomotives, passenger cars, and freight cars, as described by
Sec. 209.303(b)(2), generally perform these functions in locomotive or
car repair facilities subject to blue flag protection. See 49 CFR part
218, subpart B. Individuals who conduct training and testing of
employees required by FRA safety regulations, as described in Sec.
209.303(b)(3), may conduct such training without ever approaching a
railroad track or roadbed. Individuals who perform service subject to
the Hazmat Law may sometimes do so on or near a track or roadbed, but
this is not necessarily the case. Nevertheless, any individuals
performing the above activities would fall within the proposed expanded
scope of part 219 if they otherwise perform covered service or MOW
activities as defined in this NPRM.
Once FRA decided to begin its MOW activities definition with the
language from Sec. 209.303(b)(1), it decided to remove ``install''
from the definition because part 219 applies only to railroads that
operate on track that is part of the general railroad system of
[[Page 43834]]
transportation. See Sec. 219.3(a). By not including the word
``install'' in its proposed MOW activities definition, FRA would
exclude the installation of track that has not yet been incorporated
into the general railroad system of transportation. Rebuilding a track
that is already part of the general system of transportation, however,
would be covered by the definition because it would be considered
repair or maintenance. Essentially, work on a track would be covered
under the proposed MOW activities definition once the track became part
of the general system of transportation and subject to FRA's track
safety standards in 49 CFR part 213. FRA is specifically requesting
public comment, however, on whether the installation of new track
should be considered a MOW activity, and whether its proposed
definition would improperly exclude other installation work that should
be considered a MOW activity.
FRA also decided, however, that its proposed definition of MOW
activities should specifically include employees who work on electric
traction systems. Electric traction is a wayside electric distribution
system (such as an overhead catenary or third rail) that a railroad can
utilize for locomotion in lieu of locomotive diesel engines. Electric
traction systems also include various pieces of equipment that can be
found along the railroad's right-of-way, such as power stations, power
sub-stations, breaker sites, power feed lines, catenary towers, and
power dispatching offices. Currently, Amtrak and other commuter
railroads use electric traction systems.
FRA also concluded that the definition of MOW activities should
specifically include employees who perform duties as flagmen or
watchmen/lookouts. While flagmen or watchmen/lookouts may not be
directly engaged in the inspection, repair, or maintenance of track,
roadbed, or electric traction systems, they are generally working in
the foul of track and are providing on-track safety for employees who
are engaged in such activities. For example, a flagman may be
responsible for keeping all trains and on-track equipment clear of the
working limits within which MOW activities are being performed. See
Sec. 214.7. Watchmen/lookouts are also responsible under Sec. 214.329
for providing train approach warnings to MOW employees who foul any
track outside of working limits.\6\ Since flagmen and watchmen/lookouts
must stay alert at all times to properly perform these safety-critical
job duties, it would run counter to safety purposes to exclude their
duties from FRA's proposed definition of MOW activities. FRA is
proposing to define ``flagman'' and ``watchman/lookout'' in Sec. 219.5
as those terms are currently defined in FRA's roadway worker
regulations. See Sec. 214.7. Because these definitions have already
been established by part 214, the railroad industry is already familiar
with their meaning and application.\7\
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\6\ While Sec. 214.329 is phrased in terms of watchmen/lookouts
providing train approach warning to roadway workers, FRA notes that
the definition of ``roadway worker'' in Sec. 214.7 (discussed
further below) is not craft-specific and would likely include any
MOW employee (as defined in this NPRM) fouling a track outside of
working limits. Any MOW employee fouling a track outside of working
limits would therefore require a train approach warning by one or
more watchmen/lookouts under Sec. 214.329.
\7\ FRA notes that the term flagman is also used by the railroad
industry to describe an employee (e.g., a ``conductor flagman'') who
obtains on-track authority for contractors that are not contractors
to a railroad and therefore not roadway workers. The general public
also understands flagman to mean a person who flags highway traffic
during highway construction or grade crossing projects. In this
NPRM, FRA is proposing to define ``flagman'' solely as defined in
Sec. 214.7, rather than in the sense of ``conductor-flagman'' or
``highway-traffic-flagman.''
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For illustration purposes, part 219's proposed MOW activities
definition would include (but not be limited to) the following
activities: (1) The clearing of snow and ice from track and switches
(but not from passenger station platforms, as discussed below); (2) the
operation of on-track or fouling equipment used for repair/maintenance
purposes such as tampers, tie-throwers, ballast machines, weed
sprayers, etc. or working with such equipment; (3) the operation of on-
track rail inspection vehicles; (4) the requesting or granting of
authority to occupy a segment of track for the purpose of performing
MOW activities; and (5) the requesting or granting of permission for a
train to proceed through MOW working limits. The above list is not
exhaustive, and FRA is specifically requesting public comment on
whether there are other functions that should be considered MOW
activities that may not be included in its proposed definition. FRA is
specifically interested in whether it should consider duties already
covered by the alcohol and drug testing requirements of the Federal
Motor Carrier Safety Administration (FMSCA) as MOW activities, when
those duties also impact the safe performance of MOW activities (e.g.,
the operation of tractor-trailers or other equipment for the purpose of
loading or unloading MOW equipment or supplies onto or within the foul
of the track).
FRA proposes, however, to exclude the following types of activities
from the definition of MOW activities: (1) The clearing of snow and ice
from passenger station platforms; (2) other passenger station
maintenance, such as painting, cleaning, sweeping platforms, etc.; (3)
activities performed by individuals who are not engaged by or under
contract to a railroad, such as workers who are installing cable for a
public utility company or constructing a bridge for a government
highway agency; (4) railroad bridge \8\ work that is not on the track
or within four feet of the nearest rail (on a horizontal plane), such
as painting the base of a bridge or diving to inspect a bridge
structure; (5) engagement as a tractor-trailer operator solely for the
purpose of hauling MOW equipment to and from a work site (although such
persons would be included in the definition if they were engaged in
loading or unloading MOW equipment or supplies onto or within the foul
of the track); and (6) emergency work that is wholly the result of a
natural disaster, such as a flood, tornado, or mudslide. As with the
list of included activities above, this list of excluded activities is
not exhaustive, and FRA is requesting public comment on what, if any,
other activities should be specifically excluded from the definition of
MOW activities.
---------------------------------------------------------------------------
\8\ Under Sec. 214.7, a ``railroad bridge'' is a structure
supporting one or more railroad tracks above land or water with a
span length of 12 feet or more measured along the track centerline.
This includes the entire structure between the faces of the
backwalls of abutments or equivalent components, regardless of
number of spans, and includes all such structures, whether
constructed of timber, stone, concrete, metal, or any combination of
these materials. Under Sec. 237.5, a ``railroad bridge'' is any
structure with a deck, regardless of length, which supports one or
more railroad tracks, or any other undergrade structure with an
individual span length of 10 feet or more located at such a depth
that it is affected by live loads. See 49 CFR part 237, appendix A--
Supplemental Statement of Agency Policy on the Safety of Railroad
Bridges.
---------------------------------------------------------------------------
FRA is also specifically requesting public comment on whether the
proposed MOW activities definition should include any of the following
activities: (1) Boring a pipe under a track; (2) paving a highway-rail
grade crossing; (3) placing detour or other signs in conjunction with
grade crossing work; (4) operating cranes for the loading and unloading
of MOW equipment, regardless of whether or not that equipment is being
loaded onto or within the foul of a track; (5) clearing and repairing a
railroad track following an accident or incident; and (6) operating a
bridge if the employee is not covered under the HOS laws.
FRA notes that the proposed definition of MOW activities in part
219 is narrower than the definition of roadway worker duties in Sec.
214.7 of
[[Page 43835]]
FRA's railroad workplace safety rule (part 214). Consequently, a
roadway worker as defined in part 214 may perform duties that would not
be considered MOW activities as defined in part 219. For example, an
employee who performs passenger station maintenance is performing
roadway worker duties under part 214 (since a passenger station is
considered a ``roadway facility'' under Sec. 214.7) but would not be
performing MOW activities under part 219, so that performance of these
duties would make the employee subject to part 214 but not to part 219.
If FRA incorporates its proposed definition of MOW activities into part
219, railroads would be required to distinguish between roadway workers
as defined in part 214 and MOW employees as defined in part 219, and to
realize that individuals may require roadway worker protection even if
they are not performing MOW activities. The proposed MOW activities
definition differs from the definition of roadway worker duties because
it focuses exclusively on the nature of the activities being performed,
and does not consider an employee's proximity to the track. Unlike
under the roadway worker duties definition, MOW activities do not need
to be performed either ``on or near track or with the potential of
fouling a track.'' FRA is requesting public comment on how to make
clear the differences between its proposed MOW employee and MOW
activity definitions in part 219 and the roadway worker definition in
Sec. 214.7. FRA is also asking for input on the scope of its proposed
definitions, and the safety concerns that involve individuals
performing MOW activities.
C. ``Regulated Employees'' and ``Regulated Service''
To implement the expansion of part 219 to cover MOW employees, FRA
is proposing to add two new definitions to Sec. 219.5: ``Regulated
employee,'' which would refer to an any employee who is subject to part
219 (whether a covered or MOW employee) and a corresponding term,
``regulated service,'' which would refer to all activities subject to
part 219 (again, both covered service and MOW activities). Together,
these two proposed terms-of-art would encompass all individuals and
duties subject to part 219, and would substitute for the awkward terms
``covered employees and maintenance-of-way employees'' or ``covered
service and MOW activities.'' FRA believes these proposed definitions
would make its RSIA-mandated addition of MOW employees easier to
understand and implement, but is requesting public comment on whether
its proposed definitions would be clearly understood to refer to both
covered service and MOW employees and duties.
D. Alternatives Considered for Part 219 Expansion
Before proposing to expand the scope of this rule to cover MOW
activities as defined above, FRA considered two alternative approaches
for meeting the statutory mandate of Section 412. Although FRA is not
proposing to adopt either alternative, FRA is requesting input on each
approach's feasibility in comparison to the approach proposed in this
NPRM. FRA is also requesting public comment on whether there are other
approaches it should consider.
1. Alternative No. 1: Adopt the ``roadway worker'' definition in Sec.
214.7.
FRA initially considered adopting Sec. 214.7's definition of
``roadway worker,'' since it is an established definition with which
the railroad industry is familiar. As defined by Sec. 214.7, ``roadway
worker'' includes any employee of a railroad (or a contactor to a
railroad) who inspects, constructs, maintains, or repairs railroad
track, bridges, roadway, signal and communication systems, electric
traction systems, roadway facilities or roadway maintenance machinery
``on or near track or with the potential of fouling a track.'' This
definition of roadway worker also includes flagmen and watchmen/
lookouts.
Although FRA initially assumed that the roadway worker population
is generally the same as that of employees who perform MOW activities,
FRA ultimately concluded that this is not so since Sec. 214.7 defines
railroad employees (including employees of contractors to a railroad)
as roadway workers if they perform any of the section's listed duties
``on or near the track or with the potential to foul the track.'' This
particular language applies to individuals performing duties that would
not be considered MOW activities, such as maintenance of roadway
facilities that could involve fouling the track. Individuals performing
such duties may qualify as roadway workers, but they are not generally
considered to be MOW employees if their activities do not involve work
on track or roadbed.
Furthermore, as used in part 214, a roadway worker is defined as
any employee who performs one or more of the duties listed that has the
potential of fouling a track, and this definition determines which
employees must be provided roadway worker training and on-track
protection in certain situations. In part 214, this broad language is
not problematic because it is relatively easy for a railroad to provide
employees with roadway worker training and on-track protection on short
notice. However, FRA believes that adopting part 214's roadway worker
definition would make it difficult for railroads and contractors to
comply with the expanded scope of part 219, since part 219 elements
often require advance planning before implementation For example, to
establish an effective random testing program that meets FRA's minimum
random testing rates, a railroad would first have to identify all
employees and contractors who may ever perform duties qualifying them
as roadway workers.
Therefore, while FRA considered adopting the Sec. 214.7 roadway
worker definition, FRA concluded that this definition was too broad for
part 219 purposes. Nonetheless, FRA is requesting public comment on
this alternative.
2. Alternative No. 2: Include all employees who perform FRA safety-
sensitive functions under Sec. Sec. 219.301 and 209.303.
As a second alternative approach, FRA considered implementing NTSB
recommendation R-08-07 in its entirety by expanding part 219 to cover
all employees who perform FRA safety-sensitive functions under
Sec. Sec. 209.301 and 209.303. For the reasons discussed below, FRA
has determined that it is currently unnecessary to expand the scope of
part 219 to such an extent.
As discussed above, FRA believes that in addition to the covered
employees already subject to part 219, MOW employees occupy the most
at-risk safety-sensitive positions in the railroad industry. Their
duties regularly require them to work on or alongside track and
roadbed, putting them at risk for being struck by a train or other on-
track or fouling equipment. MOW employees also greatly impact safety
because their activities can directly interfere with the movement of
trains or other on-track equipment. Furthermore, as discussed above,
the NTSB based recommendation R-08-07 upon its findings that illegal
drug use by MOW employees may have played a role in a 2007 fatal MBTA
accident, and that test data from FRA's PAT testing program showed an
alcohol and drug use problem in the MOW employee population. See Woburn
Report at 19-20.
In contrast, as discussed earlier, individuals who perform the
other FRA safety-sensitive functions listed in Sec. 209.303 (e.g.,
individuals who inspect, repair, or maintain locomotives,
[[Page 43836]]
passenger cars, and freight cars) do not pose or have similar safety
risks because these functions, unlike MOW activities, are typically
performed in designated shop areas or on track designated as repair
track and, as such, individuals performing these functions are not
subject to the same risks as individuals working on or around railroad
track over which normal railroad operations are taking place.
Furthermore, employees who perform Sec. 209.303 safety-sensitive
functions but are neither covered employees nor MOW employees have a
lower PAT testing positive rate than those who perform MOW activities.
From January 1997 to August 2010, FRA conducted PAT tests on 14 fatally
injured employees who were neither covered employees nor MOW workers.
Only one of these fatalities tested positive, resulting in a PAT
testing positive rate of 7.14% for fatalities who were neither covered
employees nor MOW workers, which is comparable to the 6.56% PAT testing
positive rate for covered employees cited by the NTSB in its report on
the MBTA accident. See Woburn Report at 20. In comparison, the NTSB's
examination of the PAT testing results from MOW fatalities found a
positive rate of 19.23%, about three times as high as that for covered
employees. Id.
FRA is therefore not proposing at this time to apply part 219 to
those Sec. 209.303 safety-sensitive employees who are neither covered
employees nor MOW employees. Accordingly, as proposed, the expanded
scope of part 219 would not cover all Sec. 209.303 safety-sensitive
employees, as recommended by the NTSB. FRA believes this more limited
scope is not only data-driven but appropriate given the need to
minimize the burden and costs of implementing the mandate of Section
412. However, as with the first alternative approach discussed above,
FRA is requesting public comment on this alternative.
E. MOW Employees and the Small Railroad Exception
Since the inception of its alcohol and drug program in 1985, FRA
has used the number of covered employees a railroad has (including
covered service contractors and volunteers) as one factor in
determining the railroad's risk of alcohol and drug-related accidents.
See 50 FR 31529, Aug. 2, 1985. For example, FRA believes that generally
small railroads, defined as those railroads that have 15 or fewer
covered employees and no joint operations with other railroads, pose a
lower risk of alcohol and drug-related accidents than larger railroads.
Existing part 219 therefore requires larger railroads (defined as those
railroads that either have 16 or more covered employees or are engaged
in joint operations) to implement all of part 219, while small
railroads have to implement only certain subparts of part 219.
Currently under Sec. 219.3, small railroads do not have to comply with
subpart D (reasonable suspicion and reasonable cause testing), subpart
E (identification of troubled employees), subpart F (pre-employment
testing) and subpart G (random alcohol and drug testing).\9\ The
purpose of this small railroad exception is to limit part 219's
regulatory burden on small railroads without adversely affecting
safety.
---------------------------------------------------------------------------
\9\ As discussed later in this preamble, FRA is proposing to
modify the small railroad exception of Sec. 219.3 so that small
railroads would no longer be exempt from the reasonable suspicion
and pre-employment testing requirements of part 219.
---------------------------------------------------------------------------
FRA's use of a railroad's number of covered employees and
participation in joint operations as measures of the railroad's risk of
alcohol and drug-related accidents is a well-established approach with
which the railroad industry is familiar. FRA is therefore proposing to
continue counting only a railroad's covered employees for purposes of
determining whether the railroad qualifies for the small railroad
exception, particularly since FRA has found no safety rationale for
doing otherwise. This would minimize implementation burdens by
continuing to except a small railroad from full part 219 coverage
provided that the railroad continues to meet Sec. 219.3 criteria.
With respect to a contractor who performs MOW activities for a
railroad, FRA proposes to amend Sec. 219.3 to apply part 219 to a MOW
contractor to the same extent as it applies to the railroad for which
the MOW contractor performs regulated service. As proposed, a
contractor's level of part 219 compliance would be determined by the
size of the railroad for which it is performing regulated service,
regardless of the size of the contractor itself. To achieve this, FRA
is proposing to add new language to the small railroad exception.
Pursuant to this new language, if a contractor performs MOW activities
exclusively for small railroads that are excepted from full compliance
with part 219, the contractor would also be excepted from full
compliance. For example, a MOW contractor with five employees who
perform regulated service for a large railroad would have to implement
a full part 219 program if the railroad for which it performs regulated
service is required to do so, while a MOW contractor with 20 employees
would not have to implement a full part 219 program if it performs
regulated service for a small railroad that is excepted from full
compliance with part 219.
FRA recognizes that a MOW contractor may perform regulated service
for multiple railroads, not all of which may be required to comply
fully with part 219. To simplify application, FRA is proposing to add
new language to the small railroad exception requiring a MOW contractor
who performs regulated service for multiple railroads to implement a
full part 219 program if the contractor performs regulated service for
at least one large railroad fully subject to part 219. Under this
proposal, if a MOW contractor performs regulated service for at least
one large railroad, it would have to incorporate all of its regulated
employees into a full part 219 program, even if only some of these
employees perform regulated service for a large railroad, and
regardless of whether or not a particular employee was currently
performing regulated service for a large or a small railroad. This
approach would allow a MOW contractor the flexibility to allocate its
employees effectively and efficiently by allowing it to use any of its
employees to perform regulated service for a large railroad on any
given day.
Although FRA considered amending the small railroad exception to
allow a railroad to qualify for the small railroad exception if it did
not have joint operations and the combined number of its covered
employees and MOW workers was 15 or fewer, FRA ultimately decided that
this approach would create several difficulties. For example, a
railroad with 15 covered employees and five MOW employees that
currently qualifies as a small railroad would become fully subject to
part 219 if FRA counted the five MOW employees towards the 15 or fewer
cutoff. FRA believes it would be unfair for a railroad's status to
change simply because MOW employees were added to the count, without
any actual change to the railroad's operations or the risks they would
pose.
Counting MOW contractors for purposes of the small railroad
exception would present even more difficult issues. While Sec. 219.3
currently counts contractor employees who perform covered service for a
railroad for purposes of the small railroad exception, this approach
has not been problematic because railroads generally hire covered
service contractors, such as locomotive engineers, conductors, or train
dispatchers, on a long-term basis. Similarly, the demand for signal
service contractors is also stable, so it is fairly easy for a railroad
to count its number
[[Page 43837]]
of covered service employees and contractors at any given time.
In contrast, MOW work is variable, and MOW contractors frequently
move from railroad to railroad. It is not unusual for a MOW contractor
to perform work for a railroad only on a one-time basis. Including MOW
contractors for purposes of the small railroad exception count could
therefore create a situation where a railroad's status would vary from
week to week. For instance, a railroad that loses its small railroad
status after hiring MOW contractors to perform non-routine track
maintenance could revert to small railroad status once its short-term
contract with the MOW contractors expired. If a railroad no longer
qualifies for small railroad status, it is no longer excepted from the
requirement to implement a random testing program. Adoption of criteria
that could result in short-term fluctuations in a railroad's status and
requirements would be impracticable because implementation of a random
testing program is generally a long-term commitment that involves
contracting with collectors and other service providers.
FRA also does not want to encourage the hiring of MOW contractors
in lieu of MOW employees. Accordingly, for purposes of determining
whether a railroad qualifies for the small railroad exception, since
FRA is proposing to exclude contractor employees who perform MOW
activities, FRA similarly proposes to exclude railroad employees who
perform MOW activities. Furthermore, counting a railroad's MOW
employees but not its MOW contractors would inaccurately reflect the
safety risk presented by the railroad's total MOW worker population.
FRA is proposing to maintain its current criteria for the small
railroad exception, but is specifically requesting comment on the
following questions:
Should FRA amend the small railroad exception to consider
MOW employees? If so, should FRA amend its current threshold of 15
employees to account for the increased population of individuals
performing MOW activities and covered service?
Do railroads that currently meet the small railroad
exception of Sec. 219.3 currently perform reasonable cause or random
drug and alcohol testing under their own authority? If so, how does
this small railroad company testing authority differ from the
reasonable cause or random drug and alcohol testing conducted by larger
railroads that fully complies with part 219? Should railroads that meet
the existing small railroad exception also be required to fully comply
with part 219?
In light of the changes in the railroad operating
environment since the inception of the small railroad exception, are
there other approaches to the small railroad exception that FRA should
consider? For example, given the criticality of ensuring the safety of
all rail passenger operations (whether the operations are large or
small), should the small railroad exception be modified, more narrowly
tailored, or removed altogether for passenger operations? Similarly,
given the increase in the volume and frequency of the rail
transportation of DOT-regulated hazardous materials in recent years
(e.g., flammable liquids), should the small railroad exception be
modified, more narrowly tailored, or removed altogether if a railroad
transports hazardous materials? For example, should the small railroad
exception be limited to railroads that do not transport hazardous
materials or that transport only certain low hazard hazardous
materials? Should the exception be limited to railroads that do not
transport hazardous materials above a certain threshold quantity? FRA
is requesting information on the operations of small railroads as
defined under Sec. 219.3: How many of these small railroads transport
passengers and how many currently transport hazardous materials? For
those small railroads that transport hazardous materials, what types of
hazardous materials do they transport?
Although in this NPRM, FRA is not proposing to modify its criteria
for determining when a railroad meets the small railroad exception, FRA
may do so in the final rule after consideration of any comments
received in response to the above questions.
F. Railroad and Contractor Responsibility for Compliance
FRA is proposing to hold both the railroad and the contractor
responsible for ensuring that contractor employees performing regulated
service for a railroad (contractor regulated employees) are in
compliance with part 219. Since Sec. 219.9 currently provides that
every person--including railroad agents and contractors--who violates
or causes a violation of a part 219 requirement may be subject to a
civil penalty, both railroads and contractors performing covered
service for railroads are already responsible for part 219 compliance.
FRA is stressing this provision because the expansion of part 219 to
cover MOW employees would also subject a large population of MOW
contractors to its requirements.
While the RSIA-mandated expansion of part 219 to cover MOW
employees may create complications for a railroad with a large number
of MOW contractors, particularly if those contractors perform MOW
activities for the railroad only on a periodic or temporary basis,
there are several methods that a railroad and a regulated service
contractor could use to ensure compliance with part 219. If a regulated
service contractor is required to establish a random testing program
because it provides regulated service for a railroad that is fully
subject to part 219, the contractor could do any of the following:
Establish its own part 219 program and provide the
railroad with documentation of its compliance with part 219. The
railroad should maintain this documentation for FRA audit purposes. If
the contractor's documentation or program contains a deficiency or
violation that the railroad could not have reasonably detected, FRA
could use its enforcement discretion to take action solely against the
contractor. As discussed earlier in the preamble, the extent of a
regulated service contractor's responsibilities would be determined by
the size of the railroad(s) with which it contracts.
Contract with a consortium to administer its part 219
program. The consortium could either place the contractor's regulated
employees in a stand-alone random testing pool or in a random testing
pool with the regulated employees of other regulated service
contractors. The contractor could then submit documentation of its
membership in the consortium and its compliance with part 219 to the
contracting railroad. As with the method described above, if the
contractor's documentation or program contains a deficiency or
violation that the railroad could not have reasonably detected, FRA
could use its enforcement discretion to take action only against the
contractor. Upon request, FRA would assist a railroad in reviewing the
part 219 documentation of its regulated service contractors.
Have a railroad incorporate contractor employees who
perform regulated service for it into the railroad's own part 219
program.
To minimize the burden of these proposed requirements and to
promote compliance with part 219, FRA has developed model ``fill-in-
the-blank'' alcohol and drug policies (including testing plans) that
can serve as templates for both railroads and contractors. These plans
are currently available at FRA's Web site: http://www.fra.dot.gov/Page/P0345. FRA
[[Page 43838]]
developed one set of plans for entities that are subject to all of part
219 and another for entities that qualify for the small railroad
exception.
FRA expects it to be common practice for a railroad to incorporate
into its own part 219 program all of the contractor employees who
perform regulated service for it, even if one or more of the
contractors has its own part 219 program. A railroad that does so would
ensure that all of its contractor regulated employees are in compliance
with part 219 requirements, particularly the random testing
requirements of subpart G. A railroad that chooses this approach would
incorporate all contractor regulated employees into the railroad's own
random testing program.
One additional option would be for a railroad to accept a
contractor's plan for random testing, regardless of whether that plan
was managed by the contractor or by a consortium/third party
administrator (C/TPA). Although not specifically proposed in the rule
text, FRA is soliciting feedback on the following approach that could
create a framework for a railroad wishing to accept a contractor's
random testing plan. Under this approach, if a railroad accepted a
contractor's random testing plan, the contractor could be required to
comply with the following requirements:
To certify in writing to the railroad that all of the
contractor's regulated employees are subject to alcohol and drug
testing as required by part 219 (including, as applicable, the
requirements that all regulated employees be subject to selection for
random testing as required by subpart G, have a DOT pre-employment drug
test resulting in a negative result under subpart F, and be subject to
a previous employer background check as required by Sec. 40.25); and
To report, in an FRA model format, summary part 219
testing data to the railroad at least every six months.
FRA is soliciting public comment on whether the last alternative
described above would make it easier for a railroad to ensure that its
regulated contractor employees were complying with the requirements of
part 219, without having to incorporate the contractor's regulated
employees into its own part 219 program. If not, how could this
approach be improved? What costs, if any, would it impose? Would
contractors performing regulated service for railroads be willing to
comply with the proposed requirements for written certification and
reporting of summary testing data? Are there other approaches that both
railroads and contractors could use to ensure that all contractor
employees performing regulated service for a railroad are in compliance
with part 219?
G. MOW Employee Random Testing Rate and Minimum Random Testing Pool
Size
As mentioned above, FRA is proposing to require random alcohol and
drug testing for MOW employees (unless they perform regulated service
solely for a railroad qualifying for the small railroad exception of
Sec. 219.3). As with covered employees, FRA would set the minimum
random rates for MOW employees according to the overall reported random
testing violation rate for MOW employees in the railroad industry. See
Sec. Sec. 219.602 and 219.608. Because MOW employees have never been
subject to FRA random testing before, FRA only has data from its PAT
testing of MOW fatalities (described above) on the prevalence of
prohibited alcohol and drug use in the MOW employee population. FRA is
therefore proposing to set the initial minimum annual percentage rates
for MOW employees at 50% for drug testing and 25% for alcohol testing
Although the initial minimum random rates for MOW employees would be
higher than those currently set for covered employees,\10\ FRA set the
same initial minimum random rates for covered employees. (FRA required
random drug and alcohol testing for covered employees in 1988 and 1995,
respectively. See 53 FR 47123, Nov. 21, 1988 and 59 FR 7448, Feb. 15,
1994).
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\10\ In 2014 the random testing rates for covered employees are
25% for drug testing and 10% for alcohol testing. (See 78 FR 78275,
Dec. 26, 2013).
---------------------------------------------------------------------------
Railroads would initially be required to establish and maintain
separate random testing selection pools for MOW employees. Maintaining
distinct random testing pools for covered and MOW employees would make
it easier for railroads to comply with the different minimum testing
rates set for each employee population. Requiring separate random
testing pools would also make it easier for railroads that are required
to file an annual Management Information System (MIS) report under
Sec. 219.800 to report separate random testing results for covered and
MOW employees. FRA would in turn use the data from these separate pools
to set the future minimum random rates for covered and MOW employees.
Under existing Sec. 219.3, a railroad with 15 or fewer covered
employees must conduct random testing if it has joint operations with
another railroad, even though the railroad's small size may diminish
the deterrence effect of the testing. The purpose of random testing is
to make every regulated employee expect that he or she could be subject
to a random alcohol or drug test any time he or she is on-duty and
subject to performing covered service. FRA is concerned that the random
testing conducted by very small railroads and contractors may have an
insufficient deterrence effect. For example, a railroad with two
covered employees and joint operations need only conduct one random
alcohol test to meet the 10% minimum alcohol testing rate; afterwards,
the railroad's random alcohol testing program would cease to have any
deterrent effect because its covered employees would know that the
alcohol testing required for the year had already been completed. A
contractor who is required to conduct random testing because it
performs regulated service for large railroads would have a similar
problem if it has only a very small number of regulated employees.
As will be further discussed below in the section-by-section
analysis for Sec. Sec. 219.611(c) and 219.613(d), FRA is proposing the
following regulatory change in response to this concern. Any individual
random testing pool required under subpart G (whether maintained by a
railroad, contractor to a railroad, or a consortium) must contain at
least four entries and at least one entry per quarter must be selected
and tested, even if doing so would require testing above FRA's minimum
annual random testing rates. This new requirement would not excuse a
railroad from complying with the minimum random testing percentage
rates. (For example, a pool comprised of 16 MOW employees--who would be
subject to random drug testing at a rate of 50%--would still be
required to conduct at least eight random tests per year.) This
requirement would apply both to railroads and contractors required to
perform random testing.
H. MOW Employee Pre-employment Drug Testing
FRA is proposing to grandfather all current MOW employees from the
pre-employment drug testing requirements of subpart F.\11\ Under FRA's
proposal, only MOW employees hired by a railroad or contractor after
the effective date of the final rule would be required to have a
negative DOT pre-employment drug test result before performing
[[Page 43839]]
regulated service for the first time. As with the minimum random
testing rates discussed above, FRA's approach to implementing pre-
employment drug testing for MOW employees would be similar to its
implementation of pre-employment drug testing for covered employees in
1986, when FRA grandfathered employees who had performed covered
service for a railroad prior to the effective date of the final rule.
See 50 FR 31508, Aug. 2, 1985. Although current MOW employees would not
be subject to a pre-employment drug test, FRA believes its proposal to
initiate random drug testing of MOW employees at a base rate of 50%
would provide sufficient deterrence for this group.
---------------------------------------------------------------------------
\11\ While railroads are currently authorized to conduct pre-
employment alcohol testing for covered employees (so long as they
treat all covered employees the same), such testing is not required
under subpart F. See Sec. 219.502. FRA is not proposing to change
this approach and require pre-employment alcohol testing for
regulated employees.
---------------------------------------------------------------------------
FRA understands that railroads may have already given some MOW
employees a Federal pre-employment drug test (resulting in a negative)
under the alcohol and drug testing regulations of another DOT agency.
The most common area of interagency overlap is among MOW employees who
are required by their employers to hold Commercial Driver's Licenses
(CDL), since these employees are subject to the regulations of both FRA
and the FMCSA. To hold a CDL, an individual must have a negative FMCSA
pre-employment drug test. See Sec. 382.301. To ease the compliance
burden for these employees and their employers, FRA would allow a
negative pre-employment test conducted by an employing railroad under
the rules and regulations of another DOT agency to satisfy the
requirements of subpart F for employees transferring into regulated
service for the first time. FRA has historically interpreted its pre-
employment drug testing requirements this way, and this proposed
amendment would incorporate this interpretation into the regulatory
text. See Federal Railroad Administration, Alcohol and Drug Testing
Regulations (Parts 219 and 40) Interpretive Guidance Manual
(``Interpretive Guidance Manual'') 32 (September 2006), available at
http://www.fra.dot.gov/eLib/Details/L02799.
IV. Signal Contractors
Railroads and contractors should note that the RSIA made signal
contractors subject to part 219. Effective July 16, 2009, section
108(a) of the RSIA amended the HOS laws by eliminating the words
``employed by a railroad carrier'' from the definition of ``signal
employee''. See 49 U.S.C. 21101(4). As a result, contractor employees
who install, repair, or maintain signal systems for a railroad are now
considered covered employees under part 219, and signal contractors are
responsible for compliance with part 219 to the same extent as any
other covered service contractors. This statutory change does not
necessitate any amendments to part 219. Nevertheless, FRA is mentioning
this change to ensure that it is understood by the railroad industry.
V. Other Proposed Substantive Amendments
This section contains a brief overview of the proposed amendments
in this NPRM other than those discussed above. These proposed
amendments will be discussed in greater detail in the section-by-
section analysis below.
A. Small Railroads Would No Longer Be Excepted From the Requirements
for Reasonable Suspicion Testing and Pre-Employment Drug Testing
Currently, the small railroad exception in Sec. 219.3(b)(2)
provides, in part, that a railroad with 15 or fewer covered employees
that does not engage in joint operations with another railroad is not
subject to the requirements for reasonable suspicion or reasonable
cause testing (subpart D), identification of troubled employees
(subpart E), pre-employment drug testing (subpart F), or random testing
(subpart G).
FRA is proposing to modify the small railroad exception so that
small railroads are no longer excepted from the reasonable suspicion
testing requirements of subpart D. Subpart D requires railroads to
conduct Federal reasonable suspicion testing on a covered employee when
one or more supervisors reasonably suspects that the employee has
violated an FRA prohibition against the use of alcohol or drugs. See
Sec. 219.300(a). Small railroads would continue to be excepted,
however, from the requirements for reasonable cause testing.\12\
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\12\ As discussed in Section VI below, FRA is proposing to
separate the requirements for reasonable suspicion and reasonable
cause testing by leaving the reasonable suspicion requirements in
their current location in subpart D and moving the reasonable cause
testing requirements to a new subpart E.
---------------------------------------------------------------------------
FRA is also proposing to amend the small railroad exception so that
small railroads are no longer excepted from subpart F, which requires a
railroad to conduct a pre-employment drug test (resulting in a
negative) on an individual before permitting him or her to perform
regulated service for the first time. See Sec. 219.501(a). This
proposed amendment would apply only to regulated employees hired by a
small railroad after the effective date of a final rule (i.e., a
negative pre-employment drug test would not be required for regulated
employees hired by a small railroad before the effective date of any
final rule issued in this proceeding).
B. For Purposes of the Small Railroad Exception, a new Definition of
``Joint Operations'' Would Be Incorporated
The small railroad exception is currently available to railroads
that have 15 or fewer covered employees and do not operate on another
railroad's tracks in the United States or otherwise engage in joint
operations with another railroad in the United States, except as
necessary for purposes of interchange. See Sec. 219.3(b)(2)(ii). While
the small railroad exception uses the phrase ``joint operations,'' this
term has never been defined in part 219. As a result, the meaning of
``joint operations'' has been open to different interpretations. In
order to support uniform application of the small railroad exception,
FRA is proposing to add a definition of ``joint operations'' to part
219.
C. The Post-Accident Toxicological (PAT) Testing Damage Threshold for
Major Train Accidents Would Be Increased
Part 219 currently requires railroads to conduct PAT testing for
major train accidents,\13\ defined in part as train accidents that
involve damage to railroad property of $1,000,000 or more. See Sec.
219.201(a)(1)(iii). (A train accident also qualifies as a major train
accident if it meets the current reporting threshold and involves
either a fatality or a hazardous materials release accompanied by an
evacuation or a reportable injury resulting from the hazardous material
release. See Sec. 219.201(a)(1)(i)-(ii).) FRA is proposing to increase
the railroad property damage threshold for major train accidents to
$1,500,000 to account for inflation. Since major train accidents
require all involved crew members to be PAT tested, this proposed
change would reduce the burden on railroads (e.g., employee opportunity
and wage costs) by reducing the number of employees subject to PAT
testing.
---------------------------------------------------------------------------
\13\ PAT testing is also required for events that meet FRA's
criteria for impact accidents, fatal train incidents, or passenger
train accidents. See Sec. 219.201(a)(2)-(4).
---------------------------------------------------------------------------
D. Derailment and Raking Collisions Would No Longer Be Excluded From
the Definition of Impact Accidents
Part 219 also requires railroads to conduct PAT testing for impact
accidents. Section 219.5 currently excludes from the definition of
``impact accident'' derailment accidents, where a derailment of
equipment causes an impact with other rail equipment, and
[[Page 43840]]
raking collisions (i.e., collisions caused by derailment of rolling
stock or operation of equipment in violation of clearance limitations).
FRA is proposing to remove these existing exclusions, and require PAT
testing after both derailment and raking collisions.
E. PAT Testing Would Be Required for Railroad Highway-Rail Grade
Crossing Accidents/Incidents Involving Human-Factor Errors
Currently, Sec. 219.201(b) excepts from PAT testing any event
involving a ``collision between railroad rolling stock and a motor
vehicle or other highway conveyance at a rail/highway grade crossing.''
FRA is proposing to narrow this exception to require PAT testing after
any highway-rail grade crossing accident/incident in which human-factor
errors may have played a role.
F. The Provisions Governing When Regulated Employees Could Be Recalled
for PAT Testing Would Be Amended
Currently, a railroad may recall a covered employee for PAT testing
only if three conditions are met: (1) the employee was released from
duty under the normal procedures of the railroad; (2) the railroad's
preliminary investigation indicates a clear probability that the
employee played a major role in the cause or severity of the accident/
incident; and (3) the accident/incident occurred while the employee was
on duty. See Sec. 219.203(b)(4). To improve its investigation of
human-factor related accidents, FRA is proposing, not only to lower its
threshold for employee recall by removing the requirement for the
accident/incident to have occurred while a regulated employee was on
duty, but also to require employee recall in certain circumstances.
G. Federal Reasonable Cause Testing Would Be Authorized Only for
Reportable ``Train Accidents'' and ``Train Incidents''
FRA believes the use of ``accident/incident'' in the introductory
text of existing Sec. 219.301(b)(2) has led to confusion regarding
whether reasonable cause testing is permitted following all part 225
reportable accidents/incidents, which would include reportable events
such as occupational illnesses and railroad casualties unconnected to
the operation of on-track equipment. Because FRA never intended to
authorize reasonable cause testing following occupational illness cases
(e.g., carpal tunnel syndrome) and casualties unconnected to the
movement of on-track equipment (e.g., slips-trips-and-falls resulting
from safety concerns under the jurisdiction of the Occupational Safety
and Health Administration (OSHA)), FRA is proposing to revise this
existing language to specify that FRA reasonable cause testing is only
authorized after ``train accidents'' (defined to include rail equipment
accidents meeting the part 225 reporting threshold) and ``train
incidents'' (defined to include events involving the operation of
railroad on-track or fouling equipment resulting in a casualty, but in
which the part 225 reporting threshold is not met). For the reasons
discussed in VI.A below, FRA is proposing to include this revised
language at Sec. 219.403(b).
H. Federal Reasonable Cause Testing Would Be Authorized for Additional
Operating Rule Violations or Other Errors
As mentioned above, FRA reasonable cause testing is also authorized
after certain railroad operating rule violations and other errors
specified in Sec. 219.301(b)(3). Currently, these rule violations and
errors listed are primarily directed at covered employees. FRA is
proposing to add rule violations and errors that would specifically
address employees performing MOW activities, and to add others directed
at signal workers performing covered service or reflect recent
amendments to 49 CFR part 218, Railroad Operating Practices.
I. Part 219 Would Be Amended To Conform Certain Provisions to the Final
Conductor Certification Rule
On November 9, 2011, FRA published a final rule requiring the
certification of conductors (49 CFR part 242), which was also mandated
by the RSIA. (76 FR 69802, Nov. 9, 2011). This final rule became
effective January 1, 2012. Id. FRA is therefore proposing to amend part
219 so that those sections that apply to the certification of
locomotive engineers would also clearly apply to the certification of
conductors. The proposed definition for a Drug and Alcohol Counselor
(DAC) is one of these conforming amendments.
VI. Primary Clarifying Amendments
FRA is proposing several amendments that would both improve the
organization of part 219 and make it easier to find pertinent
requirements and information. Although these proposed amendments are
discussed in the section-by-section analysis below, for the reader's
convenience, a brief description of the major organizational amendments
is included here.
A. Reasonable Suspicion and Reasonable Cause Testing Would Be Separated
Into Different Subparts, Resulting in the Re-Designation of Other
Subparts
Currently, the requirements for reasonable suspicion testing and
reasonable cause testing are both found in subpart D. Because of their
similar names and the placement of both types of tests in subpart D,
railroads often confuse one type of testing with the other, even though
reasonable suspicion and reasonable cause testing have very different
requirements. To clarify the substantive differences between the two,
FRA is proposing to retain the requirements for reasonable suspicion
testing in subpart D but move the requirements for reasonable cause
testing to subpart E, which currently covers voluntary referral and co-
worker report policies. The proposed separation of reasonable suspicion
and reasonable cause testing into different subparts is intended to
help railroads distinguish between these two types of testing. This
differentiation should be particularly helpful for small railroads,
since FRA is proposing to require that those railroads implement
reasonable suspicion, but not reasonable cause testing. To accommodate
the movement of reasonable cause testing into subpart E, FRA is
proposing to move (and amend as discussed below) the sections
addressing the ``Identification of Troubled Employees'' currently found
in that subpart to new subpart K, ``Peer Prevention Programs.''
B. Random Alcohol and Drug Testing Requirements Would Be Reorganized
and Clarified
FRA is proposing to revise and expand subpart G, which contains
FRA's requirements for random alcohol and drug testing, to clarify
these requirements and to incorporate published FRA guidance. See
generally FRA, Part 219 Alcohol/Drug Program Compliance Manual, 2nd
edition (2002) available at http://www.fra.dot.gov/eLib/details/L01186
(Compliance Manual). In addition, FRA is proposing several substantive
amendments which will be discussed below in the section-by-section
analysis.
C. Substituting ``Drug and Alcohol'' for ``Alcohol and Drug''
FRA has previously used both ``Drug and Alcohol'' and ``Alcohol and
Drug'' as terms to describe its part 219 program and many of its
components. For consistency, FRA is proposing to use only the term
``Drug and Alcohol'' throughout part 219 and to substitute
[[Page 43841]]
``Drug and Alcohol'' wherever the term ``Alcohol and Drug'' is
currently used.
VII. Section-by-Section Analysis
As discussed earlier, FRA is proposing to add definitions for
``regulated employee'' and ``regulated service'' which would serve as
terms-of-art encompassing all individuals and duties subject to part
219, including both covered service and MOW activities. Throughout most
of part 219, FRA would replace the terms ``covered employee'' and
``covered service'' with ``regulated employee'' and ``regulated
service.'' The terms ``covered employee'' and ``covered service,''
however, would still be used where necessary, such as in proposed Sec.
219.12, which addresses issues of overlap between part 219 and the HOS
laws that apply only to covered employees.
Throughout this NPRM, FRA is also proposing small changes to
conform the regulatory language, where necessary, to the proposed
substantive and reorganization amendments. To streamline this NPRM, FRA
is not discussing most of these minimal clarifying amendments, none of
which are intended to affect the regulation's substantive requirements.
Authority Citation
The authority citation for part 219 would be amended to add a
reference to Section 412, which mandated the expansion of part 219 to
cover all employees of railroads and contractors or subcontractors to
railroads who perform MOW activities.
Subpart A--General
Section 219.1--Purpose and Scope
Currently, this section states that the purpose of part 219 is to
``prevent accidents and casualties in railroad operations that result
from impairment of employees by alcohol or drugs.'' FRA is proposing to
amend this section to include a reference to the proposed definition of
``employee'' in Sec. 219.5, which, as used in part 219, would include
any individual (including a volunteer or a probationary employee) who
performs regulated activities for a railroad or a contractor to a
railroad. FRA is not proposing to include a similar reference every
time ``employee'' is used, but believes it is appropriate to do so the
first time it appears in part 219.
Section 219.3--Application
FRA is proposing the following structural and substantive
amendments to this section.
Paragraph (a)
FRA proposes to amend paragraph (a) to apply part 219 to all
railroads, except as provided in proposed paragraphs (a)(1)-(3) and
paragraphs (b), (c), and (d) of the section.
The first exception, contained in proposed paragraph (a)(1),
addresses operations that occur within the confines of industrial
installations commonly referred to as ``plant railroads.'' Plant
railroads are typified by operations such as those in steel mills that
do not go beyond the plant's boundaries and that do not involve the
switching of rail cars for entities other than themselves. This
exception for plant railroads is currently found in paragraph (b)(1) of
this section, but FRA believes it belongs more appropriately with the
general applicability provisions of paragraph (a) (this will also
permit proposed paragraph (b) to be dedicated solely to reporting
requirements, as discussed below). FRA is also amending this language
to specify that there is a definition of ``plant railroads'' in Sec.
219.5.
Proposed paragraph (a)(2) addresses operations commonly described
as tourist, scenic, or excursion service to the extent that they occur
on tracks that are not part of the general railroad system. FRA has
decided to except tourist, scenic, historic, or excursion rail
operations that are not part of the general system, regardless of
whether they are insular or non-insular rail operations. FRA has
elected to exclude these typically small operations from the
requirements of part 219 because of the limited safety risk that these
operations pose to members of the public due to the fact that their
operations do not take place on the general system. This is new
language for this section, but reflects FRA's tradition of exercising
its jurisdiction in a way that excludes tourist, scenic, historic, or
excursion operations that are not part of the general railroad system
of transportation from certain portions of its regulations. See
Statement of Agency Policy Concerning Enforcement of the Federal
Railroad Safety Laws, The Extent and Exercise of FRA's Safety
Jurisdiction, 49 CFR part 209, Appendix A (FRA's Policy Statement or
the Policy Statement).
Proposed paragraph (a)(3) would except from part 219 rapid transit
operations in an urban area that are not connected to the general
system (although rapid transit type operations with links to the
general system would continue to be covered by part 219). This
exception is currently found in paragraph (a)(2), which excepts
railroads that ``provide commuter or other short-haul rail passenger
service in a metropolitan or suburban area (as described by 49 U.S.C.
20102) in the United States.'' The new language in proposed paragraph
(a)(3) would conform part 219's language to that used in the
applicability sections of other FRA regulations without changing the
scope of the exception.
Paragraph (b)
Paragraph (b) currently contains three different exceptions that
are unique to part 219 and are available to both foreign and domestic
railroads. To clarify these exceptions, and make them easier to find
FRA is proposing to separate them into individual paragraphs as
follows:
As discussed above, the ``plant railroad'' exception would
remain the same but would be moved from its current location in
paragraph (b)(1) to proposed paragraph (a)(1). This exception is a
general statement about FRA's jurisdiction and more properly belongs
with the general applicability provisions.
The exception in current paragraph (b)(2) for railroads
with 15 or fewer covered employees that do not engage in joint
operations with other railroads (the ``small railroad exception'')
would be moved to paragraph (c) and amended to remove the exceptions
related to reasonable suspicion testing and pre-employment testing.
The exception in current paragraph (b)(3) would remain in
paragraph (b), but the paragraph would be renamed ``Annual report
requirements.''
Paragraph (c)
As noted above, FRA is proposing to move the small railroad
exception in existing paragraph (b)(2) to proposed paragraph (c) and to
move the language currently in paragraph (c) relating to exceptions
that apply only to foreign railroads to a new paragraph (d). In
addition, because FRA is proposing to require that small railroads
perform both reasonable suspicion and pre-employment drug testing
(discussed below), paragraph (c)(1) would be amended to state that
small railroads are excepted only from subparts E (reasonable cause
testing), G (random testing), and K (peer support programs).
Small Railroads Would No Longer Be Excepted From Reasonable
Suspicion Testing
Section 219.11(g) currently requires all railroads to ensure that
supervisors who are responsible for covered employees are trained in
the signs and symptoms of alcohol and drug abuse.
[[Page 43842]]
(This provision also requires railroads to train covered employee
supervisors on FRA PAT testing criteria.) This requirement applies to
small railroads as well, even though they are currently excepted from
having to conduct reasonable suspicion testing in accordance with
current Sec. 219.3(b)(2). Because small railroads must already meet
the mandatory supervisory training requirements in Sec. 219.11(g), FRA
believes that removing the current exception and requiring small
railroads to conduct reasonable suspicion testing would promote safety
with fairly low additional costs.
The proposed expansion of part 219 to include MOW activities would
require supervisors of employees who perform MOW activities to also
comply with the training requirements in Sec. 219.11(g). As with
supervisors of covered employees, all railroads, regardless of size,
must ensure that supervisors of employees who perform MOW activities
have been trained on reasonable suspicion and post-accident testing
criteria.
Small Railroads Would No Longer Be Excepted From Pre-
employment Drug Testing
Current paragraph (b)(2) excepts small railroads from the
requirement to conduct pre-employment drug testing. FRA is proposing to
remove this exception, because many small railroads already pre-
employment drug test all applicants (not just those applying for
covered service) under their own company authority. This has resulted
in many small railroads mistakenly using DOT forms to conduct company
authority pre-employment drug tests. Requiring small railroads to use
only FRA authority for pre-employment drug tests of regulated employees
would address this problem, and would also eliminate the ability of
individuals to dodge FRA pre-employment drug tests by applying to small
railroads instead of larger ones. The removal of the current small
railroad exception to pre-employment drug testing would also make FRA's
pre-employment testing policy consistent with that of other DOT modes,
since no other DOT agency excepts small employers from conducting pre-
employment drug tests. This proposed amendment would only apply to
regulated employees who are hired by small railroads after the
effective date of any final rule.
Furthermore, FRA believes the reasons behind its initial decision
to except small railroads from pre-employment drug testing no longer
apply. In 1986, when FRA's pre-employment drug testing requirements
went into effect, small railroads could not benefit from economies of
scale because drug testing was new and collection and other test costs
were high. See 49 FR 24293, June 12, 1984. This is no longer true
today, as the workplace drug testing industry is well-established, and
collectors, laboratories, and other service agents are widely
available. Furthermore, drug use is now a significant issue in many
small communities where small railroads operate.
Other Proposed Amendments to the Small Railroad Exception
FRA is proposing to amend the introductory text of paragraph (c)(1)
to clarify that small railroads are not authorized to perform Federal
alcohol and drug testing under the subparts from which they are
excepted. In other words, in addition to not requiring small railroads
to conduct Federal reasonable cause or random testing, FRA is also not
authorizing small railroads to conduct such testing. The proposed
amendment would therefore clarify that small railroads are prohibited
from conducting reasonable cause or random testing under Federal
authority, and may only do so under their own authority. (FRA is also
proposing to amend this paragraph to incorporate the small railroad
criteria currently found in Sec. 219.3(b)(2), no substantive change is
intended.)
FRA proposes to amend the small railroad exception for proposed
subpart K (Peer Support Programs) differently. Because FRA wants to
limit the regulatory burden on small entities, FRA is not proposing to
require small railroads to implement peer support programs. However,
FRA does not want to prohibit small railroads from voluntarily
implementing peer support programs such as those contemplated by new
proposed subpart K. Accordingly, FRA proposes to authorize small
railroads to implement peer referral and support programs because these
programs encourage and facilitate the referral and rehabilitative
support of regulated employees who abuse alcohol or drugs. This
proposed exception from proposed subpart K would be the only exception
which would neither require, nor prohibit, small railroads from
implementing the requirements of part 219 under FRA authority.
As discussed in section III.F of this preamble, paragraph (c)(2)
would state that a regulated employee who performs only MOW activities
would not be counted when determining whether the railroad had 15 or
fewer covered employees as required to meet the small railroad
exception.
Also as discussed in section III.F of this preamble, paragraph
(c)(3) would state that a contractor must perform MOW activities
exclusively for small railroads in order to qualify for the small
railroad exception.
As previously discussed in section III.G of this preamble, under
proposed paragraph (c)(4), if a contractor is subject to all of part
219 (including subparts E, G, and K) because it performs regulated
service for at least one railroad that is not a small railroad, only
those railroads which must also comply with all of part 219 (in other
words, railroads that do not qualify for the small railroad exception)
would share responsibility for ensuring the contractor's full
compliance with part 219. If the contractor also performs regulated
service for small railroads, these small railroads would not share
responsibility for the contractor's full compliance.
Public Comment Invited
Currently, a railroad's HOS contractors are counted when
determining whether a railroad qualifies for the small railroad
exception. Part 219 makes no distinctions, however, for those HOS
contractors who work for a railroad only on a temporary basis. FRA is
asking for comment on whether such a distinction should be made. For
example, should a small railroad still qualify for the exception if it
temporarily engages enough HOS contractors (e.g., signal contractors)
to bring its number of covered employees above the 16 employee
threshold? If so, how long can an HOS contractor work for the railroad
and still be considered a ``temporary'' employee?
Paragraph (d)
FRA is proposing to move the applicability exceptions that apply
only to foreign railroads to a new paragraph (d), which would be
entitled ``Foreign railroads.'' The following structural and
clarification amendments are also being proposed:
New language in paragraph (d)(1) would clarify that part
219 does not apply to the operations of a foreign railroad that occur
outside the United States. For example, a major train accident on a
foreign railroad that occurred outside the United States would not be
subject to FRA's PAT testing requirements under subpart C. This would
not be a new exception, but rather a clarification of current
requirements.
FRA would combine the exceptions currently in paragraphs
(c)(1) and (c)(2) into new paragraph (d)(2), since both exceptions
exclude certain foreign
[[Page 43843]]
railroad operations from subparts E through G. The intent of this
proposed consolidation is to improve clarity and reduce redundancy, and
no substantive changes are intended. FRA would also amend these
exceptions to incorporate the proposed move of peer programs from
subpart E to new subpart K (see discussion above).
Section 219.4--Recognition of a Foreign Railroad's Workplace Testing
Program
This section contains provisions regarding the recognition of a
foreign railroad's workplace testing program as a ``compatible
alternative'' to certain requirements of part 219. FRA is proposing
minimal clarifying amendments to this section, none of which are
intended to affect its substantive requirements. Paragraphs (a)(1) and
(b)(1) would be amended to reflect that FRA is proposing to move
existing subpart E (Identification of Troubled Employees) to a new
subpart K (Peer Support Programs). The final sentence of paragraph
(b)(1) would be further amended to correct a mistaken reference to
subpart E that should be a reference to the pre-employment testing
requirements of subpart F.
Paragraph (b)(2) would be amended to clarify what type of
requirements are contained in the various referenced subparts. For
example, FRA is proposing to clarify that subpart C contains the
requirements for PAT testing.
Section 219.5--Definitions
FRA is proposing to amend the definitions section of part 219 to
add several new definitions, to revise and clarify certain current
definitions, and to delete unnecessary definitions.
New Definitions
Administrator
A new definition of ``Administrator'' would clarify that the term
means the Administrator of the FRA or the Administrator's delegate.
Associate Administrator
A new definition of ``Associate Administrator'' would clarify that
the term means the FRA's Associate Administrator for Railroad Safety/
Chief Safety Officer or the Associate Administrator's delegate.
Category of Regulated Employee
A new definition, ``category of regulated employee,'' would mean a
broad class of either covered employees or MOW employees. For the
purpose of determining random testing rates under proposed Sec.
219.625, if an individual performs both covered service and MOW
activities, he or she would be placed in the category which comprises
the majority of his or her regulated service. For example, an
individual who performs covered service 45 percent of the time and MOW
activities 55 percent of the time should be placed in the random
testing pool for MOW employees.
Contractor
A new definition of ``contractor'' would clarify that this term
includes both a contractor and a subcontractor performing functions for
a railroad.
Counselor
FRA is proposing to add this term to encompass a Drug and Alcohol
Counselor (as discussed below), Employee Assistance Program Counselor,
or Substance Abuse Professional, since most, but not all, of the
education, counseling, and treatment requirements in new subpart K
could be conducted by a person who meets the credentialing and
qualification requirements for any of these professions.
DOT-Regulated Employee
A new definition of ``DOT-regulated employee'' would clarify that
this term means any person who is subject to drug testing and/or
alcohol testing under any DOT agency regulation. This term would
include both individuals currently performing DOT safety-sensitive
functions (as designated in other DOT agency regulations) and
applicants for employment subject to DOT pre-employment drug testing.
DOT Safety-Sensitive Duty or DOT Safety-Sensitive Function
A new definition of ``DOT safety-sensitive duty'' or ``DOT safety-
sensitive function'' would clarify that these terms mean a function
designated by a DOT agency, the performance of which makes an
individual subject to the drug testing and/or alcohol testing
requirements of that DOT agency. For part 219 purposes, the performance
of regulated service would be a DOT safety-sensitive duty or function.
Drug and Alcohol Counselor or DAC
FRA is proposing to adopt a definition for ``Drug and Alcohol
Counselor'' or ``DAC'' from 49 CFR 242.7. As specified in Sec.
242.111, an individual whose records show a conviction or other State
action for abuse of drugs or alcohol, must be evaluated and
successfully treated by a DAC as a condition of conductor
certification. Although a DAC must meet the same credentialing
requirements as a Substance Abuse Professional (SAP), this evaluation
and treatment may not be called a SAP evaluation because Sec. 40.3
specifies that a SAP may provide such services only after a violation
of a DOT alcohol and drug regulation, and a conviction or other State
action (e.g., driving while impaired) is not a violation of part 219.
Employee
FRA is proposing to adopt a new definition of ``employee'' to
clarify that this term includes any individual (including volunteers
and probationary employees) performing activities for a railroad or a
contractor to a railroad. The proposed amendment would incorporate
previous FRA guidance that volunteers who perform covered service are
to be considered covered employees. See Compliance Manual 2.2.
Employee Assistance Program Counselor or EAP Counselor
FRA is proposing to restore to part 219 the term ``Employee
assistance program counselor or EAP counselor.'' A previous definition
of ``EAP counselor'' was removed when FRA amended part 219 to conform
to subpart P of part 40, which requires an evaluation by a SAP when an
employee has violated a DOT drug or alcohol regulation (i.e., by
refusing to take or having a positive result on a DOT alcohol or drug
test). See 59 FR 7457, Feb. 15, 1994. A part 219 definition of
``Employee assistance program counselor or EAP counselor'' is still
required, however, because a SAP's role is to evaluate an employee
after he or she has committed an DOT alcohol or drug testing violation,
but Sec. 219.403, which governs voluntary referrals, specifies that an
employee may only self-refer before he or she has committed a violation
of Sec. Sec. 219.101 or 219.102. The proposed definition of ``Employee
assistance program counselor or EAP counselor'' is adapted from the
``EAP counselor'' definition in Sec. 240.7 of FRA's locomotive
engineer certification regulations.
Evacuation
For clarification purposes, FRA is proposing to define the term
``evacuation,'' which, when accompanying a release of hazardous
material lading from railroad equipment, is listed in Sec.
219.201(a)(1)(ii)(A) as one of the criteria which determines whether a
train accident qualifies as a ``major train accident'' requiring the
PAT testing of all crew members involved. This has been one of the
criteria for PAT testing since the inception of the program. See 50 FR
31508, Aug. 2, 1985.
[[Page 43844]]
To qualify as an evacuation for purposes of PAT testing, an event
must involve the relocation of at least one person who is not a
railroad employee to a safe area in order to avoid exposure to a
hazardous material release. This relocation would normally be ordered
by local authorities and could be either mandatory or voluntary. The
definition would not include the closure of public roadways for
hazardous material spill containment purposes, unless that closure was
accompanied by an evacuation order. FRA is specifically requesting
public comment on whether the proposed definition would help railroads
make PAT testing determinations and whether it properly encompasses the
various events that should qualify as an evacuation.
Flagman, Fouling a Track
To clarify FRA's proposed requirements for employees who perform
MOW activities, FRA would add definitions of ``flagman'' and ``fouling
a track,'' both of which are modeled on the definitions in Sec. 214.7
of FRA's roadway worker regulations.
Highway-Rail Grade Crossing
FRA also proposes to incorporate the definition of ``highway-rail
grade crossing'' found in Sec. 225.5 of its accident and incident
reporting regulations. The proposed incorporation of a part 225
definition into part 219 would lessen the burden on entities who have
to comply with both regulations by maintaining consistency between the
regulations and by making it unnecessary to refer to part 225 to
determine what a ``highway-rail grade crossing'' means in part 219. By
incorporating part 225's definition of a ``highway-rail grade
crossing'' into part 219, FRA proposes to incorporate part 225's
guidance on this term as well. See FRA, FRA Guide for Preparing
Accident/Incident Reports (Guide), 23-24 (2011), available at http://safetydata.fra.dot.gov/officeofsafety/ProcessFile.aspx?doc=FRAGuideforPreparingAccIncReportspubMay2011.pdf,
which states that all crossing locations within industry and rail
yards, ports, and dock areas are considered to be highway-rail grade
crossings.
Highway-Rail Grade Crossing Accident/Incident
A new definition of ``highway-rail grade crossing accident/
incident'' would clarify the meaning of the phrase as used in part 219.
The proposed definition is essentially identical to language describing
highway-rail grade crossing impacts found in the definition for
``accident/incident'' in FRA's accident and incident reporting
regulations. See 49 CFR 225.5. As with the proposed definition for
``highway-rail grade crossing,'' FRA believes maintaining consistency
between part 219 and part 225 will minimize confusion for regulated
entities.
Joint Operations
As discussed earlier, FRA is proposing to add a definition of
``joint operations'' to clarify the meaning of that term as used in the
small railroad exception of Sec. 219.3. This proposed definition,
which is not intended to make any substantive changes or to create any
additional burdens on small railroads, would define joint operations as
``rail operations conducted by more than one railroad on the same track
(except for certain minimal joint operations necessary for the purpose
of interchange), regardless of whether such operations are the result
of contractual arrangements between the railroads, order of a
governmental agency or a court of law, or any other legally binding
directive.'' FRA interprets the phrase ``rail operations'' in this
definition broadly, so that it would encompass dispatching and other
types of operations. For example, a railroad that has fewer than
sixteen covered employees but dispatches trains for another railroad
would be considered to have joint operations with that railroad.
A railroad entering another railroad's yard to perform switching
operations would also constitute joint operations. For purposes of this
definition, railroads that operate on the same track would not be
conducting joint operations if their respective operations are
absolutely separated by physical means, such as a split rail derail or
the removal of a section of rail, and there is no physical possibility
that the railroads' respective operations could overlap on the same
track. However, this exclusion from joint operations would not apply
when one railroad merely agrees, whether informally or by contract, not
to engage in operations on the same track as another railroad, or when
railroad operations are only temporally separated because they operate
over the same track at different times of the day.
The proposed definition would also exclude certain minimal joint
operations necessary for the purpose of interchange, so long as: (1)
The maximum authorized speed for operations on the shared track does
not exceed 20 mph; (2) operations are conducted under restricted speed
(operating rules that require every locomotive and train to proceed at
a speed that permits stopping within one half the range of vision of
the locomotive engineer); (3) the maximum distance for operations on
the shared track does not exceed three miles; and (4) any operations
extending into one of the railroad's yards are for the sole purpose of
setting out or picking up cars on a designated interchange track. By
excluding the above operations from its proposed ``joint operations''
definition, FRA would focus scarce agency resources on the operations
with the greatest safety risk.
Maintenance-of-Way Activities or MOW Activities, Maintenance-of-Way
Employee or MOW Employee
As discussed earlier, FRA would add definitions of ``maintenance-
of-way activities or MOW activities'' and ``maintenance-of-way employee
or MOW employee'' as part of its proposed expansion of part 219 to
cover employees who perform MOW activities.
FRA's proposed definition of MOW employee would cover any employee
(as defined in proposed Sec. 219.5, this would include volunteers and
probationary employees) who performs MOW activities for a railroad or a
contractor to a railroad. As discussed above, MOW activities would be
defined to include (in part) activities such as the inspection, repair,
or maintenance of track, roadbed, or electric traction systems and the
operation of on-track or fouling equipment utilized for the inspection,
repair, or maintenance of track, roadbed, or electric traction systems.
On-Track or Fouling Equipment
FRA would add a new definition of ``on-track or fouling equipment''
that would include any railroad equipment positioned on or over the
rails or fouling a track. In this proposed definition, FRA provides
examples of what would be considered on-track or fouling equipment,
including trains, locomotives, cuts of cars, single cars, motorcars,
yard switching trains, work trains, inspection trains, track motorcars,
highway-rail vehicles, push cars, or other roadway maintenance machines
(such as ballast tamping machines), if this equipment is positioned on
or over rails or is fouling a track.
Other Impact Accident
FRA would add a definition of ``other impact accident'' to clarify
the meaning of the phrase as it is used in FRA's proposed amendment to
the definition of ``impact accident.'' As defined, an ``other impact
accident'' would include any accident/incident involving contact
[[Page 43845]]
between on-track or fouling equipment that is not otherwise classified
as another type of collision (e.g., a head-on collision, rear-end
collision, side collision, raking collision, or derailment collision).
This definition would also include impacts in which single cars or cuts
of cars are damaged during operations involving switching, train
makeup, setting out, etc.
Person
A new definition of ``person'' would clarify that this term means
an entity of any type covered under 1 U.S.C. 1, including, but not
limited to, the following: A railroad; a manager, supervisor, official,
or other employee or agent of a railroad; any owner, manufacturer,
lessor, or lessee of railroad equipment, track, or facilities; any
independent contractor providing goods or services to a railroad, such
as a service agent performing functions under part 40 of this title;
and any employee of such owner, manufacturer, lessor, lessee, or
independent contractor. While similar to the definition currently found
in Sec. 219.9, under this proposed definition a ``person'' would
specifically include an independent contractor who provides goods or
services to a railroad, such as a service agent (e.g., a collection
site, laboratory, Substance Abuse Professional (SAP), or other entity)
that provides alcohol and drug testing services to a railroad subject
to part 219 and part 40. See 49 CFR part 40, subpart Q--Roles and
Responsibilities of Service Agents. This definition would be added for
clarification purposes only, since railroad service agents are already
required to comply with both part 219 and part 40.
Plant Railroad
A new definition of plant railroad would clarify the meaning of
that term as used in Sec. 219.3. This proposed definition reflects
FRA's longstanding approach, consistent with its published policy
statement referenced below, of excluding certain plant operations from
the exercise of its jurisdiction.
In Sec. 219.3, FRA would continue to except plant railroads, as
defined in proposed Sec. 219.5, from the requirements of this part.
Although FRA's Statement of Agency Policy Concerning Enforcement of the
Federal Railroad Safety Laws, The Extent and Exercise of FRA's Safety
Jurisdiction, 49 CFR part 209, appendix A (FRA's Policy Statement or
the Policy Statement) already explains in detail when an entity's
operations qualify for plant railroad status, FRA proposes to
incorporate this language into a new definition of ``plant railroad''
to make these qualifications easier to find. To enable better
understanding of this term, the proposed definition would also
incorporate language clarifying when an entity's operations do not
qualify for plant railroad status. The proposed definition of the term
``plant railroad'' is consistent with FRA's Policy Statement that
provides that the agency will exercise its safety jurisdiction over a
rail operation that moves rail cars for entities other than itself
because those movements bring the track over which the entity is
operating into the general system. FRA's Policy Statement specifically
provides that ``operations by the plant railroad indicating it [i]s
moving cars on . . . trackage for other than its own purposes (e.g.,
moving cars to neighboring industries for hire)'' brings plant track
into the general system and thereby subjects it to FRA's safety
jurisdiction. This interpretation of the term ``plant railroad'' has
been upheld in litigation before the U.S. Court of Appeals for the
Fifth Circuit. See Port of Shreveport-Bossier v. Federal Railroad
Administration, No. 10-60324 (5th Cir. 2011) (unpublished per curiam
opinion).
Raking Collision
A new definition for ``raking collision'' would clarify that a
raking collision occurs when there is a collision between parts, with
the lading of a train on an adjacent track, or with a structure such as
a bridge. Collisions that occur at a turnout are not considered raking
collisions. The proposed definition is identical to the definition of
raking collision contained in FRA's guidance regarding accident/
incident reporting. See FRA Guide for Preparing Accident/Incident
Reports at 20 (Accident Reporting Guide).
Regulated Employee and Regulated Service
As discussed in section III.B of this preamble, FRA is proposing a
new term ``regulated employee.'' As proposed, ``regulated employee''
would refer to all employees who are subject to part 219, including
covered employees and MOW employees, and employees of a railroad or a
contractor to a railroad who perform covered service or MOW activities.
Another new proposed definition of ``regulated service'' would mean the
duties which regulated employees perform that make them subject to part
219.
Responsible Railroad Supervisor
FRA would incorporate the description of ``responsible railroad
supervisor'' currently in Sec. 219.302(d) into a new definition of
this term.
Side Collision
As with ``raking collision,'' FRA proposes to add a definition of
``side collision'' taken from the Accident Reporting Guide. A side
collision occurs when one consist strikes the side of another consist
at a turnout, and includes collisions at switches or at railroad
crossings at grade. See Accident Reporting Guide at 20.
Tourist, Scenic, Historic, or Excursion Operations That Are Not Part of
the General Railroad System of Transportation
A new definition of ``tourist, scenic, historic, or excursion
operations that are not part of the general railroad system of
transportation'' would clarify the meaning of that term as used in the
proposed application provisions of Sec. 219.3. The proposed definition
clarifies that the phrase means a tourist, scenic, historic, or
excursion rail operation that is conducted only on track used
exclusively for that purpose (i.e., there are no freight, intercity
passenger, or commuter passenger railroad operations on the track). If
there are any freight, intercity passenger, or commuter passenger
railroad operations on the track, the track is considered part of the
general system, and the rail operation would not meet the definition of
term as used in Sec. 219.3. This proposed definition is consistent
with FRA's longstanding policy that excludes insular operations
entirely from FRA's safety jurisdiction and excludes non-insular
operations from all but a limited number of Federal safety laws,
regulations and orders. See 49 CFR part 209, Appendix A (defining the
terms insular and non-insular).
Watchman/Lookout
FRA would add a definition of ``watchman/lookout'' identical to
that in Sec. 214.7 of its roadway worker regulations.
Revised Definitions
Covered Employee
The current definition of ``covered employee'' includes, in part,
``a person who has been assigned to perform service in the United
States subject to the hours of service laws (49 U.S.C. ch. 211) during
a duty tour, whether or not the person has performed or is currently
performing such service, and any person who performs such service.''
FRA proposes to amend this definition to clarify that ``person''
includes employees, volunteers, and probationary employees, and by
[[Page 43846]]
updating its reference to the hours of service laws so that a ``covered
employee'' would be defined as one ``who is performing covered service
under the hours of service laws at 49 U.S.C. 21101, 21104, or 21105 or
who is subject to performing such covered service, regardless of
whether the person has performed or is currently performing covered
service.'' FRA believes this proposed language is clearer than that in
the current definition, and it also makes the reference to the hours of
service laws consistent with that contained elsewhere in part 219. No
substantive change to this definition is intended.
Covered Service
FRA would amend the definition of ``covered service'' to provide
examples of the types of activities generally considered covered
service and to refer to Appendix A of 49 CFR part 228, Requirements of
the Hours of Service Act: Statement of Agency Policy and
Interpretation. The proposed amendments are for clarification purposes
only; no substantive change is intended.
FRA Representative
The definition of ``FRA representative'' would be amended to
clarify that the term includes the oversight contractor for FRA's Drug
and Alcohol Program and the staff of FRA's Associate Administrator for
Railroad Safety.
Impact Accident
As discussed in section V.D of this preamble, the definition of
``impact accident'' would be amended to remove the exceptions for
derailment collisions \14\ and raking collisions. FRA originally
excepted derailment collisions and raking collisions from the
definition of ``impact accident'' because it believed that these types
of collisions were not normally caused by human-factors. See 50 FR
31539 and 31542, Aug. 2, 1985 and 54 FR 39647, Sep. 27, 1989.
---------------------------------------------------------------------------
\14\ Derailment collisions fall within the definition of
``obstruction accidents'' in FRA's Accident Report Guide. See
Accident Reporting Guide at 24. But for the purposes of part 219,
this type of collision is referred to only as a derailment
collision.
---------------------------------------------------------------------------
FRA has since found that both derailment collisions and raking
collisions can be caused by human-factors, such as alcohol and/or drug
impairment. For example, a derailment collision could occur when a
dispatcher fails to properly notify trains of a derailment, or when a
crew does not operate its train at the proper speed after such a
notification. Similarly, a raking collision could occur when a train
crew does not comply with the special handling instruction for a high-
wide load or when cars are left standing on a track without sufficient
clearance.
Additionally, FRA has found evidence that railroads sometimes
improperly apply the exception for derailment collisions and raking
collisions in situations involving true impact accidents. For example,
railroads have sometimes claimed that PAT testing was not required
because equipment from a train derailed just prior to what otherwise
would be considered a head-on, rear-end, or side collision with other
on-track equipment. FRA did not intend the exception for a derailment
collision to apply when on-track equipment derailed immediately prior
to striking other on-track equipment. FRA believes that these sorts of
events should be classified as impact accidents. FRA has also found
that the difference between side collisions and raking collisions is
not understood by some railroads, who have erroneously claimed that
accidents occurring at a turnout (switch) were raking collisions. For
example, some railroads have claimed that a raking collision has
occurred when a switch crew strikes cars they had previously left
fouling a track or when a train operates out of a siding and strikes
another train. These types of accidents, however, are actually side
collisions or other impacts and should therefore be considered impact
accidents.\15\ (FRA notes that currently under Sec. 219.201(a)(1), a
derailment collision would qualify as a Major Train Accident if it
resulted in damage to railroad property of $1 million or more.)
---------------------------------------------------------------------------
\15\ As discussed below, FRA is also proposing to clarify the
part 219 definition of side collision, to specifically include
accidents/incidents that occur at a switch or turnout. This is the
same definition for a side collision as used in the Accident
Reporting Guide.
---------------------------------------------------------------------------
FRA does not anticipate that its proposal to remove the exceptions
for derailment collisions and raking collisions would significantly
increase PAT testing costs. FRA believes that the regulated employees
involved in these collisions will often be excluded from PAT testing
when a ``railroad representative can immediately determine, on the
basis of specific information, that the employee(s) had no role in the
cause(s) or severity of the accident/incident.'' See Sec.
219.203(a)(3).
In order to improve clarity, FRA also proposes to restructure this
definition by listing each type of impact accident separately. FRA
would also incorporate its previous guidance that an impact with a
derail does not qualify as an ``impact with a deliberately-placed
obstruction, such as a bumping post,'' since bumping posts are mostly
permanent objects found at the end of a line, while derails are mobile
and can easily be moved from place to place. See FRA, Alcohol and Drug
Testing Regulations (Parts 219 and 40) Interpretive Guidance Manual
(``Interpretive Guidance Manual'') 18 (September 2006), available at
http://www.fra.dot.gov/eLib/Details/L02799.
FRA would also clarify that the definition of ``impact accident''
excludes the impact of rail equipment with ``naturally-occurring
obstructions such as fallen trees, rock or snow slides, livestock,
etc.''
Medical Facility
FRA would add language to the definition of ``medical facility'' to
reflect the main purpose for including this definition in this part;
that is, that a medical facility is a hospital, clinic, physician's
office, or laboratory which can collect PAT testing specimens and
address an individual's post-accident medical needs. In order to
improve consistency, FRA would also substitute ``medical facility''
wherever ``treating facility'' currently appears throughout part 219.
Railroad Property Damage or Damage to Railroad Property
The definition of ``railroad property damage or damage to railroad
property'' would be clarified to mean damage to railroad property as
calculated according to the FRA Guide for Preparing Accident/Incident
Reports. Additional language from the Guide would clarify what costs
must be included (damage to on-track equipment, signals, track, track
structure, or roadbed; and labor costs including hourly wages,
transportation costs, and hotel expenses) and excluded (damage to
lading and the cost of clearing a wreck, although the cost of
contractor services and of renting and operating machinery is included,
as is the cost of any additional damage caused while clearing the
wreck) when calculating railroad property damage to determine whether
PAT testing is required under FRA's regulations. These clarifications
would be incorporated to enable easier compliance with this part, and
no substantive changes are intended.
Train Accident
The definition of ``train accident'' would be amended to clarify
that it refers to rail equipment accidents under Sec. 225.19(c) and to
specify that rail
[[Page 43847]]
equipment accidents include, but are not limited to, collisions,
derailments, and other events involving the operation of on-track or
fouling equipment.
Train Incident
The definition of ``train incident'' would be amended to clarify
that it includes events involving the operation of on-track or fouling
equipment that results in a casualty, but in which damage to railroad
property does not exceed the applicable reporting threshold.
Deleted Definitions
DOT Agency
The definition of ``DOT agency'' would be removed because it is
being replaced by the proposed definition of ``DOT, The Department, or
DOT agency.''
General Railroad System of Transportation
The definition of ``general railroad system of transportation''
would be removed because FRA's proposed amendments to the application
section of this part (Sec. 219.3) would make this definition
redundant.
Train
The definition of ``train'' would be removed because part 219
already contains definitions for ``train accident'' and ``train
incident'' that specifically include on-track equipment (which includes
trains).
Section 219.9--Responsibility for Compliance
Currently, this section contains provisions relating to compliance
with part 219 and penalties for violations of part 219. FRA is
proposing to amend this section by removing the language addressing
penalty amounts in paragraph (a) and placing it in a new Sec. 219.10,
entitled ``Penalties.'' This organization would be similar to the
approach taken in other FRA regulations (see 49 CFR parts 232, 238, and
239), and-would make it easier for railroads to find specific
provisions relating to either compliance or penalties.
Proposed paragraph (a) would clarify that while part 219
requirements are stated in terms of a railroad's duty, the duty to meet
part 219 requirements applies to any person performing a function
required by part 219. This language would apply equally to the
requirements of part 40, since Sec. 219.701 requires all testing
conducted under part 219 testing (except for PAT testing in subpart C)
to comply with part 40. Also, existing paragraph (a) contains language
defining the term ``person'' as used in part 219. As discussed in the
section-by-section analysis for Sec. 219.5, FRA is proposing to move
this definition of ``person'' to Sec. 219.5 and amend it to clarify
that it includes any entity who acts as a service agent for a railroad
under part 40.
FRA is also proposing several minimal changes to the language
contained in paragraphs (b)(1), (b)(2), and (c). These amendments are
intended to increase the clarity of this section and not to make any
substantive changes. For example, paragraph (b)(2) currently states
that when an employee engaged in joint operations is required to
participate in Federal PAT, reasonable suspicion, or reasonable cause
testing and is then subject to adverse action allegedly arising from
that testing (or an alleged refusal to participate in such testing),
the other railroad (i.e., the railroad by which the employee is not
directly employed) must provide to the employee any necessary witnesses
and documents on a reasonable basis. FRA is proposing to amend this
requirement to clarify that the other railroad must also provide such
witnesses and documents to the regulated employee's employing railroad.
Section 219.10--Penalties
As discussed immediately above, FRA is proposing to transfer the
penalty provisions currently found in Sec. 219.9 to a new Sec.
219.10, entitled ``Penalties.'' This amendment is not intended to make
any substantive changes to the penalty provisions, but is intended to
increase the clarity and organization of part 219.
Section 219.11--General Conditions for Chemical Tests
This section contains various general provisions regarding FRA
alcohol and drug testing requirements. FRA is proposing amendments to
this section as described below.
Paragraph (a)
FRA would re-designate current paragraph (a) as paragraph (a)(1),
and add new paragraph (a)(2). Paragraph (a) currently states that
``[a]ny employee who performs covered service for a railroad is deemed
to have consented to testing as required in subparts B, C, D, and G of
this part; and consent is implied by performance of such service.''
Proposed paragraph (a)(1) would amend this language to clarify that
``[a]ny regulated employee who is subject to performing regulated
service'' is deemed to have consented to testing. This amendment is
necessary because under proposed Sec. 219.615(c)(1), a regulated
employee can be required to participate in random testing whenever the
employee is on-duty and subject to performing regulated service, even
if the employee is not performing regulated service at the time. FRA
would also remove the language ``and consent is implied by performance
of such service,'' as it believes this language is unnecessary and
redundant. FRA would also amend this paragraph to clarify that
performance of regulated service means consent to testing mandated by
the peer prevention requirements of proposed subpart K.
New paragraph (a)(2) would clarify that regulated employees
required to participate in Federal testing under part 219 must be on-
duty and subject to performing regulated service at the time of a
breath alcohol test or urine specimen collection. This requirement
would not apply to the pre-employment drug testing of applicants for
regulated service positions.
Paragraph (b)
Paragraph (b)(1) would be amended to clarify that regulated
employees must participate in Federal testing as required by part 219
and as implemented by a representative of the railroad or an employing
contractor.
Paragraph (b)(2) currently provides that ``[i]n any case where an
employee has sustained a personal injury and is subject to alcohol or
drug testing under this part, necessary medical treatment must be
accorded priority over provision of the breath or body fluid
specimen(s).'' This provision would be amended to replace ``has
sustained a personal injury'' with ``is suffering a substantiated
medical emergency,'' as certain medical emergencies that do not involve
a personal injury (e.g. a stroke) may necessitate prioritizing medical
treatment over testing. New language would further clarify that a
medical emergency is an acute medical condition requiring immediate
medical care, and a railroad may require an employee to substantiate a
medical emergency by providing verifiable documentation from a credible
outside professional substantiating the emergency situation within a
reasonable period of time.
Paragraph (c)
FRA is proposing minor amendments throughout existing paragraph (c)
to reflect the updated terminology proposed in this NPRM (e.g.,
regulated employee, medical facility) and to account for FRA's proposal
to separate reasonable cause and reasonable suspicion testing into two
separate subparts.
[[Page 43848]]
Paragraph (d)
This paragraph, which currently requires an employee who is tested
under either subpart C (PAT testing) or subpart H (which applies part
40 procedures to part 219 testing except for PAT tests) to execute a
consent form upon request, conflicts directly with the Department's
specific prohibition on the use of consent forms in Sec. 40.27. To
resolve this conflict, FRA proposes to remove the reference to subpart
H in this paragraph, thus making execution of a consent form an
available option only for PAT testing under subpart C.
Paragraph (e)
Paragraph (e) currently provides that nothing in part 219 may be
construed to ``authorize the use of physical coercion or any other
deprivation of liberty in order to compel breath or body fluid
testing.'' FRA is proposing to amend this paragraph by re-designating
this language as paragraph (e)(3), and by adding new paragraphs (e)(1)
and (e)(2).
Proposed paragraph (e)(1) would clarify that a regulated employee
notified of his or her selection for Federal testing under part 219
must cease to perform his or her assigned duties and proceed to the
testing site as soon as possible without adversely affecting safety.
For example, a train crew selected for random testing would not be
required to proceed immediately to the testing site if the crew had
received special instructions to remain on the train and protect it
until a relief crew arrived. In such a situation, FRA would not expect
the train crew to violate their specific instructions, and random
testing would occur only after the crew was relieved. This language is
currently contained in Sec. 219.701(c), but FRA believes it belongs
more appropriately in Sec. 219.11 as it is a general condition
regarding Federal tests. Similarly, paragraph (e)(2) would further
specify that a railroad must ensure that the absence of a regulated
employee from his or her assigned duties for testing does not adversely
affect safety.
Paragraph (f)
Under current paragraph (f), any railroad employee (as discussed
earlier, the term ``employee'' would include volunteers and
probationary employees of a railroad or a contractor to a railroad) who
performs service for a railroad who dies within 12 hours of an accident
or incident is deemed to have consented to the removal of specimens for
the purpose of PAT testing under part 219. FRA is proposing to amend
this paragraph by replacing the word ``service'' with the word
``duties.'' This change is intended to make it clear that any
individual who performs duties for a railroad, regardless of whether or
not those duties are regulated service (covered service or MOW
activities), is deemed to have consented to the removal of specimens
for PAT testing. FRA is also proposing other clarifying amendments to
this paragraph (i.e., that consent is implied by the performance of
duties for the railroad since no consent form is required). No
substantive changes are intended.
Paragraph (g)
Paragraph (g) currently requires at least three hours of supervisor
training regarding the signs and symptoms of alcohol and drug use and
the qualifying criteria for PAT testing under subpart C. This training
must include (at a minimum) ``information concerning the acute
behavioral and apparent physiological effects of alcohol and the major
drug groups on the controlled substances list.'' FRA is proposing to
amend this existing training requirement to incorporate supervisory
training on the signs and symptoms of ``other impairing drugs,'' since
drugs that are not controlled substances can also have ``acute
behavioral and apparent physiological'' effects.
FRA is also proposing to amend this paragraph by removing the three
hour duration requirement (a design standard) and replacing it with a
requirement that supervisors demonstrate their understanding of the
training at its conclusion (a performance standard). Supervisors could
do so through either a written or oral examination, which must contain
questions related to both the PAT testing regulations of subpart C and
the signs and symptoms of alcohol and drug influence, intoxication, and
misuse. FRA believes the proposed amendment would improve the required
supervisor training by making it based on a performance standard rather
than a design standard. See Office of Management and Budget, Circular
A-4, 8 (Sep. 17, 2003) (discussing performance standards as opposed to
design standards). Currently, the three hour duration requirement does
not actually ensure that a supervisor has understood the contents of
the training. Under the proposed amendment, railroads would have the
flexibility to make the training as long--or short--as necessary to
produce supervisors who could demonstrate their understanding of the
requirements. Overall, FRA believes that the effectiveness of the
training is better measured by the outcomes it produces, as opposed to
the amount of time it lasts.
Paragraph (h)
FRA is proposing only a minor editorial revision to paragraph (h)
to delete an unnecessary paragraph reference.
Section 219.12--Hours of Service Laws Implications
FRA is proposing a new section Sec. 219.12 to clarify the
relationship between the alcohol and drug testing requirements of part
219 and the HOS requirements of 49 U.S.C. ch. 211.
Paragraph (a)
Proposed paragraph (a) clarifies that HOS limitations do not excuse
a railroad from conducting PAT or reasonable suspicion testing. These
types of tests must be performed regardless of HOS requirements because
they are triggered by specific unpredictable events that indicate the
possible existence of a safety issue related to alcohol or drug use.
When an event occurs that mandates PAT or reasonable suspicion testing,
determining the cause of the event is of greater safety concern than
compliance with the HOS requirements. Thus, this proposed paragraph
provides that if a railroad establishes that excess service under the
HOS laws is caused solely by the railroad's need to complete required
PAT or reasonable suspicion testing, that the railroad used reasonable
due diligence in completing the required PAT or reasonable suspicion
testing, and that the railroad completed the collection within the time
limits of Sec. 219.203(d) (for PAT testing) or Sec. 219.305 (for
reasonable suspicion testing), FRA will not take enforcement action for
the excess service. The railroad would, however, still be required to
file an excess service report
While technically a new part 219 requirement, this language would
incorporate past FRA guidance on the impact of PAT testing and
reasonable suspicion testing on HOS limitations. See Compliance Manual
2.3.
Paragraph (b)
As with PAT and reasonable suspicion testing, reasonable cause
testing is triggered by the occurrence of a specific unpredictable
event (a train accident, train incident, or rule violation), the cause
or severity of which may be linked to a safety issue involving alcohol
or drug use by a regulated employee. FRA would therefore not pursue an
HOS violation if the excess service was caused solely by a railroad's
decision to conduct
[[Page 43849]]
reasonable cause testing, so long as the railroad used reasonable due
diligence to complete the test and did so within the time limitations
of proposed Sec. 219.407 (i.e., within eight hours of the observation,
event or supervisory notification that was the basis for the test). The
crucial difference between incurring excess service to conduct PAT or
reasonable suspicion testing as compared to reasonable cause testing,
is that reasonable cause testing, unlike both PAT and reasonable
suspicion testing, is authorized, but not required by part 219. For
this reason, proposed paragraph (b) clarifies that a railroad would be
allowed to, but is not required to, exceed HOS limitations to perform
reasonable cause testing. The railroad would, however, still be
required to file an excess service report.
Paragraph (c)
Proposed paragraph (c) clarifies that random tests must be handled
differently from the other types of tests discussed above, since random
tests are timed and planned in advance. When conducting random alcohol
and drug tests, compliance with HOS requirements must take precedence
since the timing of a random test is predictable and is not triggered
by a potential safety concern. With one exception, railroads must
schedule random tests with sufficient time for completion within an
employee's HOS limitations. The only exception to this general rule is
if an employee's random drug test requires additional time to complete
because of the need to conduct a directly observed collection (see
Sec. 40.67). In such direct observation situations, FRA would allow
completion of the test to exceed the employee's HOS limitations not
because the random test was unplanned, but because the occurrence of
the direct observation was unpredictable and indicative of the fact
that the employee may be trying to cheat the test. As with the other
types of tests described above, to not have an HOS penalty assessed, a
railroad must show that any excess service was caused solely by the
need to respond to a direct observation, must complete the random test
as soon as practicable, and must report any excess service to FRA. FRA
would also amend this paragraph to prohibit a railroad from placing a
regulated employee on duty solely for the purpose of conducting a
Federal random test.
Paragraph (d)
Similar to proposed paragraph (c)'s requirements related to random
tests, proposed paragraph (d) would clarify that railroads must
schedule follow-up tests, which are also planned events, with
sufficient time to allow testing to be completed within a covered
employee's HOS limitations. A railroad may place an employee on-duty
solely for the purpose of a follow-up test if the employee is subject
to being called for duty, with the caveat that an employee may be
placed on duty for a follow-up alcohol test only if the employee's
return-to-duty agreement requires total abstention from alcohol use.
This exception is necessary because absent such an agreement, an
employee may legitimately use alcohol when not prohibited by Sec.
219.101 (that is, when not on-duty, not within four hours of reporting
for duty, and not after receiving notice to report). In such a case, a
follow-up test for alcohol could result in an employee being penalized
for legitimate alcohol use. FRA anticipates few instances where an
employee will be placed on-duty solely for the purpose of follow-up
testing, but a railroad that chooses to do so must document why the
action was necessary and provide the documentation to FRA upon request.
Section 219.23--Railroad Policies
This section establishes the requirements for a railroad's Federal
alcohol and drug testing policy. FRA is proposing to clarify the
language in this section governing the following requirements: (1) the
providing of written notice to a regulated employee whenever a Federal
alcohol or drug test is required under part 219; (2) the use of DOT
forms for FRA-mandated alcohol and drug tests; and (3) the educational
materials employers must provide to employees. FRA would also conform
the section's structure to reflect amendments proposed in this section
and elsewhere in part 219.
Paragraph (a)
Paragraph (a) currently requires a railroad to provide ``clear and
unequivocal written notice'' to an employee when an alcohol or drug
test is being required under FRA regulations. While the use of DOT
testing forms satisfies this notice requirement, FRA is proposing
several clarifications. First, FRA is proposing to amend this paragraph
to clarify that the written notice must be provided by either a
railroad employee or a designated service agent (e.g., by a collector
providing a DOT form to an employee for an FRA random test) and must
include the basis for the test (this requirement is currently contained
in paragraph (b) of this section). Second, FRA would replace the phrase
``violation of a specified operating/safety rule enumerated in subpart
D of this part'' with the simpler phrase ``reasonable cause.'' Finally,
FRA would clarify that the notice requirements for PAT tests must be
handled differently since notice of PAT tests may be provided only
through use of a FRA-specific PAT testing form.
Paragraph (b)
The last sentence of current paragraph (b) provides that use of a
DOT form is prohibited for a non-Federal test. This provision, amended
to clarify that use of the DOT form is also prohibited for PAT testing,
remains in revised paragraph (b). FRA also proposes to amend this
paragraph to specify that the FRA PAT testing form may not be used for
any other type of test. This is not a new requirement, but is currently
found in the final sentence of paragraph (c) of this section.
Paragraph (c)
Proposed paragraph (c) discusses various requirements related to
part 219 educational materials that must be provided to regulated
employees. These requirements are found in existing paragraph (d) of
this section. FRA is proposing minor amendments to clarify the language
in this section and to provide railroads greater flexibility in making
the required educational materials available to employees. As proposed,
a railroad could post these materials continuously in an easily visible
location at a designated reporting place for regulated employees,
provided the railroad also supplies copies to any labor organizations
representing a class or craft of regulated employees (if applicable).
Alternatively, a railroad could provide these materials in some other
manner that ensures that regulated employees can find and access them,
such as posting them on a Web site accessible to all regulated
employees. Through longstanding informal guidance, FRA has allowed
railroads to post educational materials in easily visible locations.
Thus, this proposed amendment would incorporate this guidance into the
rule text. Because MOW employees are going to be newly subject to part
219 requirements and may be unfamiliar with the regulation, for three
years after the effective date of the final rule, FRA is proposing to
require a hard copy of the educational materials to be provided to each
MOW employee. FRA is also proposing new language in this paragraph
specifying that the requirement to provide educational materials to
regulated employees would not apply to applicants for a regulated
service position who either refuse to participate
[[Page 43850]]
in pre-employment testing or who have a pre-employment test result
indicating a part 219 violation. This requirement is currently in Sec.
219.104(a)(ii), but FRA believes it belongs more appropriately in this
section, as it discusses the applicability of Sec. 219.23.
Paragraph (d)
Currently, paragraph (e) of this section contains requirements
governing the content of the educational materials that a railroad must
provide to its covered employees. FRA is proposing to move these
requirements to proposed paragraph (d). New language in the
introductory text of paragraph (d) would clarify that the educational
materials that must be made available to employees are the materials
that are specified in proposed paragraph (c) of this section.
While paragraph (e)(1) currently requires training materials to
include the ``identity'' of the person designated to answer employee
questions about the materials, proposed paragraph (d)(1) would include
this requirement but replace the word ``identity'' with ``position
title, name, and means of contacting'' that individual. Similarly,
language currently in paragraph (e)(2) would be moved to proposed
paragraph (d)(2) and amended to require educational materials to
identify each class or craft subject to part 219 (e.g., engineers,
conductors, MOW employees, signal maintainers, train dispatchers)
instead of using less specific terms such as ``regulated employees'' or
``covered employees.''
Language currently found in paragraph (e)(3) would be amended in
proposed paragraph (d)(3) to replace ``safety-sensitive'' with
``regulated service'' and to require the educational materials provided
to regulated employees to distinguish between FRA's prohibitions on
alcohol use and on drug use. FRA proposes to distinguish between the
two prohibitions by explicitly stating that a railroad must provide
sufficient information about regulated service that regulated employees
perform so that a regulated employee knows when he or she must be in
compliance with part 219's prohibition regarding alcohol use. This
amendment is necessary because unlike part 219's prohibition on alcohol
use, which applies when an employee is on duty and required to perform
or is available to perform regulated service, FRA's prohibitions on
drug use apply at all times, not just when a regulated employee is on
duty and performing (or subject to performing) regulated service.
Existing paragraph (e)(5) would be further amended in proposed
paragraph (d)(5) to simplify the reference to reasonable cause testing
authority provided by subpart E.
FRA would also move the language in paragraph (e)(12) to proposed
paragraph (d)(12) and amend it to require railroads to provide
educational materials on both alcohol and drug misuse.
Section 219.25--Previous Employer Drug and Alcohol Checks
This new section would direct railroads and contractors to Sec.
40.25, which requires employers to request and review the drug and
alcohol testing record of any individual they intend to use to perform
DOT safety-sensitive functions. This requirement applies only to a
railroad or contractor's direct employees. For example, a railroad
would not be required to check the alcohol and drug testing record of
the direct employees of a contractor, since this responsibility would
belong to the contractor. While Sec. 219.701 requires all testing
under part 219 (except for PAT testing under subpart C) to be completed
in accordance with the requirements of part 40, FRA's experience has
been that railroads sometimes overlook the drug and alcohol background
check required by Sec. 40.25. The proposed amendment would address
this concern by specifically reminding railroads and contractors of the
Sec. 40.25 requirement.
This section would also remind railroads that they must comply with
the prior alcohol and drug conduct requirements of Sec. 240.119(c) for
certified locomotive engineers and Sec. 242.115(e) for certified
conductors. Under these sections, a railroad determining whether a
person may be or may remain certified as a locomotive engineer or
conductor must consider certain part 219 violations and refusals that
occurred within a period of sixty consecutive months (five years) prior
to the review of the individual's records. As with the reference to
Sec. 40.25, these references to parts 240 and 242 are intended only to
remind railroads of their existing responsibilities, not to make any
substantive changes.
Subpart B--Prohibitions
Section 219.101--Alcohol and Drug Use Prohibited
Paragraph (a)(1)
Section 219.101 contains FRA's general prohibitions on the use and
possession of alcohol and drugs by railroad employees. Currently,
paragraph (a)(1) prohibits the use and possession of both alcohol and
controlled substances while a covered employee is assigned to perform
covered service. Existing Sec. 219.103 provides an exception to the
prohibition on the use and possession of controlled substances, so long
as certain conditions are met regarding the controlled substance's
prescription or authorization by a medical practitioner.
While not specifically proposed in this NPRM, FRA is soliciting
public feedback on whether it should consider removing part 219's
longstanding prohibitions against the on-duty possession of alcohol and
controlled substances. These prohibitions were originally intended to
make FRA's alcohol and drug requirements similar to those in Rule G, a
longstanding railroad operating rule which prohibited the on-duty use
and possession of alcohol, and was later amended to address the use and
possession of controlled substances. See 49 FR 24266, June 12, 1984. As
currently written, however, the FRA's prohibition against the
possession of controlled substances applies not only to the possession
of illicit drugs (e.g., PCP, cocaine), but also to many prescription
drugs which have legitimate medical uses (e.g., muscle relaxants, pain
relievers), but have been classified by the Drug Enforcement
Administration (DEA) as controlled substances because of their
potential for abuse. Therefore, strictly read, FRA's prohibition
against the on-duty possession of all controlled substances would
prohibit the on-duty possession of many common prescription drugs,
unless that possession was incident to proper use of the prescribed
drug as provided for by Sec. 219.103.
Similarly, because of its roots in Rule G, part 219 currently
prohibits the on-duty possession of alcohol. Strictly read, this
prohibition would ban the on-duty possession of many commonly sold
over-the-counter cough and cold remedies that contain alcohol. FRA
solicits comment on whether part 219 should continue to prohibit the
on-duty possession of all controlled substances and alcohol, noting
that no other DOT agency prohibits the on-duty possession of both
controlled substances and alcohol.
While FRA does not want to prohibit the use of legal prescription
drugs or over-the-counter drugs by regulated employees, provided that
such use complies with the requirements of Sec. 219.103 (discussed
below), FRA is specifically seeking public comment on whether removing
the prohibitions on possession of controlled substances and/or alcohol
would have an adverse effect on railroad safety. Removing the
prohibition on possessing controlled substances or alcohol would not
affect a railroad's ability to take action under its own authority if a
railroad employee
[[Page 43851]]
was found in possession of alcohol or a controlled substance in
violation of a railroad operating rule, such as Rule G. See id.
FRA would also amend paragraph (a)(1) to prohibit the use or
possession of alcohol or any controlled substance by regulated
employees while they are ``on-duty and subject to performing regulated
service for a railroad.'' This proposed language is intended to clarify
that this prohibition applies whenever a regulated employee is subject
to performing regulated service for a railroad, not only when the
employee is actually performing regulated service.
Paragraph (a)(4)
Paragraph (a)(4) applies to regulated employees who have a breath
or blood alcohol concentration of 0.02 or greater but less than 0.04 on
a Federal test. Specifically, current paragraph (a)(4) prohibits an
employee whose Federal test indicates an alcohol concentration of 0.02
or greater, but less than 0.04, from performing covered service until
the start of his or her next regularly scheduled duty period, but not
less than eight hours from the administration of the test. Since an
alcohol concentration of 0.02 or greater but less than 0.04 is not a
violation of Sec. 219.101, an alcohol test result in this range may
not be used for locomotive engineer or conductor certification purposes
under part 240 or part 242. FRA is proposing to redesignate the current
text of paragraph (a)(4) as paragraph (a)(4)(i), and add a new
paragraph (a)(4)(ii) to clarify that a railroad is not prohibited from
taking further action under its own authority against an employee whose
Federal test result indicates an alcohol concentration of 0.02 or
greater but less than 0.04, since a result in this range indicates the
presence of alcohol in the employee's system. This new language is
taken from FRA guidance and is intended for clarification purposes
only, not to make any substantive change to the regulatory requirement.
See Compliance Manual 3.5.2.
Paragraph (a)(5)
Currently, paragraph (a)(5) states that a test result with an
alcohol concentration below 0.02 must be considered negative and is not
evidence of alcohol misuse. It also provides that a railroad may not
use a Federal test result below 0.02 either as evidence in a company
proceeding or as a basis for subsequent testing under company
authority, and that a railroad may compel cooperation in additional
breath or body fluid testing only if it has an independent basis for
doing so.
FRA is proposing to add new language to this paragraph clarifying
that an independent basis for subsequent company authority alcohol
testing would exist only when, after a negative FRA reasonable
suspicion alcohol test result, an employee exhibits additional or
continuing signs and symptoms of alcohol use. (A railroad may not,
however, conduct an additional FRA test in such situations.) If an
independent basis for testing exists and a subsequent company authority
alcohol test indicates a violation of a railroad alcohol operating
rule, the company test result is independent of the Federal test result
and must stand on its own merits. FRA is proposing this amendment,
which is taken from FRA guidance, to allow railroads to perform company
authority alcohol tests in the infrequent and limited circumstances
where an employee continues to exhibit signs and symptoms of alcohol
use even after the employee's FRA test result indicates an alcohol
concentration below 0.02.
Section 219.102--Prohibition on Abuse of Controlled Substances
Currently, this section prohibits employees performing covered
service from using a controlled substance at any time, except as
permitted by Sec. 219.103. FRA's only proposed amendment to this
section would substitute the term ``regulated employee'' for
``employee'' to reflect the expansion of this part to cover employees
who perform MOW activities.
Section 219.103--Use of Prescription and Over-the-Counter Drugs
Despite its title, ``Prescribed and over-the-counter drugs,'' Sec.
219.103 currently covers only a small portion of prescription drugs and
no over-the-counter (OTC) drugs, since most prescription and OTC drugs
are not Schedule II-V controlled substances. FRA is not proposing any
changes to this section, which has not been changed since its
implementation in 1985. Instead, FRA is asking for information in
response to several questions. How do railroads administer Sec.
219.103's requirements? Does this section effectively address the
safety concerns raised by the use of prescription and OTC drugs by
individuals subject to part 219? What, if any, amendments should FRA
make to address the increase in prescription and OTC drug use over the
last 25 years? Are any amendments necessary to address FRA's proposed
addition of employees who perform MOW activities?
Section 219.104--Responsive Action
FRA is proposing both clarifying and structural changes to this
section, which addresses what responsive action a railroad must take
when it determines that an employee subject to part 219 has either
violated certain provisions part 219 (or the alcohol or drug misuse
rule of another DOT agency) or refused to provide breath or body fluid
specimens under a mandatory provision of the regulation. Specifically,
FRA proposes to clarify that: (1) The responsive action requirements of
this section (except for the right to a hearing under proposed
paragraph (c) do apply to a regulated service applicant who has refused
to take a pre-employment test, as determined by the provisions of part
40; (2) the notice a railroad must provide to a regulated employee
before removing him or her from regulated service must be in writing;
and (3) that regulated employees have the right to request a hearing
under this section following an alleged violation of Sec. 219.101 or
Sec. 219.102.
Paragraph (a)
FRA proposes to add a new sentence to paragraph (a)(2) specifying
that the procedures and rights in this section apply to reasonable
cause tests conducted under FRA authority, but not to reasonable cause
tests conducted under a company's own authority. This would not be a
substantive change, only a reminder to railroads of one important
distinction between a reasonable cause test conducted under FRA
authority and one conducted under company authority. FRA also proposes
to remove the word ``mandatory'' as used in paragraph (a)(2) to
describe the provisions under which a railroad may require an employee
to participate in alcohol or drug testing, since neither reasonable
cause or pre-employment alcohol testing are mandatory under part 219.
If, however, a regulated employee (or applicant for regulated service)
refuses a reasonable cause or pre-employment alcohol test that has been
conducted under FRA authority, the employee would be subject to the
consequences for unlawful refusals found in this section.
Currently, paragraph (a)(3) explains that the procedures and rights
in Sec. 219.104 and the informational requirements in Sec. 219.23 do
not apply: (1) When a test is conducted under other than part 219
authority (e.g., a test under a company medical policy); and (2) when
an applicant refuses to participate in a pre-employment test or
otherwise has a positive pre-employment test indicating the misuse
[[Page 43852]]
of alcohol or controlled substances. FRA is proposing to move the
language addressing Sec. 219.23 into Sec. 219.23 itself, and to move
the remainder of this paragraph to a new paragraph (e), which would
contain provisions specifically discussing the applicability of this
section.
Paragraph (b)
Currently, paragraph (b) requires a railroad, prior to
``withdrawing'' an employee from covered service, to provide notice to
the employee of the reason for his or her withdrawal. FRA would clarify
that this notice must be in writing. A railroad may initially give an
employee verbal notice, provided the railroad follows up as soon as
practicable with an official written notice. For consistency of
language throughout this section, FRA is also proposing to replace
``withdrawing'' in this paragraph with the term ``removing.'' FRA would
also require the notice to inform the employee that he or she is
prohibited from performing any DOT safety-sensitive functions until he
or she successfully completes the evaluation, referral, and treatment
processes required for return-to-duty under part 40. FRA believes this
information would discourage employees from job hopping to try to avoid
their return-to-duty requirements. A railroad may also use this notice
to comply with Sec. 40.287, which requires an employer to provide to
each employee who violates a DOT drug and alcohol regulation a listing
of SAPs readily available to the employee and acceptable to the
employer, with names, addresses, and telephone numbers.
Paragraph (c)
Paragraph (c)(1) currently specifies that employees can request a
hearing if they ``[deny] that the test result is valid evidence of
alcohol or drug use prohibited by this subpart.'' FRA is proposing to
remove this phrase in to make clear that the removal from duty and
hearing procedures in this section also apply to violations of
Sec. Sec. 219.101 or 219.102 that have not been detected through
testing (e.g., a refusal or a violation of the prohibition against
possessing alcohol). This proposed amendment would clarify that an
employee may demand a hearing for any violation of Sec. Sec. 219.101
or 219.102, regardless of whether the alleged violation was based on a
test result.
Similarly, FRA would amend paragraph (c)(4) to clarify that the
statement that part 219 does not limit the procedural rights or
remedies available (e.g., at common law or through an applicable
bargaining agreement) to an employee, applies to all violations of part
219, not just those based on test results.
Paragraph (d)
Currently, paragraph (d) provides that a railroad must comply with
``the return-to-service and follow-up testing requirements, and the
Substance Abuse Professional [SAP] conflict-of-interest prohibitions,
contained in Sec. Sec. 40.305, 40.207, and 40.209 of this title.'' FRA
would simplify this language by deleting these section citations and
referring generally to the requirements in part 40 for SAP evaluations,
the return-to-duty process, and follow-up testing.
Paragraph (e)
FRA is proposing to add a new paragraph (e), which would clarify
when the requirements of this section do not apply.
Paragraph (e)(1) would contain the language currently in paragraph
(a)(3)(i) stating that the requirements of this section do not apply to
actions based on alcohol or drug testing that is not conducted under
part 219.
Paragraph (e)(2) would clarify that the requirements in this
section do not apply to Federal alcohol tests with a result less than
0.04. As discussed above in the analysis of Sec. 219.101(a)(4),
because a Federal alcohol test with a result below 0.04 is not a
violation of Sec. 219.101, a railroad is not required to take
responsive action under this section. Under Sec. 219.101(a)(4), the
only consequence for a Federal test result between 0.02-0.039 is
removal of the employee from regulated service for a minimum of eight
hours. (This is because a test result in this range is evidence of
alcohol use but not of impairment.) A railroad must therefore use its
own authority for any other actions (e.g., any return-to-duty or
follow-up tests for an alcohol test result below .04 must be
administered under company authority).
Paragraph (e)(3) would contain new language clarifying that this
section also does not apply to a locomotive engineer or conductor who
has had an off-duty conviction for, or a completed state action to
cancel, revoke, suspend, or deny a motor vehicle-driver's license for
operating while under the influence of or impaired by alcohol or a
controlled substance. While parts 240 and 242 require an individual
with such an off-duty conviction to undergo a substance abuse
evaluation, an off-duty conviction is not a violation of Sec. 219.101
or Sec. 219.102.
Paragraph (e)(4) would contain new language clarifying that this
section does not apply to applicants who decline to participate in pre-
employment testing and withdraw the application for employment prior to
the commencement of the test (the determination of when a test
commences is made according to the provisions of part 40).
Paragraph (e)(5) would clarify that the hearing procedures in
paragraph (c) of this section do not apply to an applicant who tests
positive or refuses a DOT pre-employment test.
Paragraph (e)(6) would clarify that an applicant who tests positive
or refuses any DOT pre-employment test must complete the return-to-duty
requirements in paragraph (d) before performing DOT safety-sensitive
functions subject to the alcohol and drug regulations of any DOT
agency. Under Sec. 40.25(j), an employee who tested positive or
refused to test cannot perform any DOT safety-sensitive functions until
and unless the employee documents successful completion of the part 40
return-to-duty process.
Section 219.105--Railroad's Duty To Prevent Violations
Paragraph (a)
Currently, paragraph (a) of this section provides that a railroad
may not with ``actual knowledge'' permit an employee to remain or go on
duty in covered service in violation of either Sec. 219.101 or Sec.
219.102. FRA is proposing to clarify when a railroad is deemed to have
``actual knowledge'' of such a violation. As proposed, actual knowledge
would be limited to the knowledge of a railroad manager or supervisor
in the employee's chain of command. A manager or supervisor would be
considered to have actual knowledge of a violation when he or she: (1)
Personally observes an employee violating part 219 by either using or
possessing alcohol, or by using drugs (observing potential signs and
symptoms of alcohol/drug use would not by itself constitute actual
knowledge); (2) receives information regarding a violation from a
previous employer as part of a Sec. 40.25 background check; or (3)
receives an employee's admission of prohibited alcohol possession or
use or drug use.
Paragraph (b)
Although FRA is not proposing to amend paragraph (b) of this
section, FRA is taking this opportunity to clarify what ``due
diligence'' means in this paragraph's requirement for a railroad to
``exercise due diligence to assure compliance with Sec. Sec. 219.101
and 219.102.'' When FRA proposed to add
[[Page 43853]]
new paragraph (b), FRA stated its purpose as follows:
to describe the limitations on railroad liability with respect
to the prevention of the violations of the Subpart B prohibitions. .
. . In summary, the provisions require the railroad to exercise a
high degree of care to prevent violations, but do not impose
liability where, despite such efforts, an individual employee uses
alcohol or drugs in a manner that is prohibited (and the railroad is
not aware of the conduct).
54 FR 39649, Sep. 27, 1989. Paragraph (b) therefore places an
affirmative duty on a railroad to use due diligence to prevent
violations of Sec. 219.101 or Sec. 219.102, and a railroad that can
show it has done so will have only limited liability under part 219 for
the violations of its individual employees. Conversely, a railroad
could be found to have violated Sec. 219.105(b) if it did nothing
after becoming aware that a regulated employee had an active substance
abuse disorder that could manifest itself in actual violations of Sec.
219.101 or Sec. 219.102. The due diligence a railroad most exercise to
prevent violations will vary on a case-by-case basis and railroads
uncertain how this provision may apply in certain situations are
encouraged to contact FRA for guidance.
Paragraph (c)
FRA is proposing to add new a paragraph (c) to this section, which
would clarify that a railroad's alcohol and/or drug use education,
prevention, identification, intervention, or rehabilitation programs or
policies must be designed and implemented in such a way that they do
not circumvent or otherwise undermine the requirements of part 219. It
would also clarify that a railroad must make all documents, data, or
other records related to such programs or policies available to FRA
upon request. This paragraph would not establish a new power for FRA,
but would merely clarify and explain FRA's authority to conduct
inspections and investigations under 5 U.S.C. 20107.
Rule G Observations and Public Comment Requested
Currently, FRA guidance directs a railroad to require its
supervisors to make and record a specified number of observations of
covered employees for compliance with its operating rule on alcohol
and/or drug prohibitions (e.g., Rule G), as part of its part 217
operational tests and inspections program. See generally Sec. 217.9.
These observations are often referred to as ``Rule G observations.'' At
a minimum, FRA guidance states that each quarter a railroad should
conduct a number of part 217 observations that equals the number of its
covered employees. For example, if a railroad has 100 covered
employees, it should conduct at least 100 observations per quarter. See
Compliance Manual 11.3.3.2.
FRA requests public comment on whether Sec. 219.105 should be
amended to incorporate this guidance regarding Rule G observations. FRA
is particularly interested in comment regarding both the safety
benefits of requiring a specific number of Rule G observations and the
costs and burdens of such a requirement. Also, to what extent are these
observations already being performed throughout the railroad industry?
FRA may ultimately decide to include a Rule G observation requirement
in a final rule.
Section 219.107--Consequences of Unlawful Refusal
Currently, this section provides that an employee who refuses to
provide breath or body fluid specimens when required by a mandatory
provision of part 219 must be disqualified from performing covered
service for nine months. FRA is proposing several clarifying amendments
to this section.
Paragraph (a)
In paragraph (a), FRA would replace the term ``disqualified'' with
``withdrawn'' to distinguish between the withdrawal requirement of this
section and the disqualification requirements for certified engineers
in part 240 and certified conductors in part 242. (Similar amendments
would also be made to paragraphs (c)-(e) of this section.) FRA would
also clarify that provision of an adulterated or substituted specimen,
as defined in part 40, is a refusal under part 219 and subject to the
withdrawal requirements of this section. FRA would also remove the word
``mandatory'' which may be misleading because neither reasonable cause
nor pre-employment alcohol testing are mandatory for railroads in part
219. However, a regulated employee (or applicant for regulated service)
who refuses a reasonable cause test or a pre-employment alcohol test
conducted under FRA authority has always been subject to the
consequences for unlawful refusals found in this section.
Paragraph (b)
Currently, paragraph (b) requires a railroad, prior to withdrawing
an employee from covered service, to provide notice to that employee
both of the reason for his or her withdrawal and of the procedures
available to the employee under Sec. 219.104(c) to request a hearing.
FRA proposes to amend this paragraph to clarify that this notice must
be in writing. A railroad may provide an employee with an initial
verbal notice, but must follow this up as soon as practicable with an
official written notice.
Paragraph (c)
Currently, paragraph (c) generally provides that a railroad with
notice of an employee's withdrawal from covered service may not
authorize or permit the employee to perform such service on its behalf.
FRA would revise this paragraph to clarify that this withdrawal
provision applies ``only'' to an employee's performance of regulated
service, and not to the employee's performance of non-regulated
service. FRA would also add an additional sentence clarifying that
during the period of withdrawal, a railroad with notice of the
withdrawal may not authorize or permit the employee to perform any
regulated service on its behalf.
Paragraph (e)
Currently, paragraph (e) states that upon expiration of a mandatory
nine month withdrawal period, an employee may return to covered service
only under the conditions specified in Sec. 219.104(d) and must be
subject to follow-up testing as provided by that section. Because Sec.
219.104(d) also requires return-to-duty testing, FRA proposes to amend
paragraph (e) to clarify that the employee must also be subject return-
to-duty testing. This proposed amendment is not intended to
substantively change the existing requirement, only to clarify that
Sec. 219.104(d) requires both return-to-duty and follow-up testing.
Subpart C--Post-Accident Toxicological Testing
Section 219.201--Events for Which Testing is Required.
Paragraph (a)
Currently, this section defines the types of accidents or incidents
for which PAT testing is required and states that a railroad must make
a good faith determination as to whether an event meets the criteria
for PAT testing. Specifically, existing paragraph (a) requires a
railroad to conduct PAT testing after the following qualifying events:
(1) major train accidents; (2) impact accidents; (3) fatal train
incidents; and (4) passenger train accidents. FRA is proposing both to
amend the criteria defining some of these qualifying events and to
create a new qualifying event requiring PAT
[[Page 43854]]
testing, ``Human-Factor Highway-rail Grade Crossing Accident/
Incident.''
Major Train Accidents
Paragraph (a)(1) defines a ``major train accident'' as any train
accident meeting the part 225 reporting threshold that involves either:
(1) a fatality; (2) a hazardous material release accompanied by either
an evacuation or a reportable injury caused by the release; or (3)
damage to railroad property of $1,000,000 or more. (As discussed in the
section-by-section analysis for Sec. 219.5, FRA is proposing a new
part 219 definition for ``evacuation,'' to clarify the meaning of that
term as used in the definition of ``major train accident.'') FRA is
proposing two substantive amendments to the criteria for a major train
accident.
First, FRA would clarify that the fatality in a major train
accident can be ``to any person,'' regardless of whether the person is
an employee of the railroad. For example, a train accident meeting the
reporting threshold would qualify as a major train accident requiring
PAT testing if it resulted in a fatality to an uninvolved bystander
near the track.
Second, and as discussed in Section V.D of this preamble, FRA would
increase the property damage threshold for major train accidents from
$1,000,000 to $1,500,000. On November 19, 2008, the Association of
American Railroads (AAR) petitioned FRA to increase the damage
threshold for major train accidents to $1,500,000 and the damage
threshold for impact accidents to $250,000.\16\ FRA last increased the
property damage thresholds for major train accidents and impact
accidents in January 1, 1995, when FRA increased the threshold for
major train accidents from $500,000 to $1,000,000, and the threshold
for impact accidents from $50,000 to $150,000. See 59 FR 7452, Feb. 15,
1994). In its petition, the AAR asserted that these thresholds needed
to be raised again to account for inflation since 1994. In calculating
its proposed thresholds, the AAR measured inflation both by the rail
cost recovery index and the Gross Domestic Product, assuming an annual
4 percent increase.
---------------------------------------------------------------------------
\16\ A copy of AAR's petition is available for review in the
public docket of this rulemaking (docket no. FRA-2009-0039).
---------------------------------------------------------------------------
FRA agrees with AAR that the property damage threshold for major
train accidents should be increased to $1,500,000 to account for
inflation, and is proposing to increase that threshold accordingly. FRA
utilized publically available price indices from the Bureau of Labor
Statistics for comparison and consistency: the Producer Price Index--
All Commodities \17\ and the Consumer Price Index--All Urban Consumers
Inflation Calculator,\18\ and also extrapolated an index for comparison
from part 225, Appendix B--Procedure for Determining Reporting
Threshold. FRA found that all three indices supported raising the major
accident threshold from $1,000,000 to $1,500,000.
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\17\ Bureau of Labor Statistics, Producer Price Index-
Commodities, available at http://data.bls.gov/cgi-bin/surveymost.
\18\ Bureau of Labor Statistics, Consumer Price Index, available
at http://www.bls.gov/CPI/.
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Impact accidents
As discussed above, AAR also asked FRA to increase its railroad
property damage threshold for impact accidents from $150,000 to
$250,000. After consideration, FRA has decided to maintain its current
impact accident threshold of $150,000. Doing so will allow inflation to
increase the number of events that qualify for PAT testing as impact
accidents, which involve human error more than other types of PAT
testing events. (For instance, impact accidents such as collisions
between trains are usually due to human error. In contrast, major train
accidents such as derailments are often due to track defects.)
Conducting PAT testing for more impact accidents will allow FRA to
identify a greater number of events involving human factor errors
caused or contributed to by the misuse of alcohol or drugs.
While FRA is proposing to amend the Sec. 219.5 definition of
``impact accident'' to remove the exceptions for raking collisions and
derailment collisions, as discussed above, FRA is not proposing any
amendments to the ``impact accident'' testing criteria found in this
section.
Fatal Train Incident
Currently, paragraph (a)(3) defines a ``fatal train incident'' as
any train incident that results in a fatality to an on-duty railroad
employee and that involves the operation of on-track equipment. FRA
proposes to clarify that to qualify as a fatal train incident, the
fatality must have occurred within 12 hours of the train incident,
although the deceased employee need not have been performing regulated
service at the time of the train incident. For example, the criteria
for a fatal train incident would be met if the operation of on-track
equipment involved a fatality to a mechanical employee, regardless of
whether the employee was performing regulated service at the time of
the train incident, so long as the fatality occurred within 12 hours of
the train incident's occurrence.
Passenger Train Accident
FRA is proposing to amend the definition of ``passenger train
accident'' in this paragraph to be more consistent with the rest of
this section. No substantive effects are intended.
Human-Factor Highway-Rail Grade Crossing Accident/Incident
Currently, Sec. 219.201(b) prohibits PAT testing after a
``collision between railroad rolling stock and a motor vehicle or other
highway conveyance at a rail/highway grade crossing,'' even if the
collision would otherwise qualify as a PAT testing event. As mentioned
in section V.E of this preamble, FRA would narrow this exception by
creating a new qualifying event, ``Human-factor highway-rail grade
crossing accident/incident'' in paragraph (a)(5), which would specify
when PAT testing would be required after a qualifying human-factor
highway-rail grade crossing accident/incident. (In Sec. 219.203 below,
FRA discusses who would be subject to PAT testing after a qualifying
human-factor highway-rail grade crossing accident/incident.)
This proposal is based in part on NTSB Recommendation R-01-17, in
which the NTSB recommended that FRA narrow its exception for highway-
rail grade crossing accidents to require PAT testing of any railroad
signal, maintenance, or other employee whose actions at or near a grade
crossing may have contributed to the cause or severity of a highway-
rail grade crossing accident. The NTSB based this recommendation on its
investigation of a 1999 highway-rail grade crossing accident at McLean,
Illinois, in which an Amtrak train collided with an automobile, killing
both the automobile driver and a passenger. The NTSB found that the
automobile driver had no warning that a train was approaching, since
the flashing lights and gates at the crossing had failed to activate.
The NTSB concluded that the probable cause of this activation failure
was a signal maintainer who, after taking the crossing equipment out of
service for maintenance, had made repairs and then left without
restoring the equipment back to operating status. Although the
maintainer was directly responsible for the signal and gate failure, he
was not subject to PAT testing because of the grade crossing control
exception. See NTSB, Railroad Accident Report: Collision of Amtrak
Train 304-26 with a Highway Vehicle at a Highway-Rail Grade Crossing
McLean, Illinois September 26, 1999, NTSB/
[[Page 43855]]
RAR-01/03, PB2001-916303, Sep. 18, 2001, at v, available at http://www.ntsb.gov/doclib/reports/2001/RAR0103.pdf. Since the 1999 McLean
collision, FRA has investigated other highway-rail grade crossing
accidents in which the actions of railroad employees and contractors
may have played a role. See FRA, Accident Investigation Report, HQ-
2005-106, at 4 (available at http://www.fra.dot.gov/eLib/Find#p1_z5_lAC_kHQ-2005-106) and Accident Investigation Report, HQ-2006-12, at 4
(available at http://www.fra.dot.gov/eLib/Find#p1_z5_lAC_kHQ-2006-12).
FRA's proposed new qualifying event termed ``human-factor highway-
rail grade crossing accident/incident'' would be in new paragraph
(a)(5). Under proposed paragraph (a)(5)(i), PAT testing would be
required after a highway-rail grade crossing accident/incident whenever
a regulated employee interfered with the normal functioning of a grade
crossing signal system, in testing or otherwise, without first
providing for the safety of highway traffic that depends on the normal
functioning of such a system. Because this language is adapted from the
prohibition against such interference contained in FRA's grade crossing
regulation (see 49 CFR 234.209), a grade crossing accident/incident
involving a Sec. 234.209 violation would qualify as a human-factor
highway-rail grade crossing accident/incident for PAT testing.\19\ See
FRA's Signal & Train Control Compliance Manual for additional guidance
on the meaning of interference.\20\
---------------------------------------------------------------------------
\19\ Section 234.209(b) states that ``interference'' includes
(but is not limited to): (1) trains, locomotives or other railroad
equipment standing within the system's approach circuit, other than
normal train movements or switching operations, where the warning
system is not designed to accommodate those activities; and (2) not
providing alternative methods of maintaining safety for the highway
user while testing or performing work on the warning systems or on
track and other railroad systems or structures which may affect the
integrity of the warning system.
\20\ According to the Signal & Train Control Compliance Manual,
``Interference is any condition that circumvents, hinders, impedes,
or diminishes whatsoever the intended warning of a system, and may
be accomplished by installing, repairing, replacing, operating, or
manipulating a warning system component used in detecting the
presence of or of displaying warning of a train, or indicating the
operation of the warning system. There is no difference between
accidental or intentional interference with respect to the
enforcement of this [rule].'' FRA, Signal & Train Control Compliance
Manual: Part 234--Grade Crossing Signal System Safety, at 234-24,
available at http://www.fra.dot.gov/eLib/Find#p1_z10_lCM_kSignal%20and%20Train%20Control.
---------------------------------------------------------------------------
Under proposed paragraphs (a)(5)(ii) and (a)(5)(iii), PAT testing
after a highway-rail grade crossing accident/incident would be required
if the event involved violations of the flagging duties found in FRA's
grade crossing regulations. See 49 CFR 234.105(c)(3)-(c)(2), 234.106,
and 234.107(c)(1)(i). The sections referenced in these paragraphs
permit trains to operate through malfunctioning grade crossings if an
appropriately equipped flagger, law enforcement officer, or crewmember
provides warning for each direction of highway traffic. For example,
when a false activation occurs, Sec. 234.107(c)(1)(i) requires
flagging by an appropriately equipped flagger if one is available.
Under proposed paragraphs (a)(5)(ii) and (a)(5)(iii), an employee who
failed to comply with this flagging requirement would be subject to PAT
testing if a highway-rail grade crossing accident/incident then
occurred. Under paragraph (a)(5)(iv), FRA would further narrow its
exclusion for highway-rail grade crossing accident/incidents by
requiring PAT testing if a fatality of a regulated employee performing
duties for the railroad was involved. As with fatal train incidents, a
deceased regulated employee would be subject to PAT regardless of
whether the employee was at fault. For example, a regulated employee
would be subject to PAT testing if the employee died while operating an
on-rail truck that collided with a motor vehicle at a highway-rail
grade crossing, regardless of who was at fault for the collision.
Similarly, paragraph (a)(5)(v) would require PAT testing if a
highway-rail grade crossing accident/incident involved a regulated
employee whose violation of an FRA regulation or railroad operating
rule may have played a role in the cause or severity of the accident/
incident. While proposed paragraphs (a)(5)(i)-(iv) of this section
would specify the circumstances under which PAT testing would be
required for highway-rail grade crossing accidents/incidents involving
human-factor errors, paragraph (a)(5)(v) would serve as a catch-all
provision to require PAT testing for highway-rail grade crossing
accidents/incidents that involve human-factor errors other than those
specified in paragraphs (a)(5)(i)-(iv).
Paragraph (b)
Currently, paragraph (b) provides that no PAT testing ``may be
required in the case of a collision between railroad rolling stock and
a motor vehicle or other highway conveyance at a rail/highway grade
crossing.'' FRA would make conforming changes to this paragraph to
allow PAT testing for human-factor highway-rail grade crossing
accident/incidents.
Section 219.203--Responsibilities of Railroads and Employees
Currently, this section sets forth general requirements for both
railroads and employees regarding PAT testing, by specifying which
employees must be tested, when employees must be excluded from PAT
testing, and the time and place of specimen collections. As discussed
further below, FRA is proposing substantive amendments to this section
to specify which employees must be tested in human-factor highway-rail
grade crossing accidents/incidents. Structural revisions are also being
proposed to increase the clarity and organization of this section.
Paragraph (a)--Employees Tested
Currently, paragraph (a) contains requirements regarding which
employees must be tested after the various qualifying events. FRA is
proposing to: (1) Reorganize and clarify this paragraph; and (2) add
new language specifying which employees must be tested after a human-
factor highway-rail grade crossing accident/incident.
Paragraph (a), Introductory Text
FRA would add introductory text in paragraph (a) stating that
regulated employees must cooperate with the collection of PAT testing
specimens. This existing requirement is currently found in the final
sentence of paragraph (a)(1)(i).
Paragraph (a)(1)
Proposed paragraph (a)(1) would state that a regulated employee
whose actions may have played a role in the cause or severity of a PAT
testing qualifying event (e.g., an operator, dispatcher, or signal
maintainer) must provide blood and urine samples for PAT testing,
regardless of whether the employee was present or on-duty at the time
or location of the qualifying event. This language is generally
consistent with the existing language of this section except that as
proposed, regulated employees who may not have been on-duty or present
at the time of a qualifying event are subject to PAT testing. This
difference reflects the proposed change to FRA's PAT testing recall
provisions, discussed in the section-by-section analysis below for
paragraph (e) of this section.
Paragraph (a)(2)
Proposed paragraph (a)(2) would specify that testing of the remains
of an on-duty employee fatally injured in a qualifying event is
required if the employee dies within 12 hours of the qualifying event
as a result of such
[[Page 43856]]
qualifying event, regardless of whether the employee was performing
regulated service, was at fault, or was a direct employee of a
railroad, or a volunteer or contractor to a railroad. Part 219 already
requires such fatality testing. See Sec. Sec. 219.11(f) and
219.203(a)(4)(ii).
Paragraph (a)(3)
Proposed paragraph (a)(3) would contain requirements specifying
which regulated employees must be tested for major train accidents.
Paragraph (a)(3)(i) would clarify that all crew members of on-track
equipment involved in a major train accident must be PAT tested,
regardless of fault. This requirement already applies to all crew
members of trains involved in a major train accident. See Sec.
219.203(a)(3). Paragraph (a)(3)(ii) would require a regulated employee
who is not an assigned crew member of an involved train or other on-
track equipment to be PAT tested, if it can be immediately determined
that the regulated employee may have played a role in the cause or
severity of the major train accident.
Paragraph (a)(4)
Proposed paragraph (a)(4), which applies specifically to fatal
train incidents, would state that the remains of an on-duty employee
performing duties for a railroad who is fatally injured during the
event must be tested, regardless of whether he or she was performing
regulated service, was at fault, or was an employee or volunteer for a
railroad or contractor to a railroad.
Paragraph (a)(5)
Proposed new paragraph (a)(5) would contain new language specifying
which regulated employees must be PAT tested following human-factor
highway-rail grade crossing accidents/incidents. Proposed paragraph
(a)(5)(i) would clarify that under proposed Sec. 219.201(a)(5)(i),
only regulated employees who interfered with the normal functioning of
a grade crossing signal system and whose actions may have contributed
to the cause or severity of the event must be PAT tested. Proposed
paragraphs (a)(5)(ii) and (a)(5)(iii) would clarify the testing
requirements for human-factor highway-rail grade crossing accidents/
incidents under proposed Sec. 219.201(a)(5)(ii) and (iii). These
paragraphs specify that in the event of a grade crossing activation
failure, PAT testing would be required if a regulated employee
responsible for flagging (either flagging highway traffic or acting as
an appropriately equipped flagger as defined in Sec. 234.5), or an on-
site regulated employee directly responsible for ensuring flagging,
either fails to do so, or contributes to the cause or severity of the
accident/incident.
Proposed paragraph (a)(5)(iv) would clarify that, for human-factor
highway-rail grade crossing accidents/incidents under Sec.
219.201(a)(5)(iv), the remains of the fatally-injured regulated
employee(s) (as defined in Sec. 219.5) must be tested.
Proposed paragraph (a)(5)(v) would clarify that, for human-factor
highway-rail grade crossing accidents/incidents under Sec.
219.201(a)(5)(v), only a regulated employee who violated an FRA
regulation or railroad operating rule and whose actions may have
contributed to the cause or severity of the event must be tested.
Paragraph (a)(6)
Proposed paragraph (a)(6) would reword the requirement currently in
Sec. 219.203(a)(3), which states that a railroad must exclude from PAT
testing an employee involved in an impact accident or passenger train
accident with injury, or a surviving employee involved in a fatal train
incident, if the railroad immediately determines that the employee had
no role in the cause or severity of the event. In making this
determination, a railroad must consider the same immediately available
information it considers in determining whether an event qualifies for
PAT testing under Sec. 219.201. Proposed paragraph (a)(6) would
similarly exclude an employee who survives a human-factor highway-rail
grade crossing accident/incident. In contrast, proposed paragraphs
(a)(6)(i) and (a)(6)(ii) would clarify that a regulated employee who
has been involved in a major train accident or any employee who has
been fatally injured in a qualifying event while on-duty must be
subject to PAT testing.
Paragraph (b)--Railroad Responsibility
Proposed paragraph (b)(1) would incorporate an amended version of
language currently contained in paragraph (a)(1)(i), under which a
railroad must take all practicable steps to ensure that each regulated
employee who is subject to PAT testing provides specimens as required,
including a regulated employee who may not have been present or on-duty
at the time of the PAT testing event, but who may have played a role in
its cause or severity. Including such regulated employees who may not
have been present or on-duty at the time of the qualifying event
reflects a proposed change to FRA's PAT testing recall provisions, as
discussed below in paragraph (e) of this section.
Paragraph (b)(3) would state that FRA PAT testing takes precedence
over any toxicological testing conducted by state or local law
enforcement officials. This would not be a new requirement, since it
incorporates FRA guidance that testing performed by local law
enforcement must not interfere with FRA PAT testing. See Interpretive
Guidance Manual at 20.
Paragraph (c)--Alcohol Testing
Paragraph (c) would contain language currently found in paragraph
(a)(1)(ii), which allows a railroad to require a regulated employee who
is subject to PAT testing to also be subject to additional PAT breath
alcohol testing. A railroad may not, however, conduct breath alcohol
testing on an employee who has been recalled for PAT testing unless the
employee is still on and has never left railroad property. If an
employee has been recalled after having left railroad property, the
employee's breath test result would have no probative value, since a
``positive'' breath alcohol test result could be due to legitimate
alcohol use that occurred after the employee went off-duty and left
railroad property. Paragraph (e)(4) below also addresses employee
recall.
Paragraph (d)--Timely Specimen Collection
A new paragraph (d)(1) would combine two requirements currently
found elsewhere in this subpart: (1) The requirement in existing
paragraph (b)(1) of this section that railroads make ``every reasonable
effort to assure that specimens are provided as soon as possible after
the accident or incident,'' and (2) the requirement in current Sec.
219.209(c) stating that if specimens are not collected within 4 hours
of the qualifying event, the railroad must prepare and maintain a
record stating the reasons the test was not promptly administered.
(Specimens not collected within 4 hours should still be collected as
soon thereafter as possible, in accordance with Sec. 219.203(b)(1).)
FRA is also proposing to require a railroad to notify FRA's Drug
and Alcohol Program Manager immediately by phone whenever a specimen
collection takes longer than four hours. In addition, Sec. 219.209(c)
currently requires a railroad to prepare a written explanation of any
delay in specimen collection beyond four hours, but does not require
the railroad to submit that report unless requested to do so by FRA.
FRA is proposing to amend this provision to require railroads to submit
these written reports within 30 days after expiration of the month
during which the qualifying event occurred. FRA is also proposing to
move the language currently in paragraphs (b)(2),
[[Page 43857]]
(b)(3), and (b)(4) (pertaining to written delay reports) to proposed
paragraphs (d)(2), (d)(3), and (d)(4), respectively. Proposed paragraph
(d)(4), however, would no longer contain any requirements concerning
the recall of employees for testing because FRA is proposing to move
these employee recall requirements to proposed paragraph (e), as
discussed immediately below.
Paragraph (e)--Employee Recall
Currently, paragraph (b)(4) of this section addresses employee
recall for the purpose of PAT testing. Generally, that paragraph
provides that a railroad must retain in duty status any covered
employees who may be subject to PAT testing until a railroad
representative determines whether an event qualifies for PAT testing
and, if it does qualify, who must be PAT tested (see Sec. 219.201).
Furthermore, that paragraph also currently provides that an employee
may not be recalled for PAT testing if the employee has been released
from duty under normal procedures, except for in very narrow
circumstances (i.e., a railroad may recall an employee for testing
after he or she has been released from duty only if: (1) The employee
went off duty under the normal procedures of the railroad prior to
being instructed by a railroad supervisor to remain on duty pending
completion of the required determinations; (2) the railroad's
preliminary investigation indicates a clear probability that the
employee played a major role in the cause and/or severity of the
qualifying event; and (3) the qualifying event actually occurred during
the employee's tour of duty. Currently, however, a railroad is not
required to recall a covered employee for PAT testing, even if these
conditions have been met. Existing paragraph (b)(4) also provides that
an employee who has been transported to receive medical care is not
off-duty for purposes of PAT testing.
In addition to moving these recall provisions into new paragraph
(e), as discussed earlier, FRA is proposing to require employees to be
recalled for PAT testing in certain situations. Employee recall would
be required in these situations even if the qualifying event did not
occur during the employee's duty tour. To further consolidate these
provisions, FRA would move to paragraph (e)(1) language currently in
paragraph (b)(4)(iii), which states that an employee who has been
transported to receive medical care has not been released from duty for
purposes of PAT testing and that a railroad is not prohibited from
testing an employee who has failed to remain available for PAT testing
as required. Proposed paragraph (e)(1) would also generally prohibit a
railroad from recalling an employee for PAT testing if the employee has
already been released from duty under the normal procedures of the
railroad, unless the conditions in proposed paragraph (e)(2) have been
met.
Proposed paragraph (e)(2) would mandate employee recall for PAT
testing if two of the three requirements in existing paragraph (b)(4)
are met. As proposed, an employee would have to be immediately recalled
and placed on duty for PAT testing if: (1) The railroad could not
retain the employee in duty status because he or she went off duty
under normal carrier procedures before being instructed to remain on
duty pending the testing determination; and (2) the railroad's
preliminary investigation indicated a clear probability that the
employee played a role in the cause or severity of the accident/
incident. As proposed, the current requirement for the qualifying event
to have occurred during the employee's duty tour would be removed.
Proposed paragraph (e)(3) would require an employee to be recalled
regardless of whether the qualifying event occurred while the employee
was on duty, except that an employee could not be recalled if more than
24 hours has passed since the event. This paragraph would also clarify
that an employee who has been recalled for PAT testing must be placed
on duty before he or she is PAT tested.
Proposed paragraph (e)(4) would specify that both urine and blood
specimens must be collected from an employee who is recalled for PAT
testing. For the reasons discussed earlier in paragraph (c) of this
section, if an employee left railroad property before being recalled,
the employee's specimens could be tested for drugs only. A recalled
employee may be tested for alcohol, however, if he or she stayed on
railroad property and the railroad's company policy completely
prohibits the use of alcohol on railroad property.
Proposed paragraph (e)(5) would require a railroad to document its
attempts to contact an employee who must be recalled for PAT testing.
As proposed, the railroad must also notify FRA and provide
documentation in accordance with the requirements of paragraph (d)(1)
if it is unable to contact and obtain a specimen from an employee
subject to the mandatory recall requirement within 24 hours of a
qualifying event. In the narrative report that the railroad submits to
FRA, the railroad must show that it made a good faith effort to contact
the employee, recall the employee, place the employee on duty, and
obtain specimens from the employee.
For illustrative purposes, under these proposed recall provisions,
a railroad would be required to recall a dispatcher whose actions had
played a role in the cause of a qualifying event, even if the
dispatcher went off duty before the event occurred. While the
dispatcher would have to be recalled as soon as the determination to
test is made (and no later than within 24 hours of the qualifying
event), the dispatcher could not be alcohol tested unless he or she had
remained on railroad property and the railroad's company policy
completely prohibits the use of alcohol on railroad property. As
another example, if a switch crew had left a switch improperly lined or
a yard crew had failed to apply sufficient hand brakes to a cut of cars
that rolled away, the crew would have to be recalled for PAT testing
even if they had gone off-duty, so long as the additional requirements
of proposed paragraph (e)(2) had been met.
Paragraph (f)--Place of Specimen Collection
As part of the proposed reorganization of this section, FRA is
proposing to move the provisions contained in current paragraph (c)
regarding the place of specimen collection to new paragraph (f).
Currently, paragraph (c) requires an employee who is subject to PAT
testing to be transported to a pre-designated independent medical
facility for collection of PAT testing specimen(s). In proposed
paragraph (f), FRA would clarify that this requirement applies only to
the collection of urine and blood specimens, since optional PAT breath
alcohol tests do not have to be conducted at an independent medical
facility. (Proposed Sec. 219.203(c) authorizes a railroad to conduct
Federal breath alcohol testing in accordance with part 40 following a
qualifying event, so long as the testing does not interfere with the
timely collection of required specimens in compliance with part 219.)
Although FRA believes that as a best practice railroads should pre-
designate medical facilities for PAT testing as much as practicable,
FRA is proposing to remove this requirement because of several
impractical burdens it poses. For example, an emergency responder may
take an injured employee to a non-designated medical facility, and the
prompt treatment of injured employees must take precedence over any
railroad pre-designation. Furthermore, even if a railroad pre-
designates a medical
[[Page 43858]]
facility, the medical facility and its employees may not be aware of or
honor this designation.
FRA is also proposing to clarify in paragraph (f)(1) that a
phlebotomist (a certified technician trained and qualified to draw
blood in accordance with state requirements) is a ``qualified medical
professional'' who may draw blood specimens for PAT testing. (For PAT
testing purposes, a qualified medical professional does not need to be
qualified under the requirements of part 40, since part 40 does not
apply to FRA PAT testing.) FRA would also clarify that a qualified
railroad or hospital contracted collector may collect or assist in the
collection of specimens, so long as the medical facility has no
objections.
Proposed paragraph (f)(2) would clarify that employees who are
subject to performing regulated service are deemed to have consented to
PAT testing under Sec. 219.11(a), as employees who perform covered
service already are. FRA would also allow urine to be collected from an
injured regulated employee who has already been catheterized for
medical purposes, regardless of whether the employee is conscious,
although a regulated employee could not be catheterized solely for the
purpose of collecting a PAT urine specimen. Although this language was
previously contained in part 219, it was removed when part 40 addressed
the issue (under part 40, urine may be collected from a person
catheterized for medical purposes only if that person is conscious).
This proposal would allow urine to be collected from an unconscious
catheterized employee only for PAT testing, since FRA PAT testing is
not subject to part 40's prohibition against collecting urine from an
unconscious person. This proposed change would not, however, apply to
other FRA tests that are subject to the requirements of part 40, such
as reasonable cause or random testing.
Paragraph (g)--Obtaining Cooperation of Facility
FRA proposes to move the provisions regarding the obtaining of a
medical facility's cooperation for PAT testing, currently contained in
paragraph (d), to a new paragraph (g). Proposed paragraph (g)(1) would
require railroads to refer to the instructions and information in FRA's
PAT testing shipping kit and the requirements of subpart C when seeking
the cooperation of a medical facility. FRA is also proposing to amend
this paragraph by removing one of the two phone numbers given for the
National Response Center (NRC), 1-800-424-8801, as this phone number no
longer belongs to the NRC.
Paragraph (h)--Discretion of Physician
As part of its reorganization of this section, FRA would move the
statement that nothing in this subpart limits a medical professional's
discretion to determine whether drawing a blood specimen is consistent
with the health of an employee subject to PAT testing from its current
location in paragraph (e) to new paragraph (h). FRA is proposing no
substantive amendments to this language.
Section 219.205--Specimen Collection and Handling
This section contains requirements regarding the collection and
handling of specimens collected for PAT testing. Generally, specimens
must be collected using an FRA PAT testing shipping kit and Form FRA
6180.73 and must be shipped to FRA's designated laboratory within
certain time limitations.
Paragraph (a)
Currently, paragraph (a) provides that PAT testing specimens must
be ``obtained, marked, preserved, handled, and made available to FRA
consistent with the requirements of this subpart, and the technical
specifications set forth in Appendix C to this part.'' FRA is proposing
to amend this language to add that specimens must also be collected
according to the instructions in the PAT shipping kit.
Paragraph (b)
FRA would remove language in paragraph (b) stating that Forms
6180.73 and 6180.74 may be ``ordered from the laboratory specified in
Appendix B [to part 219].'' This language is no longer necessary
because FRA now includes Forms 6180.73 and 6180.74 in its standard PAT
shipping kits, and Form 6180.75 in its fatality kits.
Paragraph (c)
In paragraph (c)(1), FRA proposes to delete the phrase ``whenever
possible'' to emphasize that railroads are always required to follow
the instructions in the shipping kit and Appendix C when placing PAT
testing specimens in the shipping kit and preparing them for shipment.
Currently, paragraph (c)(2) states that shipping kits may be
ordered directly from the FRA-designated laboratory. FRA is proposing
to amend this language to require that a railroad request an order form
from FRA's Drug and Alcohol Program Manager before ordering a PAT
shipping kit from its designated PAT laboratory. In addition, FRA would
clarify that fatality shipping kits are being made available only to
Class I, Class II, and commuter railroads to conserve resources. In the
rare instance where a small railroad has a PAT testing event involving
a fatality to an on-duty employee, the small railroad should contact
the National Railroad Response Center. FRA will then provide a fatality
kit to a medical examiner or assist the small railroad in obtaining one
from a larger railroad.
FRA is also proposing to remove paragraph (c)(3), which states that
a limited number of shipping kits are available at FRA's field offices,
since FRA field offices no longer have these kits.
Paragraph (d)
Currently, paragraph (d) requires specimens to be shipped as soon
as possible by pre-paid ``air express or air freight (or other means
adequate to ensure delivery within twenty-four (24) hours from time of
shipment).'' FRA proposes to remove the language regarding ``air
freight'' shipments so that specimens must be shipped by air express or
other adequate means. FRA also proposes to allow railroads greater
flexibility by allowing them to hold specimens in a secure refrigerator
if delivery cannot be ensured within 24 hours due to a suspension in
delivery services. As proposed, a secure refrigerator could be used to
hold specimens for a maximum of 72 hours, since FRA believes this is
ample time for a railroad to ensure shipment of specimens through
alternative means.
Paragraph (e)
To ensure greater specimen security, FRA proposes to add new
paragraph (e) to this section, which would prohibit a specimen kit or a
transportation box from being opened after it has been sealed, even if
a railroad or medical facility discovers that an error had been made
either with the specimens or the chain of custody form. If such an
error is discovered, the railroad or medical facility must make a
contemporaneous written record of it and send that record to the
laboratory, preferably with the transportation box.
Section 219.207--Fatality
FRA is proposing several minor clarifying amendments to this
section, which contains requirements specifically addressing fatality
PAT testing. None of these amendments are intended to have a
substantive effect on the requirements of this section.
For fatalities, existing paragraph (a) requires railroads to obtain
``body fluid and/or tissue specimens.'' FRA is
[[Page 43859]]
proposing to amend this language to replace ``and/or'' with ``and,'' as
FRA has always expected railroads to collect both body fluid and tissue
specimens. (FRA is proposing a similar clarification to paragraph (c)).
In addition, FRA would clarify that the shipping kit referenced in this
paragraph is the ``post-mortem shipping kit.''
In paragraph (b), FRA is proposing to remove one of the two phone
numbers given for the National Response Center (NRC), 1-800-424-8801,
since this phone number is no longer correct.
Paragraph (d) currently states that ``Appendix C to this part
specifies body fluid and tissue specimens for toxicological analysis in
the case of a fatality.'' FRA is proposing to clarify that this
information can also be found in the ``instructions included inside the
shipping kits.''
Section 219.209--Reports of Tests and Refusals
Currently, paragraph (a)(2)(v) of this section requires railroads
reporting tests and refusals to include the number, names, and
occupations of tested employees. To protect privacy interests and
reduce reporting burdens, FRA is proposing to require railroads to
report only the number of employees tested.
Existing paragraph (b) requires a railroad to provide FRA a
``concise narrative report'' if, as a result of non-cooperation of an
employee or any other reason, it is unable to obtain PAT testing
specimens from an employee subject to PAT testing. As proposed, FRA
would require the railroad to immediately notify FRA's Drug and Alcohol
Program Manager by phone of the failure, in addition to the current
requirement for a written, narrative report. If a railroad
representative is not able to speak directly to the FRA Drug and
Alcohol Program Manager, the railroad must leave a detailed voicemail
explaining the circumstances and reasons for the failure. This
telephonic report would assist both railroads and FRA in determining
whether an employee has refused to be tested.
Currently, paragraph (c) requires railroads to maintain records
explaining why PAT testing was not performed within four hours of a
qualifying event. FRA is proposing to delete this requirement from
Sec. 219.209 because it is already addressed in proposed Sec.
219.203(d)(1), as discussed above in the section-by-section analysis
for that section.
Section 219.211--Analysis and Follow-Up
Since part 40 does not apply to FRA PAT testing, FRA is proposing
to amend paragraph (b) of this section to incorporate part 40's
prohibition on standing down (temporarily removing from service) an
employee solely based upon a laboratory report indicating a non-
negative test result, before the MRO has completed verification of this
test result. See Sec. 40.21(a). As proposed, an employee could be
removed from regulated service only after an MRO has verified that the
employee has had a confirmed positive test for a drug or drug
metabolite, an adulterated test, or a substituted test.
Paragraph (c) would be amended to provide the address of the FRA
Associate Administrator for Railroad Safety.
Paragraph (e) would be amended to replace ``Alcohol/Drug Program
Manager'' with ``Drug and Alcohol Program Manager'' for consistency
throughout part 219. FRA would also amend this paragraph to permit
employees to respond to test results more easily through email.
Currently, paragraph (g)(3) provides that FRA's PAT testing program
does not authorize railroads to hold an employee out of service pending
the receipt of the test results, ``nor does it restrict a railroad from
taking such action in an appropriate case.'' FRA would clarify that a
railroad must have additional information regarding an employee's
actions or inaction, independent of the mere fact that he or she was
involved in a qualifying event, to justify holding him or her out of
service under its own authority. As with the proposed stand-down
provision in paragraph (b) regarding laboratory reports, FRA seeks to
clarify that an employee's involvement in a PAT testing event is not in
itself a basis for holding the employee out of regulated service.
Section 219.213--Unlawful Refusals; Consequences
Currently, paragraph (b) requires a railroad to provide notice to
an employee who is being withdrawn from service under part 219 for
refusing to provide a specimen for PAT testing. FRA is proposing to
amend this paragraph to clarify that this notice must be in writing.
Subpart D--Reasonable Suspicion Testing
Currently, the requirements for both reasonable suspicion testing
and reasonable cause testing are contained in Subpart D--Testing for
Cause. Because these types of tests are similarly named, reasonable
suspicion testing is frequently confused with reasonable cause testing
even though their criteria are completely different, and reasonable
suspicion testing is mandatory while reasonable cause testing is
discretionary. To highlight the distinctions between these two types of
tests, FRA is proposing to separate its reasonable suspicion and
reasonable cause testing requirements into two subparts. While subpart
D would continue to contain FRA's requirements for reasonable suspicion
testing, FRA's reasonable cause testing requirements would be moved to
proposed subpart E. (The Identification of Troubled Employees
requirements currently in subpart E would be moved to new subpart K,
which would address Peer Prevention Programs.)
Section 219.301--Mandatory Reasonable Suspicion Testing
This section would contain general provisions requiring railroads
to conduct reasonable suspicion testing. The language in paragraph (a),
which addresses reasonable suspicion alcohol tests, and paragraph (b),
which addresses reasonable suspicion drug tests, would be generally
consistent with the existing requirements in Sec. 219.300, but FRA is
proposing new language in paragraph (a) to clarify that a reasonable
suspicion alcohol test is not required to confirm an on-duty employee's
possession of alcohol.
Paragraph (c) would require all reasonable suspicion tests to
comply with the requirements of proposed Sec. 219.303 (which is
generally consistent with existing requirements found in Sec.
219.300(b) and is discussed in more detail below).
Paragraph (d) would reference the provision in proposed Sec.
219.11(b)(2) stating that in a case where an employee is suffering a
substantiated medical emergency and is subject to alcohol or drug
testing under part 219, necessary medical treatment must be accorded
priority over provision of the breath or body fluid specimens. This
replaces similar language currently found in Sec. 219.300(c), which
states that reasonable suspicion testing is not required when a
regulated employee is in need of immediate medical attention. However,
FRA proposes to add new language in proposed Sec. 219.305 clarifying
that reasonable suspicion testing is still required if the employee's
condition stabilizes within eight hours.
Section 219.303--Reasonable Suspicion Observations
This section would contain the requirements for reasonable
suspicion observations currently in Sec. 219.300(b).
[[Page 43860]]
Paragraph (a)
The language in paragraph (a), which addresses the observations
required for alcohol tests, and paragraph (b), which addresses the
observations required for drug tests, would be generally consistent
with the existing reasonable suspicion observation requirements in
Sec. 219.300(b), although additional language would be added to both
paragraphs to clarify that these observations must be made by a
``responsible railroad supervisor.''
Paragraph (b)
Additional language in paragraph (b) would clarify that although
two supervisors are required to make the required observations for
reasonable suspicion drug testing, only one of these supervisors must
to be on-site and trained in accordance with Sec. 219.11(g). This
incorporates long-standing FRA guidance, since two on-site trained
supervisors are rarely available. See Compliance Manual 11.3.3.3. The
supervisor who is trained and on-site is required to describe the signs
and symptoms that he or she observed to the off-site supervisor so that
the off-site supervisor can confirm that reasonable suspicion of drug
abuse exists. Because of privacy concerns, this communication between
supervisors may be made by telephone, but not by radio or email.
Paragraph (c)
FRA is proposing new language in paragraph (c). Under this new
language, a regulated employee who has had an FRA reasonable suspicion
test may not be held out of service pending receipt of the employee's
test result, although a railroad may hold the employee out of service
under its own authority if the railroad has an independent basis for
doing so. For example, a railroad may remove a regulated employee from
service if the employee is exhibiting signs of drunken behavior,
regardless of whether Federal reasonable suspicion testing was
performed.
Paragraph (d)
Paragraph (d) would contain new language requiring railroads to
document and maintain the basis for each determination to conduct a
reasonable suspicion test (e.g., the determining supervisor(s)'s
observations of the employee's signs and symptoms). The trained
supervisor who made the determination should complete this
documentation as soon as practicable. This proposal would incorporate
FRA's long-standing guidance and interpretation regarding this
requirement. See id.
Section 219.305--Prompt Specimen Collection; Time Limits
This section would contain provisions regarding the prompt
collection of specimens for reasonable suspicion testing. These
requirements are currently found in Sec. 219.300(d)(1) and Sec.
219.302(a), (c), and (e).
Paragraph (a)
Proposed paragraph (a) would contain language currently in Sec.
219.302(a), which specifies that, consistent with the need to protect
life and property, testing must be promptly conducted following the
observations upon which the reasonable suspicion testing determination
is based.
Paragraph (b)
Paragraph (b) would state that whenever a railroad cannot collect
reasonable suspicion testing specimens within two hours of the
determination to test, the railroad must prepare and maintain a record
explaining the reasons for the delay. If, however, a railroad has not
collected reasonable suspicion testing specimens within eight hours of
its determination to test, the railroad must discontinue its collection
attempts and record why the test could not be conducted. Currently,
this requirement is found only in Sec. 219.300(d)(1) and applies only
to reasonable suspicion alcohol tests, but FRA is proposing to
specifically apply this requirement to reasonable suspicion drug tests
as well. The proposed requirement for a railroad to cease its attempts
to conduct a reasonable suspicion drug test if it has not done so
within eight hours of the railroad's determination to test would
supersede the current language in Sec. 219.302(b)(1) (which currently
addresses both reasonable suspicion and reasonable cause testing).
Consistent with existing language in Sec. 219.302(e), paragraph (b)
would specify that the eight-hour deadline has been met if the railroad
has delivered the employee to the collection site (where the collector
is present) and made a request to commence specimen collection.
Proposed paragraph (b) would also contain language similar to that
currently in Sec. 219.300(d)(1), under which reasonable suspicion
testing records required by that section must be submitted upon request
of the FRA Administrator. The amended requirement in paragraph (b)
would instead require these records to be submitted upon request of the
FRA Drug and Alcohol Program Manager.
Paragraph (c)
Paragraph (c) would incorporate, without change, language currently
found in Sec. 219.302(c), which addresses the reasonable suspicion
testing of employees who have been released from duty, who have been
transported to receive medical care, or who have failed to remain
available for testing.
Subpart E--Reasonable Cause Testing
As discussed above, FRA is proposing to move its reasonable cause
testing requirements from subpart D to subpart E to separate reasonable
suspicion and reasonable cause testing into distinct subparts. As
discussed further below, FRA is proposing the following substantive
amendments to its reasonable cause testing requirements: (1) Requiring
a railroad to select and perform all reasonable cause testing under
either FRA or company authority; (2) specifying that reasonable cause
testing is only authorized after ``train accidents'' and ``train
incidents,'' as defined in Sec. 219.5; and (3) adding new rule
violations or other errors related to railroad operating practices as a
basis for Federal reasonable cause testing.
Section 219.401--Authorization for Reasonable Cause Testing
This section would contain an amended version of the conditions for
FRA reasonable cause testing currently in Sec. 219.301. Under Sec.
219.301, a railroad currently has three options if the conditions for a
reasonable cause test outlined in the section have been met: (1)
Conducting a reasonable cause test under FRA authority; (2) conducting
a reasonable cause test under its own authority; or (3) choosing not to
conduct a reasonable cause test. A railroad does not have to announce
in advance or be consistent as to which option it chooses; thus, a
railroad may decide to conduct an FRA reasonable cause test for one
event, and a company reasonable cause test for the next, without any
explanation. This flexibility has, unfortunately, had the unintended
effect of creating confusion within the railroad industry. In some
instances, FRA believes it has led to arbitrary decision making by
railroads. For example, Federal reasonable cause testing is sometimes
performed in situations that don't meet one of the conditions specified
in current Sec. 219.301, but which would nevertheless qualify for
company reasonable cause testing.
In new paragraph (a), FRA is proposing to address these issues by
requiring each railroad to decide and announce (in the educational
materials the railroad would be required to
[[Page 43861]]
provide to its regulated employees under Sec. 219.23(e)(5)) whether it
will be exclusively using FRA or its own authority for reasonable cause
testing after Sec. 219.403 testing events. For example, under this
proposal, a railroad that announces it will be using FRA authority for
reasonable cause tests would then be prohibited from conducting
reasonable cause tests under its own authority. However, this
restriction would apply only to reasonable cause tests conducted after
an event listed in Sec. 219.403. A railroad may always use its own
authority to test for events that are outside of FRA's criteria for
reasonable cause testing.
Consistent with existing Sec. 219.301(a), proposed paragraph (b)
of this section would authorize railroads to conduct reasonable cause
testing under certain conditions. FRA is not proposing any substantive
changes to this general authorizing language, except to clarify that it
would apply only when a railroad conducts reasonable cause testing
under FRA authority.
Section 219.403--Requirements for Reasonable Cause Testing
This section would describe when FRA reasonable cause testing is
authorized. As briefly discussed earlier in Section V.H of this
preamble, FRA is proposing to specify that reasonable cause testing is
authorized only after ``train accidents'' and ``train incidents,'' as
defined in Sec. 219.5, and not after all part 225 reportable
``accidents/incidents.'' In addition, as briefly discussed earlier in
Section V.I of this preamble, FRA is proposing to authorize Federal
reasonable cause testing for additional rule violations or other errors
that reflect the expansion of part 219 to MOW workers, relate to signal
systems and highway-rail grade crossing warning systems, and reflect
recent amendments to 49 CFR part 218, Railroad Operating Practices.
Introductory Text
If a potential reasonable cause testing event occurs, FRA would
require a railroad to determine whether it has the authority to conduct
an FRA reasonable cause test before it can begin reasonable cause
testing process. As proposed, a railroad would have to make a threshold
determination about its authority before it can conduct a reasonable
cause test.
Paragraph (a)
Existing Sec. 219.301(b)(2) is currently titled ``Accident/
incident'' and authorizes reasonable cause testing following ``an
accident or incident reportable under part 225'' when ``a supervisory
employee of the railroad has a reasonable belief, based on specific,
articulable facts, that the employee's acts or omissions contributed to
the occurrence or severity of the accident or incident.'' FRA is
proposing to make this language paragraph (a) of this section and amend
it to clarify that reasonable cause testing is only authorized
following train accidents and train incidents, as defined in Sec.
219.5.
FRA believes the phrases ``accident/incident'' and ``accident or
incident reportable under part 225'' in existing Sec. 219.301(b)(2)
could imply that FRA reasonable cause testing is authorized after all
part 225 reportable accidents/incidents. This implication is
problematic because the term accident/incident, as defined in Sec.
225.5, includes many events that should not justify FRA reasonable
cause testing. Specifically, the term ``accident/incident'' includes
many employee injuries and illnesses that are designed to conform with
OSHA's recordkeeping/reporting requirements, but that do not
necessarily fall otherwise within FRA's railroad safety
jurisdiction.\21\ See Accident Reporting Guide at 1-2 (stating that
``FRA's accident/incident reporting regulations that concern railroad
occupational casualties should be maintained, to the extent
practicable, in general conformity with OSHA's recordkeeping and
reporting regulations'').
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\21\ Because FRA's employee injury and illness recordkeeping/
reporting requirements employ equivalent standards to those
promulgated by OSHA, OSHA permits railroads to record and report
employee injuries and illnesses only to FRA. Id. FRA then shares
this employee injury and illness data with OSHA. Id. at 2.
---------------------------------------------------------------------------
FRA audits have found some instances in which this confusing
language has led a railroad to conduct FRA reasonable cause testing
after all reportable injuries, regardless of whether or not a
reportable injury was connected with the movement of on-track
equipment. For example, FRA has encountered situations where railroads
were conducting FRA reasonable cause testing after slips, trips, and
falls resulting in a reportable injury, even if the railroad had
insufficient reason to believe that the employee's act or omission
contributed to the injury (which is also a violation of existing Sec.
219.301(b)(2)).
Furthermore, confusion about whether FRA reasonable cause testing
is authorized following all part 225 reportable accidents/incidents
could potentially create a situation where a railroad utilizes FRA
reasonable cause testing in a clearly inappropriate situation. For
example, the Sec. 225.5 definition of ``accident/incident'' includes
occupational illnesses, such as carpal tunnel syndrome, carbon monoxide
poisoning, noise-induced hearing loss, and various dust diseases of the
lungs. See Accident Reporting Guide at Appendix E-2 through E-5. FRA
also requires railroads to record and report certain suicide data,
including a suicide attempt made by an employee on duty. See id. at 33.
These are just a few examples of the events that could qualify as part
225 reportable accident/incidents that FRA believes should clearly not
serve as a basis for FRA reasonable cause testing.\22\
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\22\ Although Sec. 219.5 does currently define ``accident or
incident reportable under part 225'' to exclude ``covered data''
cases under part 225, ``covered data'' cases are only a small subset
of part 225 reportable accidents/incidents that should not authorize
FRA reasonable cause testing.
---------------------------------------------------------------------------
FRA is proposing to correct this confusion by specifying in
proposed Sec. 219.403(a) that FRA reasonable cause testing is
authorized following ``train accidents'' and ``train incidents,'' as
defined by Sec. 219.5, when a responsible railroad supervisor has a
reasonable belief, based on specific, articulable facts, that the
individual employee's acts or omissions contributed to the occurrence
or severity of the train accident or train incident. By using the terms
train accident and train incident, FRA is attempting to remove any
implication that reasonable cause testing could be authorized following
any part 225 reportable accident/incident. (A railroad would still
remain free, however, to perform company authority reasonable cause
testing for an accident/incident that otherwise did not qualify as a
train accident or train incident.) FRA specifically requests public
comment on the clarity of the proposed language.
As an editorial change, FRA is also proposing to replace the term
``supervisory employee'' with ``responsible railroad supervisor'' for
consistency with the remainder of the subpart.
Paragraph (b)
Paragraph (b) would contain a list of rule violations and other
errors that would be grounds for FRA reasonable cause testing when a
regulated employee is directly involved. The rule violations and other
errors currently in Sec. 219.301(b)(3) would be moved to proposed
paragraphs (b)(1)-(b)(4), (b)(6)-(b)(8), and (b)(10) of this section,
without any substantive amendments. Proposed paragraphs (b)(5), (b)(9),
(b)(11)-(b)(12), and (b)(13)-(b)(18) would contain additional rule
violations and other errors that would be new
[[Page 43862]]
grounds for FRA reasonable cause testing, as discussed below.\23\
---------------------------------------------------------------------------
\23\ Railroads should note that FRA reasonable cause drug
testing authority does not apply if a rule violation or error
results in an event that qualifies for mandatory PAT testing under
Sec. 219.201. See Sec. 219.301(e). Reasonable cause alcohol
testing authority may, however, currently be exercised in PAT
testing situations when ``breath test results can be obtained in a
timely manner at the scene of the accident and conduct of such tests
does not materially impede the collection of specimens under subpart
C.'' Id. Similar provisions (amended as discussed below) are found
in Sec. 219.409 of the proposed rule.
---------------------------------------------------------------------------
Additional Rule Violations or Other Errors Related to Railroad
Operating Practices
In proposed paragraphs (b)(5) and (b)(9), FRA would add two new
categories to the rule violations or other errors that are grounds for
reasonable cause testing. These additional categories reflect recent
amendments to 49 CFR part 218--Railroad Operating Practices.
In 2008, FRA amended part 218 to require railroads to adopt and
comply with operating rules regarding shoving and pushing movements and
the operation of switches. See 73 FR 8475-8482, Feb. 13, 2008.
Specifically, Sec. Sec. 218.103-218.107 require railroads to adopt and
comply with operating rules regarding switches. FRA believes that many
of these operating rule requirements for switches are already reflected
by the current reasonable cause testing provisions, which authorize
testing for ``[a]lignment of a switch in violation of a railroad rule,
failure to align a switch as required for movement, operation of a
switch under a train, or unauthorized running through a switch'' and
``[e]ntering a crossover before both switches are lined for movement or
restoring either switch to normal position before the crossover
movement is completed.'' Sec. 219.301(b)(3)(iv) and (vii).
Nevertheless, paragraph (b)(5) would authorize FRA reasonable cause
testing if a regulated employee fails to restore and secure a main
track switch when required.
Similarly, Sec. 218.99 establishes certain requirements for
railroad operating rules regarding shoving and pushing movements. FRA
is proposing to authorize reasonable cause testing only for certain
Sec. 218.99 operating rule violations. For instance, FRA would not
authorize such testing when the violation of an operating rule does not
pose a sufficient safety concern (e.g., a failure to conduct a required
job briefing). FRA would, however, authorize reasonable cause testing
if a regulated employee violates a valid Sec. 218.99(b)(3) railroad
operating rule addressing point protection.
Additional Rule Violations or Other Errors Related to MOW
Employees
To reflect the proposed expansion of part 219 to cover MOW
employees, paragraphs (b)(13)-(b)(17) would authorize FRA reasonable
cause testing for certain rules violations and errors related to the
performance of MOW activities. Under paragraph (b)(13), testing would
be authorized for the failure of a machine operator that results in a
collision between a roadway maintenance machine and/or other on-track
equipment or a regulated employee. Under paragraph (b)(14), testing
would be authorized for the failure of a roadway worker-in-charge to
notify all affected employees when releasing working limits. Under
paragraph (b)(15), testing would be authorized for the failure of a
flagman or watchman/lookout to notify employees of an approaching train
or other on-track equipment. Under paragraph (b)(16), testing would be
authorized for the failure to ascertain on-track safety before fouling
a track. Under paragraph (b)(17), testing would be authorized for the
improper use of individual train detection (ITD) in a manual
interlocking or control point.
FRA is requesting public comment on whether these proposed
paragraphs sufficiently address those MOW operating rule violations and
errors that justify reasonable testing by posing a safety concern. Are
there other operating rule violations and errors that should be
included?
Additional Rule Violations or Other Errors Related to Covered
Service
FRA is also proposing new rule violations and other errors that
would be grounds for FRA reasonable cause testing primarily for covered
employees. The first two additional rule violations or other errors
related to signal systems and highway-rail grade crossing warning
systems. Interference with the normal functioning of a signal system or
a grade-crossing signal device is a serious safety concern, as is the
failure to properly perform any required stop-and-flag duties. Such
failures could result in a collision between trains or a highway-rail
grade crossing accident.
First, under paragraph (b)(11), FRA would authorize reasonable
cause testing if a regulated employee has interfered with the normal
functioning of any grade crossing signal system or any signal or train
control device without first taking measures to provide for the safety
of highway traffic or train operations which depend on the normal
functioning of such a device. Such interference includes, but would not
be limited to, failure to provide alternative methods of maintaining
safety for highway traffic or train operations while testing or
performing work on the devices or on track and other railroad systems
or structures which may affect the integrity of the system. This
proposed provision adopts language from the unlawful interference
provisions of Sec. 234.209 (grade crossing systems) and Sec. 236.4
(signals) and is intended to encompass the same types of interference
that are covered by those sections. The types of devices referred to by
this provision would include (but are not limited to) a wayside or cab
signal system, component, or warning device, as well as the flashing
lights or gates at a highway-rail grade crossing. For example, FRA
reasonable cause testing would be authorized whenever the actions of a
regulated employee result in a false proceed signal or a highway-rail
grade crossing activation failure.
Second, under paragraph (b)(12), FRA reasonable cause testing would
also be authorized if a regulated employee failed to perform required
stop-and-flag duties as required after of a malfunction of a grade
crossing signal system. FRA is proposing this revision because a
regulated employee who fails to perform stop-and-flag duties as
required after a malfunction of a grade crossing signal system may not
be the same regulated employee who originally interfered with the
normal functioning of the system.
Finally, in paragraph (b)(18), FRA reasonable cause testing would
be authorized if a failure to apply three point protection (by fully
applying the locomotive and train brakes, centering the reverser, and
placing the generator field switch in the off position) results in a
reportable injury to a regulated employee.
Public Comment Requested
As with its proposed MOW operating rule violations and errors, FRA
is requesting public comment on whether additional rule violations or
errors should be added. FRA is also interested in feedback recommending
changes to the wording ``proposed rule violations or other errors'' as
used in this section. Because FRA reasonable cause testing would remain
optional, a contracting company that performs regulated service for a
railroad would not be required to conduct FRA reasonable cause tests on
its regulated employees. However, a railroad could conduct FRA
reasonable cause testing of contractors when they are performing
regulated service on the railroad's behalf.
[[Page 43863]]
Section 219.405--Documentation Requirements
FRA is proposing to require a railroad to create and maintain
written documentation describing the basis for each reasonable cause
test it conducts under FRA authority. The railroad supervisor who
determines that reasonable cause exists for FRA testing would have to
document the observations or facts that he or she relied upon in making
the determination. To ensure that a supervisor's recollection of the
incident is as fresh as possible, FRA would require the supervisor to
document the basis for each reasonable cause test promptly, although
the supervisor would not be expected to complete this documentation
before the test has been performed. The minimum supervisory
documentation requirements would vary according to the basis for the
reasonable cause test. If the basis for a reasonable cause test is the
occurrence of a train accident or train incident, a supervisor must
document, at a minimum, the following: (1) The amount of railroad
property damage; and (2) the basis for the supervisor's belief that an
employee's acts or omissions contributed to the occurrence or severity
of the train accident or train incident. If the basis for a reasonable
cause test is a rule violation or other error, a supervisor would have
to document, at a minimum, the following: (1) The type of violation
involved; and (2) the extent of each tested employee's involvement in
the violation. FRA believes that this proposed documentation
requirement would decrease the number of improperly performed Federal
reasonable cause tests.
Section 219.407--Prompt Specimen Collection; Time Limitations
This section would contain language similar to that in proposed
Sec. 219.305 (which addresses specimen collection and time limitation
requirements for reasonable suspicion testing), but would also clarify
that the eight-hour time period for conducting reasonable cause testing
runs from the time a railroad supervisor is notified of the occurrence
of a train accident, train incident, or rule violation, rather than
from the time of the train accident, train incident, or rule
violation's occurrence.
Section 219.409--Limitations on Authority
Paragraph (a)
This paragraph would contain language currently in Sec.
219.301(e), with three proposed clarifications. First, FRA would
clarify that if an event qualifies for mandatory PAT testing, a
railroad is prohibited from conducting FRA reasonable cause tests in
lieu of, or in addition to, the required PAT tests. Second, FRA would
remove the word ``compulsory,'' which misleadingly implies that FRA
reasonable cause testing is required, when it is optional but
authorized in certain situations. Third, FRA would remove the second
sentence of the current Sec. 219.301(e), which, in part, states that
``breath test authority is authorized in any case where breath test
results can be obtained in a timely manner at the scene of an accident
and conduct of such tests does not materially impede the collection of
specimens under Subpart C of this part.'' FRA believes this sentence is
confusing because FRA is proposing, in Sec. 219.203(c), to allow only
PAT breath alcohol tests to be performed after a PAT qualifying event,
although such testing should be recorded on the Part 40 Alcohol Testing
Form (ATF).
Paragraph (b)
For reasons similar to those discussed in proposed Sec.
219.211(b), paragraph (b) of this section would prohibit a railroad
from holding a regulated employee out of service pending the results of
an FRA reasonable cause test. A railroad would not be prohibited from
holding an employee out of service under its own authority, however, so
long as the railroad is not doing so simply because it is waiting for
the employee's FRA reasonable cause test result.
Paragraph (c)
This paragraph would contain new language requiring a supervisor to
make a reasonable cause determination for each crew member, instead of
for the crew as a whole. For example, if a train crew operated their
train past an absolute block signal, a supervisor would have to
consider the engineer's actions apart from those of the conductor, to
ensure that only those crew members who may have contributed to the
rule violation are tested. In this example, if a supervisor discovers
that the conductor was on the ground setting out a freight car when the
train passed the signal, the supervisor should require only the
engineer to undergo FRA reasonable cause testing.
Subpart F--Pre-Employment Tests
Section 219.501--Pre-Employment Drug Testing
Paragraph (a)
Currently, paragraph (a) of this section prohibits a railroad from
allowing an individual to perform covered service unless the individual
has had a Federal pre-employment drug test with a negative test result.
FRA is proposing to amend this paragraph to require a regulated
employee to have a negative Federal pre-employment drug test result for
each railroad for which the employee performs regulated service,
although this requirement would apply only to a railroad's direct
employees, and not to employees of contractors who perform regulated
service for the railroad.
Paragraph (b)
Currently, paragraph (b) states that, for purposes of pre-
employment drug testing only, the term covered employee includes an
applicant. The paragraph also states that no record may be maintained
if an applicant declines to be tested and withdraws his or her
application for employment. FRA is proposing to move this language to
new paragraph (e) and to amend it as discussed below.
As proposed, new paragraph (b) would address the pre-employment
drug testing requirements for contractor employees. In contrast to its
proposed pre-employment drug testing requirements for regulated
employees (see the discussion of paragraph (a) above), FRA would not
require a contractor employee who performs regulated service for
multiple railroads to have a negative Federal pre-employment drug test
result for each railroad. Instead, each railroad would only have to
verify and document that the contractor employee has a negative Federal
pre-employment drug test result on file with the contractor who is his
or her direct employer. However, a contractor employee would be
required to have a new Federal pre-employment drug test if the he or
she switches direct employers by working for another contractor who
provides regulated service to railroads.
Paragraph (c)
FRA is proposing a new paragraph (c) to clarify that a railroad
would not have to conduct an FRA pre-employment drug test if an
applicant or first-time transfer to regulated service already has a
negative drug test result from a pre-employment test conducted by the
railroad under the authority of another DOT agency, such as the Federal
Motor Carrier Safety Administration (FMCSA). FRA believes this
flexibility most benefits employees in positions requiring a commercial
driver's license (CDL) (e.g., certain MOW employees and signal
maintainers), since a negative FMCSA pre-employment drug test result is
one prerequisite to holding a CDL.
[[Page 43864]]
See 49 CFR 382.301. Under this proposal, a railroad would not have to
wait for a negative FRA pre-employment drug test result before
transferring a CDL holder to a regulated service position for the first
time, although the railroad would remain free to perform a second pre-
employment drug test under its own authority. Since many MOW employees
already hold CDLs because they operate railroad commercial motor
vehicles, FRA believes this proposal would substantially lessen the
number of pre-employment drug tests railroads would have to perform
after the effective date of the final rule. (FRA has previously
included this pre-employment drug testing interpretation in its
guidance. See Interpretive Guidance Manual at 32.)
This provision would apply, however, only to negative DOT pre-
employment drug tests that had been conducted by the railroad itself. A
CDL holder would still need a negative FRA pre-employment drug test for
each railroad for which he or she performs regulated service. For
example, a CDL holder who had a negative DOT pre-employment drug test
for Railroad A would still need a negative FRA pre-employment drug test
result for Railroad B before he or she could begin to perform regulated
service for Railroad B.
Paragraph (d)
As mentioned above, FRA would move an amended version of the
language currently in paragraph (b) to a new paragraph (d). As
proposed, to decline a pre-employment drug test and have no record kept
of that declination, an applicant must withdraw his or her application
before the drug testing process begins. In Sec. 40.63(c), DOT states
that the drug testing process begins when either the collector or the
employee selects an individually wrapped or sealed collection
container.
Paragraph (e)
In new paragraph (e), FRA would exempt two groups of employees from
pre-employment drug testing: (1) Employees who are performing MOW
activities for a railroad prior to the effective date of the final
rule; and (2) employees who are performing regulated service for a
small railroad (as defined in Sec. 219.3(c)) prior to the effective
date of the final rule. However, a MOW or regulated employee would be
exempted only so long as the employee continues to work for the same
railroad that he or she was working for prior to the effective date of
the final rule. A previously exempted employee would be required to
have a negative Federal pre-employment drug test result if he or she
applies to perform regulated activities for a new railroad.
Section 219.502--Pre-Employment Alcohol Testing
FRA is proposing only minor amendments to this section, which
addresses optional pre-employment alcohol testing.
Paragraphs (a)(1)-(a)(2)
Currently, paragraphs (a)(1) and (a)(2) of this section refer to
pre-employment alcohol testing for ``safety-sensitive employees'' who
perform ``safety-sensitive functions.'' (In this context, ``safety-
sensitive'' is referring to ``DOT safety-sensitive functions'' and
``DOT safety-sensitive employees,'' as defined in this proposed rule,
and not FRA ``safety-sensitive functions'' as used in Sec. 209.301 and
Sec. 219.303.) For clarification purposes only, FRA would substitute
``regulated employees'' and ``regulated service'' wherever ``safety-
sensitive employees'' or ``safety-sensitive functions'' now appear,
since FRA would designate regulated employees and regulated service as
DOT safety-sensitive employees and DOT safety-sensitive functions for
purposes of this part.
Paragraph (a)(5)
As in paragraphs (a)(1) and (a)(2) of this section, FRA would amend
paragraph (a)(5) by substituting ``regulated service'' for ``safety-
sensitive functions.'' FRA would also amend this paragraph to clarify
that a railroad may not permit a regulated employee with an alcohol
concentration of 0.04 or greater to perform regulated service until the
employee has completed the return-to-duty process in Sec. 219.104(d).
Paragraph (b)
Currently, paragraph (b) of this section (addressing pre-employment
alcohol testing) contains language identical to current Sec.
219.501(b) (addressing pre-employment drug testing), which provides
that, as used in subpart H of this part, the term covered employee
includes an applicant for pre-employment testing only. It also provides
that no record may be maintained if an applicant declines to be tested
and withdraws his or her application for employment. As discussed above
for Sec. 219.501(b), FRA is also proposing to amend the language in
Sec. 219.502(b) to clarify that an individual must decline to
participate in a pre-employment alcohol test by withdrawing his or her
application before the testing process begins. As defined by DOT in
Sec. 40.243(a), the testing process begins when an individually
wrapped or sealed mouthpiece is selected by the collector or the
employee.
Section 219.503--Notification; Records
Currently, the first and second sentences of this section require
railroads to provide medical review of pre-employment drug tests and to
``notify'' an applicant of the ``results of the drug and alcohol test''
as provided for by subpart H. FRA would amend both sentences to clarify
that subpart H incorporates the requirements found in part 40. In
addition, FRA would amend the second sentence to clarify that a
railroad must provide written notice not only when an applicant has a
positive test result but also when an applicant has another type of
non-negative test result (an adulteration, substitution, or refusal).
FRA would not, however, require written notification of negative pre-
employment alcohol or drug tests.
FRA would also amend the third sentence of this section to clarify
that a railroad must maintain a record if an application was denied
because the applicant had a non-negative Federal pre-employment test.
It is important to maintain records for individuals who have a non-
negative test result on a pre-employment test, even if it resulted in
their application for employment being denied, because such individuals
must comply with the return-to-service and follow-up testing
requirements of part 40 prior to performing DOT safety-sensitive
functions for any employer regulated by a DOT agency. FRA is therefore
proposing to specify that the only time a record does not have to be
maintained is when an applicant withdrew an application to perform
regulated service prior to the commencement of the testing process. FRA
believes that this is the only time that such records are not
necessary.
Section 219.505--Non-Negative Tests and Refusals
Currently, this section provides that an individual who ``refuses''
a pre-employment test may not perform covered service based upon the
application and examination with respect to which such refusal is made.
FRA believes this language is too narrow for two reasons. First, it
should also clarify that an individual may not begin performing
regulated service if he or she has a non-negative test result (e.g., a
positive, adulterated, or substituted test result) on a DOT pre-
employment test. Second, the prohibition on performing covered service
should be extended to the performance of any DOT safety-sensitive
functions. FRA therefore proposes to
[[Page 43865]]
amend this section to specifically prohibit individuals who refused or
who had a non-negative pre-employment test result from performing DOT
safety-sensitive functions for any DOT-regulated employer until they
have completed the Federal return-to-duty process of Sec. 219.104(d).
This amendment would also standardize the requirements of this section
with Sec. 40.25(e), which provides that an employer who obtains
information that an employee has violated a DOT agency drug or alcohol
regulation must not use that individual to perform DOT safety-sensitive
functions unless the employer receives information that the individual
has complied with the return-to-duty requirements of part 40 or any
other DOT agency.
Subpart G--Random Drug and Alcohol Testing Programs
A properly constructed and managed random testing program is a
valuable tool for deterring the misuse of drugs and abuse of alcohol by
regulated employees. As such, it is an essential cornerstone to a
successful part 219 drug and alcohol safety program. The goal of random
drug and alcohol testing is for all regulated employees to believe that
they may be called for a random test without advance warning any time
they are on-duty and subject to performing regulated service.
Subpart G currently contains few definite requirements for FRA
random testing. Given this lack of specificity, finding and
understanding FRA's random testing requirements can sometimes be a
difficult task. FRA is proposing to revise and expand subpart G,
although very few of the proposed amendments would result in
substantive changes to the regulatory requirements. Rather, the primary
purpose of the proposed amendments is to clarify the applicable
requirements and provide railroads additional information on how to
properly implement and manage an FRA random testing program. Much of
this additional information is currently contained in the second
edition of FRA's Part 219 Alcohol/Drug Program Compliance Manual
(``Compliance Manual''). Available to the public on FRA's Web site
(http://www.fra.dot.gov/eLib/details/L01186), the Compliance Manual
promotes part 219 compliance by clarifying both the regulation's
requirements and FRA's expectations. See Compliance Manual 1.2. The
program standards contained in the Compliance Manual have formed the
basis of FRA's part 219 railroad audits for over nine years and have
been particularly useful in helping railroads establish effective FRA
random testing programs. Incorporating this important guidance into the
regulations will help railroads understand and implement the complex
random testing requirements of subpart G, thereby improving the
deterrence value of FRA random testing and promoting railroad
safety.\24\
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\24\ After publication of the final rule, FRA will revise and
update the Compliance Manual as necessary to reflect any new
requirements.
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In order to effectively incorporate this operational guidance, FRA
is proposing to reorganize subpart G. The principal proposed changes
can be summarized as follows:
Individual sections on random drug testing requirements
(Sec. Sec. 219.601-219.605) and random alcohol testing requirements
(Sec. Sec. 219.607-219.611) would be combined into single sections
addressing both drug and alcohol random testing. Because the
differences between the requirements for random drug and alcohol
testing are minimal, this consolidation would eliminate a significant
amount of redundancy.
Requirements for random testing plans, pools, selections,
and collections would be separated and placed into individual sections
dedicated to those subjects. These sections would also incorporate
guidance from the Compliance Manual.
Subpart G would be amended to explain how a regulated
service contractor could either participate in a railroad's FRA random
testing program or operate its own FRA-accepted random testing program
(either independently or through a C/TPA).
Railroads would be required to demonstrate that all
employees (defined in Sec. 219.5 to include employees, volunteers, or
probationary employees of a railroad or a contractor to a railroad),
performing regulated service are in compliance with the random testing
requirements of subpart G. FRA is also proposing a mechanism that would
provide a clear path for the future incorporation of any additional
categories of employees into the random testing requirements of subpart
G. This mechanism would eliminate the need to extensively amend subpart
G if the scope of part 219 was expanded again in the future.
Section 219.601--Purpose and Scope of Random Testing Programs
This section would contain general language explaining the purpose
of Federal random testing programs and would clarify how subpart G
applies to regulated employees, including contractors and volunteers,
who work for more than one railroad or are subject to the random
testing requirements of more than one DOT agency.
Paragraph (a) would explain that the purpose of random testing
programs is to promote safety by deterring regulated employees from
misusing drugs or abusing alcohol.
Paragraph (b) would require a railroad to ensure that all of its
regulated employees are subject to the random testing requirements of
subpart G, including its regulated employees who are contractors or
volunteers performing regulated service for the railroad. Specifically,
this paragraph is intended to clarify that a railroad is obligated to
ensure that all individuals performing regulated service for the
railroad either as a contractor or volunteer are subject to FRA's
random testing requirements when performing regulated service for that
railroad. Of course, a railroad would not be required to ensure that
contractor employees or volunteers are compliant with subpart G when
they are performing regulated service for another railroad. FRA
believes this clarification is necessary given the proposed expansion
of part 219 to cover a large population of MOW contractors. A
contractor who failed or refused to comply with the random testing
requirements of this subpart when performing regulated service for any
railroad could be subject to the civil penalty sanctions of Sec.
219.9.
Paragraph (c) would state that a regulated service contractor or
volunteer could be incorporated into more than one FRA random testing
program if: (1) The contractor or volunteer would otherwise not be part
of a non-railroad testing program (discussed in proposed Sec. 219.609)
that meets the requirements of subpart G and is acceptable to the
contracting railroad; or (2) the contracting railroad cannot verify
that the contractor or volunteer is part of an FRA random testing
program that meets the requirements of subpart G and is acceptable to
the railroad. This section would not require a railroad to accept
either a railroad or non-railroad random testing program. A railroad
would always be free to incorporate regulated service contractor
employees and volunteers into its own random testing program,
regardless of whether or not they are already part of a program run by
another railroad or a contracting company.
Paragraph (d) would explain how railroads must handle regulated
employees who are subject to the random testing regulations of more
than one DOT agency. (For example, a regulated employee may be subject
to the random testing requirements of both FRA and FMCSA if he or she
holds a
[[Page 43866]]
CDL.) The proposed language of paragraph (d) is generally consistent
with paragraph (h) of existing Sec. 219.602, but would be revised to
clarify that regulated employees subject to the random testing
regulations of more than one DOT agency may not be included in more
than one DOT random testing pool and that this provision applies to
both random drug and alcohol testing, as discussed below.
Currently, paragraph (h) of Sec. 219.602 states that covered
employees subject to random drug testing under the drug testing rules
of more than one DOT agency for the same railroad must be subject to
random drug testing selection at the applicable rate set by the DOT
agency regulating more than 50% of the employee's functions. For
example, if FMCSA regulates 60 percent of a regulated employee's DOT
functions, the railroad must subject him or her to random testing
selection at or above the minimum annual random testing rate set by
FMCSA. This has been historic DOT guidance regarding Federal random
testing. See Office of Drug & Alcohol Policy and Compliance, U.S.
Dep't. of Transp., Best Practices for DOT Random Drug and Alcohol
Testing 3, available at http://www.dot.gov/odapc/best-practices-dot-random-drug-and-alcohol-testing. A similar provision is inexplicably
missing, however, from the random alcohol testing sections of the
existing regulation. As there is no logical reason for this provision
to apply only to random drug testing, FRA believes that this is an
accidental oversight in the current regulation. Furthermore, FRA
guidance has historically applied this requirement to random alcohol
testing, as well as drug testing. See generally Compliance Manual
9.5.3.1(e) (discussing the requirements for employees from different
DOT agencies without distinguishing between random drug and alcohol
testing). Accordingly, proposed paragraph (d) would correct this
oversight and clarify that this provision applies to both drug and
alcohol random testing.
Section 219.603--General Requirements for Random Testing Programs
This section would contain requirements that apply generally to FRA
random testing programs. This section would also act as a table of
contents for subpart G, directing readers to the specific sections
containing the detailed requirements for random testing entries, pools,
selections, etc. FRA believes including such information near the
beginning of subpart G would help make the regulation more reader-
friendly.
Paragraph (a) would generally require a railroad to ensure that its
random testing program is designed and implemented in a way that its
regulated employees should reasonably believe that they may be called
for FRA random testing without advance notice any time they are on duty
and subject to performing regulated service. FRA understands that
ensuring this perception may be difficult for smaller railroads and
contractor companies with a limited number of individuals in a testing
pool, but FRA expects all entities to comply with this provision to the
extent possible. FRA could find a railroad in violation of this section
if it determines the railroad has not made a good faith effort to
comply.
Paragraph (b) would prohibit a random testing program from having a
bias, having an appearance of bias, or providing an opportunity for a
regulated employee to avoid complying with subpart G. For example, this
paragraph would prohibit a supervisor from performing the selection for
a random testing pool to which he or she belonged, as this would create
an appearance of bias.
Paragraph (c) would require a railroad to submit for FRA approval a
random testing plan meeting the requirements of Sec. Sec. 219.603-
219.609 and addressing all employees as defined in Sec. 219.5
(including contractors and volunteers) who perform regulated service on
the railroad's behalf. Paragraphs (d)-(j) would identify where
railroads may find the subpart G requirements for random pools (Sec.
219.611), random selections (Sec. 219.613), random collections (Sec.
219.615), railroad and employee cooperation (Sec. 219.617), responsive
action (Sec. 219.619), service agents (Sec. 219.621), and records
(Sec. 219.623), respectively.
Section 219.605--Submission and Approval of Random Testing Plans
This section would contain requirements for the submission,
approval, and amendment of random testing plans by railroads subject to
the requirements of subpart G.
Paragraph (a)(1) would require a railroad to submit a random
testing plan directly to the FRA Drug and Alcohol Program Manager
(Program Manager) for approval. This submission must be made no later
than 30 days prior to the date a railroad commences operations. If a
railroad previously qualified for the small railroad exception under
Sec. 219.3, but no longer does, it must submit its random testing plan
no later than 30 days after it ceases to qualify as a small railroad.
No random testing plan or substantive amendment to such plan may be
implemented prior to obtaining FRA approval. While Sec. Sec.
219.601(a) and 219.607(a) currently direct railroads to submit random
testing plans to the Associate Administrator for Safety (for plan
approval by the Administrator), the task of approving random testing
plans has been delegated as a matter of practice to the Program
Manager, who has played this role since the implementation of random
testing in 1989. Amending this section to specify that plans must be
submitted to the Program Manager would not substantively alter the
approval process, but would enhance the efficiency by reflecting actual
FRA practice.
Paragraph (a)(2) would provide a railroad three options for
addressing different categories of regulated employees in its random
testing plan. A railroad could either submit a separate plan for each
category, combine all categories into a single plan, or amend a plan
currently approved by FRA to incorporate an additional category. This
approach is intended to provide maximum flexibility for railroads
incorporating additional categories of regulated employees into their
random testing plans. (Under the proposed rule, the only categories of
regulated employees subject to the requirements of part 219 are covered
employees and MOW employees. This proposed requirement would also
apply, however, to any additional categories of employees that might be
added to the scope of part 219 in the future.) FRA would still
independently evaluate each plan or plan amendment submitted by a
railroad to ensure that it met the requirements of subpart G. FRA would
not approve individual plans or plan amendments that appear to
discriminate against a particular group of regulated employees or that
fail to meet the requirements of subpart G. A railroad could also not
submit separate random testing plans for subcategories of regulated
employees, such as engineers, conductors, or signalmen.
Paragraph (b) would specify that FRA will notify a railroad in
writing whether its plan is approved, with specific explanation as to
necessary revisions if the plan is not approved. Plans that are not
approved must be revised and resubmitted by a railroad within 30 days
of that notice. Failure to resubmit a disapproved plan with the
necessary revisions would be considered a failure to submit a plan.
This is slightly different from language currently found in Sec.
219.601(c),\25\ which states that a
[[Page 43867]]
failure to resubmit is a failure to implement a plan. FRA believes that
the proposed language is a more accurate description of the underlying
violation, however, because in such a situation there is no approved
random testing plan to implement. This amendment would not
substantively change existing requirements.
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\25\ The requirements of proposed paragraph (b) are currently
found in Sec. 219.601(c) for random drug testing, but are
inexplicably missing from the sections on random alcohol testing.
FRA believes this is an accidental oversight, as there is no logical
reason for these plan submission requirements to apply only to
random drug testing. Proposed paragraph (b) would correct the
oversight and ensure that the requirements apply to both random drug
and alcohol testing.
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Paragraph (c) would require a railroad to implement a random
testing plan no later than 30 days after FRA approval. Currently,
railroads are required to implement random testing plans no later than
60 days following FRA approval. See Sec. Sec. 219.601(d)(2) and
219.607(c)(2). When FRA's random testing requirements first became
effective in 1988, allowing railroads 60 days to implement an approved
random testing plan was appropriate given the newness of the
regulation. Since that time, however, the railroad industry has become
quite familiar with FRA's random testing requirements. Even if a
railroad underwent an operational change that required it to implement
an FRA random testing program for the first time (for example, if a
railroad with 15 or fewer covered employees began engaging in joint
operations \26\), there are numerous existing resources (such as
established service agents, C/TPAs, FRA guidance, etc.) that can help
the railroad promptly and efficiently implement a random testing plan.
Given the availability of these resources and the knowledge of FRA's
random testing program requirements throughout the railroad industry,
FRA believes that 30 days is now sufficient for a railroad to implement
a random testing plan following FRA approval.
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\26\ Railroads should note that because this NPRM is not
proposing any amendments to the small railroad exception of Sec.
219.3(c), no railroad that was previously excepted from the Subpart
G random testing requirements would lose that exception as a result
of this proposed rule.
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Paragraph (d)(1) would require a railroad to submit a substantive
amendment to an already-approved random testing plan at least 30 days
prior to its intended effective date. Any such amendment could not be
implemented prior to FRA approval. See Sec. Sec. 219.601(a) and
219.607(a). An example of a substantive amendment would be any change
to a railroad's construction of its random testing pools or its method
of conducting random selections. If a railroad is uncertain whether an
amendment is substantive or not, it should contact the Program Manager
for guidance.
Paragraph (d)(2) would incorporate FRA guidance by clarifying that
FRA pre-approval is not required for non-substantive amendments, but
that the railroad must notify FRA of any such amendment prior to its
effective date. See Compliance Manual 9.4.3.2. Examples of non-
substantive amendments would include, but not be limited to, replacing
or adding a service provider, such as a C/TPA, laboratory, collector,
or MRO. FRA recognizes that current guidance in the Compliance Manual
describes a change in service provider (except for a collector) as a
substantive change for which pre-approval is necessary. Id. FRA's
experience, however, has indicated that requiring approval for a change
of service provider is not necessary because it imposes a burden on
railroads that does not significantly promote safety. Accordingly,
paragraph (d)(2) would specifically note that a change in service
providers is not a substantive change requiring pre-approval.
Paragraph (e) would address railroad random testing plans that were
approved prior to the effective date of the final rule. A railroad
would not be required to resubmit such a plan unless it required
amendment to comply with the final rule. If a railroad is required to
submit either a new or an amended plan as a result of the final rule,
this submission must be made at least 30 days before the effective date
of the final rule.
Section 219.607--Requirements for Random Testing Plans
Generally, this section would direct a railroad to submit and
comply with a random testing plan containing certain items of
information. This is not a new requirement, and FRA guidance provides
direction on what information such plans must contain.
Paragraph (a) would generally require a railroad to submit a random
testing plan meeting the requirements of subpart G and to comply with
those requirements when implementing the plan. Similar language can
currently be found in Sec. 219.601(b).
New language in paragraph (b) would inform railroads, contractor
companies, and service agents that they may request a model random
testing plan from the Program Manager. While this proposed language is
new, FRA has historically made a model random testing plan available to
railroads, and the plan is available for review and download on FRA's
Web site at http://www.fra.dot.gov/Page/P0345. After modifying the
model plan as necessary to fit its needs and the requirements of
subpart G, a railroad could then submit it to FRA for approval.\27\
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\27\ After publication of the final rule, FRA will revise and
update its model random testing plan as necessary to reflect any new
requirements.
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New language in paragraph (c) would specify certain information
that a railroad's random testing plan must contain. Each item of
information identified by paragraph (c) would have to be contained in a
separate, clearly identified section of a random testing plan. For
example, each plan would be required to have separate sections
dedicated to items of information such as the total number of covered
employees; the name, address, and contact information for the
railroad's Designated Employer Representative; the method used to make
random selections; etc. While section 9.4.3 of the Compliance Manual
briefly discusses similar information requirements, proposed paragraph
(c) provides additional detail and specificity regarding these
mandatory elements of information, which largely mirror and somewhat
expand the format of FRA's model random testing plan. By specifying the
elements that must be included in every random testing plan, FRA
intends to further the standardization of random testing plans.
Standardizing random testing plans would promote compliance with
subpart G by making it easier for FRA inspectors to evaluate plans,
provide guidance and feedback on the development and implementation of
such plans to regulated entities, and compare a railroad's actual
practice with the required plan elements.
Section 219.609--Inclusion of Contractors and Volunteers in Random
Testing Plans
Currently, subpart G does not discuss how a railroad's random
testing plan should incorporate contractor employees and volunteers.
FRA has nevertheless historically provided railroads informal guidance
on how to manage random testing for covered service contractors and
volunteers. This section would incorporate this guidance into part 219.
The introductory text of paragraph (a) would clearly state that a
railroad's random testing plan must demonstrate that all of its
regulated service contractor employees and volunteers are part of an
FRA-compliant random testing program. Paragraphs (a)(1) and (a)(2)
would explain two ways that a railroad could demonstrate compliance
with this requirement:
[[Page 43868]]
Under paragraph (a)(1), a railroad could incorporate into
its own random testing plan any contractor employee and/or volunteer
performing regulated service on its behalf. The railroad would be
responsible for ensuring that such individuals were selected and tested
according to its random testing plan; or
Under paragraph (a)(2), a railroad could indicate in its
random testing plan that all contractor employees and/or volunteers
performing regulated service on its behalf are included in a non-
railroad random testing program meeting subpart G requirements. As used
in subpart G, a non-railroad random testing program is one conducted by
either a service agent (such as a C/TPA) or a contractor company. A
railroad utilizing this option would be required to append to its
random testing plan one or more addenda explaining how it would ensure
that its regulated service contractor employees and volunteers are in
compliance with subpart G. Such addenda could be either the non-
railroad random testing program itself or a detailed description of the
program and how it complies with FRA requirements.\28\
\28\ Railroads would be able to obtain information about the
non-railroad random testing program under proposed Sec. 219.623
(discussed below), which would require contractor companies and
service agents to provide random testing records upon request to any
railroad for which they are performing random testing
responsibilities.
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FRA believes the above options would facilitate subpart G
compliance. For example, a railroad utilizing the paragraph (a)(2)
option would be able to directly analyze the random testing programs of
its contracting companies. This would help ensure that contracting
companies performing regulated service for more than one railroad are
in compliance with subpart G.
Railroads should note that paragraph (a) would not require them to
accept and incorporate a non-railroad random testing program into their
own random testing programs. A railroad would always be able to comply
with subpart G by incorporating regulated service contractor employees
and volunteers into its own random testing program, regardless of
whether or not such individuals were already part of a non-railroad
random testing program that complied with the requirements of subpart
G.
Paragraph (b) would generally require a random testing plan and any
attached addenda to contain sufficient details to fully document that
the railroad is meeting the subpart G requirements for all personnel
performing regulated service on its behalf.
Paragraph (c) would specify that a railroad accepting a non-
railroad random testing program would remain responsible for ensuring
that the non-railroad program is properly subjecting the railroad's
regulated service contractor employees and volunteers to the random
testing requirements of subpart G. For example, this provision would
require a railroad to evaluate for subpart G compliance any non-
railroad random testing plan that it accepts.
Paragraph (d) would specify that FRA would not require submission
and would not approve random testing plans for contractor companies or
service agents under the provisions of Sec. 219.603. FRA believes
there may be a vast number of such contractor companies and service
agents, and does not believe it would be a beneficial use of its
resources to attempt to approve and audit all of them. Rather, as
provided in paragraph (c), responsibility for ensuring that such plans
and programs comply with the requirements of subpart G would rest with
the railroad employing the contractor company or service agent. The
only time FRA might address a non-railroad random testing plan would be
when the plan itself was appended to a railroad's random testing plan,
as described in paragraph (a)(2). In such situations, FRA could look at
the non-railroad plan and note instances of non-compliance, which FRA
would then communicate to the railroad for it to pursue on its own
behalf with the contracting company or service agent.
Section 219.611--Random Alcohol and Drug Testing Pools
Subpart G currently provides railroads little guidance on the
creation or management of random testing pools. Random testing pools
are only briefly discussed in Sec. 219.601(b)(2)(ii)-(iii), which
requires all covered employees to be included in an FRA random testing
pool and each random testing pool to contain only covered employees.
FRA believes that subpart G can be improved by including this new
section dedicated to requirements on how to implement random testing
pools. In addition to some new substantive requirements (discussed
below), this section would also incorporate FRA guidance on the proper
creation and management of random testing pools. See generally
Compliance Manual 9.5. FRA has been auditing railroads according to the
standards of the Compliance Manual since it was published in 2002.
Paragraph (a)--General
Paragraph (a) would require a railroad to ensure that its random
testing pools include all personnel performing regulated service on its
behalf, except that a railroad would not have to include regulated
employees who are part of a non-railroad random testing program that
has been accepted by the railroad and is compliant with subpart G.
Paragraph (b)--Pool Entries
Paragraph (b) would contain requirements for pool entries, and the
introductory text would state that a railroad must clearly indicate who
will be tested when a specific pool entry is selected. FRA would not
approve vaguely defined pool entries lacking either clarity or
specificity. For example, if a railroad's pool entry is a job function,
the railroad must indicate exactly who would be tested when an entry is
selected. Would the individual performing that job function on the
first shift of the selected day be tested, or the individual performing
that job function for the first train into a certain yard after
midnight? Would all individuals performing that job function be tested
or would a single individual from that group be tested? As an
illustration, if a pool entry was the job function ``third shift
dispatcher,'' additional information (such as the desk that the
dispatcher was working on) would be required if there was more than one
individual acting as a third shift dispatcher and only one random test
was to be performed.
Paragraph (b)(1) would identify three types of pool entries that
are generally permitted: (1) Individual employee names or
identification numbers; (2) train symbols; and (3) specific job
assignments. These three options have traditionally been accepted by
FRA as pool entries if they otherwise meet the requirements of subpart
G. See Compliance Manual 9.5.3.1(f). If a railroad wishes FRA to
consider other types of pool entries, it should include them in the
random testing plan submitted to FRA for approval under proposed Sec.
219.605. Although not required, FRA encourages smaller railroads to use
individual employees or identification numbers as pool entries, rather
than trains or job assignments. Individual pool entries are preferable
for a smaller railroad because this maximizes its limited number of
pool entries. Larger pool entries (such as train symbols), contain more
than one employee, and would make a small railroad reach its required
minimal annual testing rate earlier in the year than if it used
individual pool entries. This could be problematic if the small
railroad's random testing is not spread evenly through the year to
achieve
[[Page 43869]]
maximum deterrence effect, as required by proposed Sec. 219.615(c)(2)
(discussed below). Small railroads also do not face the same logistical
and cost difficulties that make train symbols or job functions useful
as entries for larger railroads.
Paragraph (b)(1) would also incorporate FRA guidance by stating
that pool entries must be of a generally consistent size and type. See
Compliance Manual 9.5.3.1(f). For example, a pool could not combine
individual employee entries with job function entries that identify
multiple individuals. FRA would likely not take exception to a pool
consisting of train symbols where the crew sizes might slightly vary.
However, FRA may take exception to a pool made up of both individual
employees and job assignments, or with job assignments which might vary
in size from one employee to dozens of employees, as pool entries of
vastly different size and type would adversely affect the chances that
some individuals may be selected over others. A railroad contemplating
unusual or possibly controversial pool make-ups should request FRA
approval for that approach in its random testing plan.
Paragraph (b)(2) would state that pool entries may not be
constructed in a way that permits a railroad field manager or field
supervisor to have discretion over which regulated employees would be
selected for random testing. For example, if the selected entry was
``third shift dispatcher'' and more than one individual met this
description, a railroad could not permit a field manager/supervisor to
decide which third shift dispatcher would be subject to random testing.
Field managers/supervisors may personally know the individuals involved
in a random selection, and permitting a field manager/supervisor to
exercise discretion in this manner could create a situation where he or
she was using that discretion to target or protect a specific
individual. This language would supplement other proposed provisions
prohibiting railroads from utilizing a selection method or conducting
random testing collections in a way that permits a railroad field
manager or supervisor to have discretion over which particular
regulated employees would be selected for random testing.
Paragraph (b)(3) would incorporate FRA guidance by requiring a
railroad to construct and maintain pool entries so that all regulated
employees have an equal chance of being selected for random testing
during each selection draw. See Compliance Manual 9.6.3. This
requirement would apply even to regulated employees who were selected
for random testing during a previous selection draw. For example, a
railroad could not remove a regulated employee from a testing pool
simply because he or she had already been selected for random testing
that year. In order for a random testing program to have a deterrence
effect, each regulated employee must believe that he or she could be
selected for testing during any selection draw, regardless of whether
or not he or she was selected for testing the week, month, or year
before.
Paragraph (c)--Minimum Number of Pool Entries
Paragraph (c) would contain new language requiring a random testing
pool to have at least four entries. A railroad could not use
placeholder entries (entries that do not represent legitimate
selections of regulated employees, whether individuals, train symbols,
or job assignments) to comply with this requirement. This would be a
new requirement not currently found in the regulation, Compliance
Manual, or other published FRA guidance.
This proposal would address FRA's concern that random testing pools
with fewer than four entries (regardless of whether the entries are
individuals, trains, or job assignments) can diminish the deterrence
effect of random testing. For example, if a railroad with only three
regulated employees as entries in a pool was required to test for
alcohol at a minimum annual rate of 10 percent,\29\ the railroad would
meet this requirement once it had selected and tested only one
regulated employee. Once this test was completed, the deterrence effect
of random testing would vanish because the railroad's other regulated
employees could learn that the only test required for the year had
already been completed. The purpose of random testing is to make every
regulated employee expect that he or she could be subject to an alcohol
or drug test any day. If the railroad has a limited number of entries
in its random testing pool, this purpose is defeated.
---------------------------------------------------------------------------
\29\ In this scenario, even though the railroad has 15 or fewer
covered employees, it is required to implement a Subpart G random
testing program under Sec. 219.3 because it engages in joint
operations with another railroad.
---------------------------------------------------------------------------
Of course, the problem of small random testing pools and a
diminished deterrence effect does not vanish once a pool has four or
more entries. The same concern can exist for random testing pools with
5, 10, or even more entries, depending on the minimum annual testing
rate. For this reason, this proposed amendment is only one component of
FRA's solution for this difficulty. The second component is found in
proposed Sec. 219.613(d), which would require a railroad to select and
test at least one entry from a random testing pool per quarter (i.e.,
every three months), regardless of the size of the pool and regardless
of whether the railroad has already met its minimum annual random
testing rate requirement. (A quarter would not need to be based on a
calendar determination if a railroad is making selections on a monthly
basis.) While Sec. 219.613(d) will be independently discussed below,
its relevance to Sec. 219.611(c) lies in the fact that even a small
random testing pool can provide a deterrence effect, so long as the
pool members anticipate that at least one individual will be selected
and tested per quarter. FRA intends Sec. Sec. 219.611(c) and
219.613(d) to work together to promote the deterrence effect of random
testing.
FRA does not believe it would be appropriate under Sec. 219.613(d)
to require railroads to select and test at least one entry from a pool
per quarter without also requiring pools to have at least four entries.
If the four entry requirement did not exist, a railroad could
theoretically maintain a random testing pool with only one entry, which
would then necessarily be subject to random testing four times a year
as a result of proposed Sec. 219.613(d). FRA believes that four is
appropriate for the minimum number of pool entries because it
complements the proposed Sec. 219.613(d) requirement to select and
test at least one entry per pool per quarter, which results in a
minimum number of four tests per year. Under this approach, perfect
odds for a four entry pool would result in each entry being selected
for random testing once per year. (Of course, the odds are not perfect,
and any entry in a four entry pool could end up being selected for
random testing four times a year. It is this imperfection that
generates the deterrence effect of random testing, so that every
regulated employee believes that he or she can be selected for testing
at any time, regardless of whether he or she was previously selected
for testing.)
Overall, FRA's experience in helping railroads implement random
testing programs indicates that there is no compelling reason for a
railroad to maintain a random testing pool with fewer than four
entries. FRA believes that this new requirement would not adversely
impact railroads with fewer than four regulated employees, since
paragraph (c) would specify that a railroad with fewer than four
regulated employees could comply with this requirement by having those
employees incorporated into either a railroad program or a non-railroad
program (e.g.,
[[Page 43870]]
by joining a C/TPA), so long as the random testing pool contained at
least four entries.
Paragraph (d)--Pool Construction
Paragraph (d) would contain requirements for the construction of
random testing pools.
Paragraph (d)(1) would prohibit a railroad from placing in an FRA
random testing pool anyone who is not an individual subject to the
random alcohol and drug testing requirements of a DOT agency (i.e., an
individual who is not a ``DOT-regulated employee''). Including non-DOT-
regulated employees in an FRA random testing pool would dilute the
chances of a DOT-regulated employee being selected, thereby diminishing
the deterrence value of random testing. Furthermore, a railroad mixing
DOT-regulated and non-DOT-regulated employees in random testing pools
would find it difficult to determine whether it was properly testing at
the mandatory minimum percentage rate for DOT-regulated employees.
Paragraph (d)(2) would prohibit a single railroad from including a
regulated employee in more than one DOT random testing pool. For
example, a railroad could not include a regulated employee who holds a
CDL in both an FRA and an FMCSA random testing pool. Rather, as
provided by proposed Sec. 219.601(d), a railroad must determine which
agency regulates more than 50 percent of a regulated employee's DOT
safety-sensitive duties and place that employee in the random testing
pool that is testing at the required minimum annual rate of that
agency. This paragraph would not prohibit a regulated employee from
belonging to more than one FRA random testing pool if he or she
performs regulated service for more than one railroad, each of which
includes him or her in its own random testing program. Rather, it
merely would state that an individual cannot be included in more than
one DOT testing pool by the same railroad.
Paragraph (d)(3) would permit a railroad to place all DOT-regulated
employees (both FRA and non-FRA regulated individuals) in a single
random testing pool. Such a mixed pool, however, would have to be
tested at the highest minimum random testing rate mandated by a DOT
agency for any individual pool entry. For example, if the highest rate
for an individual pool entry was 50 percent, the entire pool must be
tested at a rate of 50 percent, regardless of whether other individual
pool entries were subject to a lower minimum testing rate. Similarly,
this paragraph would also permit railroads to place different
categories of FRA regulated employees into a single testing pool, even
if the minimum annual testing rates for those categories were
different, so long as the entire pool was tested at the highest minimum
testing rate for any individual entry.
This proposal is different from the strict wording of certain
provisions in current part 219, which require railroads using a service
agent to ensure that only FRA ``covered employees'' are in the service
agent's random testing pool. See Sec. Sec. 219.601(b)(2)(iii) and
219.607(b)(1)(i). However, FRA has not been actively enforcing this
requirement, and other current provisions contradict it. See Sec. Sec.
219.602(i) and 219.608(f). Furthermore, both FRA and ODAPC have
independently published guidance specifying that employees regulated by
different DOT agencies can be mixed in the same pool. See Compliance
Manual 9.5.3.1(e) and Office of Drug and Alcohol Policy and Compliance,
Best Practices for DOT Random Drug and Alcohol Testing, available at
http://www.dot.gov/odapc/best-practices-dot-random-drug-and-alcohol-testing. Paragraph (d)(3), therefore, would make the wording of part
219 consistent with FRA and DOT's actual practice.
Paragraph (d)(4) would incorporate FRA guidance indicating that a
railroad does not need to place regulated employees in separate pools
for random drug and alcohol testing selection. See Compliance Manual
9.5.3.1(c). This paragraph would not, however, permit a railroad to
make selections from a pool for drug testing, and then sub-select for
alcohol testing from within that selected group. It would permit a
railroad, however, to select employees for drug testing only and other
employees for both drug and alcohol testing so long as every employee
in the pool had an equal chance for selection for each group.
Paragraph (d)(5) would require a railroad to incorporate an
individual into a random testing pool as soon as possible after his or
her hire or transfer into regulated service. This requirement would
promote both safety and fairness by ensuring that an individual newly
hired or transferred into regulated service would be subject to
selection during the next random testing selection period. Railroads
must have a mechanism to ensure that these personnel are entered into a
random pool without delay.
Paragraph (e)--Frequency of Regulated Service
Paragraph (e) would incorporate FRA guidance addressing the
potential dilution of random testing pools by individuals who perform
regulated service on a de minimis basis. See Compliance Manual 9.5.3.2.
FRA considers such individuals to present a lesser safety risk than
individuals who routinely perform regulated service. The purpose of
paragraph (e) is to promote safety by focusing random testing on the
population of employees who perform regulated service on a routine
basis.
Paragraph (e)(1) would prohibit a railroad from placing individuals
into a random testing pool for any selection period in which they are
not expected to perform regulated service. Such individuals present a
lesser safety risk, and their inclusion in a random testing pool would
dilute the chances that an individual who routinely performs regulated
service would be selected.
Paragraph (e)(2) would address railroad employees who perform
regulated service on average less than once a quarter. FRA considers
such employees to be a de minimis safety concern and do not require
them to be included in a railroad's random testing program. A railroad
may randomly test de minimis employees, but must do so by placing them
in a separate random testing pool, and not in a random testing pool
that includes employees who perform regulated service on a routine
basis.
Paragraph (e)(3) would require railroads to make a good faith
effort when determining the frequency with which an individual performs
regulated service. Individuals who perform regulated service on a de
minimis basis would have to be evaluated each selection period as to
the likelihood of their performing regulated service in the upcoming
quarter.
Paragraph (f)--Pool Maintenance
Paragraph (f) would incorporate FRA guidance by requiring a
railroad to update pool entries at least monthly, regardless of how
often selections are made. See Compliance Manual 9.5.3.1 (introductory
text) and 9.5.3.3. For example, if a railroad conducted selections
every three months, it would still have to update the pool entries on a
monthly basis. At each monthly update, a railroad would be required to
ensure that each random testing pool was complete and did not contain
outdated or inappropriate entries. It is important for outdated and
inappropriate entries to be immediately removed from random testing
pools because their inclusion dilutes the population of regulated
employees in the pool.
[[Page 43871]]
Paragraph (g)--Multiple Pools
Paragraph (g) would permit a railroad to maintain more than one
random testing pool if it can demonstrate that selecting from multiple
pools would still meet the requirements of subpart G and that having
multiple pools would not adversely impact the construction of pool
entities. See Compliance Manual 9.5.3.1 (c). Multiple random testing
pools can be problematic if they create an unnecessary level of
complexity in the management of the railroad's random selection and
testing process. Under paragraph (g), FRA would evaluate the structure
of a railroad's random testing pools to ensure that it facilitates a
coherent, effective, and efficient deterrence program. Multiple random
testing pools that adversely impact the deterrence value of random
testing would not be approved as part of a railroad's random testing
plan.
Section 219.613--Random Testing Selections
Properly constructed pools will not guarantee an effective random
testing program if the method of selection from those pools is flawed.
Random testing selections must be conducted in a manner ensuring that
each regulated employee has an equal chance of being selected during
each selection draw. This applies to selections at the level of both
the random testing pool and the railroad as a whole. The purpose of
this section, therefore, is to ensure that a railroad's random testing
selections are conducted in a way that promotes the deterrence effect
of random testing.
Discussed in greater depth below, paragraphs (a) through (k) would
incorporate FRA guidance on proper random testing selections. See
generally Compliance Manual 9.6.
Paragraph (a)--General
Paragraph (a) would require a railroad to ensure that each
regulated employee has an equal chance of being selected for random
testing whenever a selection is performed. A railroad may not increase
or decrease an individual's chance of selection by weighting any
particular entry or pool. See Compliance Manual 9.6.3.3. For example, a
railroad may not remove an already-selected regulated employee from a
pool in order to increase the chances that another regulated employee
will be selected for testing. This requirement is intended to help
ensure that each regulated employee believes that he or she can be
selected for testing during any selection draw, even if he or she was
already selected for testing the week, month, or year before.
Paragraph (b)--Method of Selection
Paragraph (b)(1) would incorporate FRA guidance by requiring a
railroad to utilize a selection method that meets the requirements of
subpart G and that is acceptable to FRA. See Compliance Manual 9.6.4.2.
An acceptable method would be either a computer selection program or
the proper use of a random number table. Id. A railroad could include a
different selection method in the random plan that it submits for FRA
approval under Sec. 219.603, but the plan would likely not be approved
unless the railroad could demonstrate clearly that the method complied
with subpart G. For railroads wishing to conduct selections through the
use of a random number table, FRA has drafted a guidance document
explaining how this approach can be implemented in compliance with
subpart G. A railroad can obtain this guidance document by contacting
the FRA Drug and Alcohol Program Manager. It is also included as
Appendix C to the model random testing plan, available on FRA's Web
site at http://www.fra.dot.gov/Page/P0345.
Paragraph (b)(2) would specify that a selection method must be free
of bias (either real or apparent) and must employ objective, neutral
criteria to ensure that every employee has a statistically equal chance
of being selected during a specified time frame. A selection method
could not utilize subjective factors that would permit a railroad to
manipulate selections to either target or shield from testing a certain
regulated employee. See Compliance Manual 9.6.1. These requirements are
found in multiple sections of the current rule addressing random drug
testing (for example, Sec. 219.601(b)(1) and Sec. 219.602(e)), but
are missing from the sections on random alcohol testing. FRA believes
that this is an accidental oversight, as there is no logical reason for
drug selections to be made according to objective and neutral criteria,
but not alcohol selections. Furthermore, FRA has historically
interpreted subpart G in a manner that applies these requirements to
random alcohol testing. See generally Compliance Manual 9.6 (discussing
selection procedures without distinguishing between random drug and
random alcohol testing). This paragraph would correct this oversight
and ensure that the requirements specifically apply to both random drug
and random alcohol testing.
Paragraph (b)(3) would require a railroad to be able to verify the
randomness of its selection method. Examples of how a railroad could do
so include, but are not limited to, analyzing the source code of a
computer selection program or reviewing past selections to ensure that
the results appear to conform to randomness (e.g., the same individual
is not always selected first). Paragraph (b)(3) would also require a
railroad to maintain any records necessary to document random
selections for a minimum of two years from the date the designated
testing window for the selection closed. Such records include, but are
not limited to, documentation indicating the composition of the random
selection pool and the entries that were selected from it. See
Compliance Manual 9.6.2.
Paragraph (c)--Minimum Random Testing Rate
Paragraph (c) would incorporate FRA guidance by requiring a
railroad to make sufficient selections to ensure that each random
testing pool will meet the minimum annual testing rates. See Compliance
Manual 9.6.5. To support the deterrence effect of random testing,
railroads would also have to ensure that random tests are reasonably
distributed throughout the calendar year. See Compliance Manual
9.6.5.1. FRA understands that the distribution of random selections and
tests throughout the year cannot be absolutely perfect. Nevertheless, a
railroad would be in violation of this section if its distribution of
selections and tests throughout the year suggested that the tests were
loaded into certain months or quarters because the railroad had failed
to properly monitor its random test completion rate and was trying to
comply with the minimum annual testing rate at the last minute.
Similarly, a railroad would be in violation of this paragraph if it
made all its selections and conducted all required testing within the
first quarter of a year, thereby eliminating the deterrence value of
random testing for the remainder of the year.
Paragraph (c)(2) would incorporate FRA guidance by requiring a
railroad to continuously monitor changes in its workforce to ensure
that the required number of selections and tests will be completed
annually. See Compliance Manual 9.6.5.4.
Paragraph (c)(3) would explain how a railroad must calculate the
total number of regulated employees eligible for random testing
selection throughout a year and the total number of selections that it
needs to complete and test to meet the minimum annual testing rate. The
substantive requirements of this proposed paragraph are essentially the
same as those contained in current
[[Page 43872]]
Sec. Sec. 219.601(b)(2)(ii) and 219.607(b)(1), and no substantive
change is intended.
Paragraph (d)--Selection Frequency
Paragraph (d) would require a railroad to select and test at least
one entry from each random testing pool every three months (i.e., once
per quarter), regardless of the size of the pool or how often
selections are made. This is a new requirement not currently found in
subpart G or FRA's published guidance. Paragraph (d) would not,
however, excuse the railroad from complying with the applicable minimum
annual percentage rates (e.g., for a pool of 16 MOW workers subject to
a minimum annual random drug testing rate of 50 percent, a railroad
would still have to select and test a minimum of eight entries per
year).
This paragraph would complement proposed Sec. 219.611(c)
(discussed above), which would require random testing pools to include
at least four entries. Both proposals would address FRA's concern that
small random testing pools do not create a sufficient deterrence
effect. As discussed above, FRA believes a sufficient deterrence effect
would be created if at least one entry from a random testing pool is
selected for testing each quarter. FRA is soliciting public comment on
whether it should consider requiring at least one selection to be made
at a rate greater or less than quarterly.
FRA does not believe that the combined requirements of proposed
Sec. Sec. 219.611(c) and 219.613(d) would create an undue burden for
railroads. A railroad would have the following options to comply with
these proposed provisions:
If the railroad has four or more entries in each random
testing pool, it could select and test at least one entry from each
pool per quarter.
If the railroad has fewer than four regulated employees,
it could join a C/TPA so that its regulated employees are placed into a
pool with regulated employees from other DOT-regulated entities. Any C/
TPA pool with FRA regulated employees would still be required to have
more than four entries, and at least one entry from each pool must
still be tested per quarter.
If an employer is a contractor company performing
regulated service for a railroad, the contractor's regulated employees
could be incorporated into the railroad's subpart G random testing
program.
Paragraph (e)--Discarded Selection Draws
Paragraph (e) would require a railroad to utilize a completed
selection draw to identify which individuals must be subject to random
testing. This requirement would apply regardless of the number of
entries selected. A completed selection draw could not be discarded
without an acceptable explanation, such as the selection was made from
a pool that was incomplete or inaccurate (e.g., a selected employee was
no longer employed by the railroad).\30\ For each instance where
selected individuals were not random tested, a railroad would have to
maintain records documenting the specific reason why testing was not
completed. This requirement would prevent a railroad from discarding a
selection simply because it was not satisfied with who was or was not
selected for random testing (i.e., because the railroad wished to
either target or protect certain regulated employees). For example, a
railroad manager would be prohibited from discarding a selection draw
because he wished to protect a selected individual whom he knew was
using drugs or alcohol in violation of FRA prohibitions. See Compliance
Manual 9.6.4.1.
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\30\ Railroads should note that while proposed Sec. 219.613(e)
would permit a selection draw to be discarded for an ``acceptable''
reason, it does not permit the cancellation of a random test that
has already been completed as a result of that draw. See Sec.
40.209(b)(10) (prohibiting a railroad from cancelling a test because
an employee claimed that he or she was improperly selected for
testing).
---------------------------------------------------------------------------
Paragraph (f)--Increasing Random Selections
Paragraph (f) would specify that if a railroad was not able to
complete a collection for all selections during the designated testing
window, as provided by Sec. 219.615(f) (which would require a railroad
to have an acceptable reason for an incomplete collection) or Sec.
219.617(a)(3) (which would excuse an employee notified of a random test
in a situation involving a substantiated medical emergency involving
the employee or an immediate family member), the railroad may over-
select during the draw for the next designated window to ensure that it
is meeting the minimum random testing rate. Railroads doing so should
remain aware, however, of the Sec. 219.613(c) requirements that random
tests be distributed reasonably throughout the calendar year. A
railroad could violate this requirement if it had numerous incomplete
collections throughout the calendar year and then drastically increased
selection during the final designated testing window in that year in
order to meet the minimum random testing rate.
Paragraph (g)--Selection Snapshots
Paragraph (g) would incorporate FRA guidance by requiring a
railroad to capture and maintain an electronic or hard copy snapshot of
the entries in each random testing pool at the time of a selection.
While FRA guidance currently directs railroads to maintain a hard copy
of such snapshots, this proposed provision would specifically permit
electronic copies. See Compliance Manual 9.5.3.4. The snapshot must be
contemporaneous with the time of the selection, and pool entries could
not be re-created from records after the time of the selection.
Documentation of each snapshot would be required to be maintained for
two years, in accordance with the record-keeping requirements of
subpart J (referenced by proposed Sec. 219.623). FRA would review such
snapshots during its audits to ensure that the random testing pool from
which a selection was made was complete.
Paragraph (h)--Multiple DOT Agencies
Paragraph (h) would remind railroads that regulated employees who
are subject to the regulations of more than one DOT agency must be
subject to random drug testing at or above the minimum annual
percentage rate set by the DOT agency regulating more than 50 percent
of the employee's DOT functions, as provided by proposed Sec.
219.601(d).
Section 219.615--Random Testing Collections
This section would contain requirements governing random testing
collections, many of which are incorporated from traditional FRA
guidance on the proper management of random testing collections. See
generally Compliance Manual 9.7.3. These requirements would supplement,
and not replace, the drug and alcohol testing procedural requirements
of part 40, which apply to random testing under Sec. 219.701.
Overall, the proposed requirements of this section would continue
to emphasize the deterrence value of random testing. If specimen
collections are thoughtfully planned and properly executed, regulated
employees should generally perceive that they may be selected for
random testing anytime they are subject to performing regulated
service.
Paragraph (a)--Minimum Random Testing Rates
Paragraph (a) would require a railroad to complete a sufficient
number of random testing collections from each
[[Page 43873]]
random testing pool to meet the minimum annual percentage rates.
Paragraph (b)--Designated Testing Window
Paragraph (b) would incorporate FRA guidance by requiring a
railroad to complete the collection for a selected pool entry within
its designated testing window (which a railroad must describe in its
random testing plan under proposed Sec. 219.607(c)(13)). See generally
Compliance Manual 9.7.3.2. A designated testing window is the specified
time frame within which a railroad must complete a collection once an
entry has been selected for random testing (for example, from midnight
on Monday through midnight the following Monday). Such designated
testing windows are necessary because regulated employees may not be
on-duty and subject to performing regulated service on the date for
which they are selected. If a railroad does not complete a collection
within the designated testing window, the selection is no longer valid.
A selected employee cannot be subjected to random testing outside a
designated testing window. See generally Compliance Manual 9.7.3.2.
Paragraph (c)--Collection Timing
Paragraph (c)(1) would state that a regulated employee may be
subject to random testing only when he or she is on duty and subject to
performing regulated service. Sections 219.601(b)(6) and 219.607(b)(5)
currently require a covered employee to be on-duty when subject to
testing. The additional language in this proposed paragraph is intended
for clarification purposes only.
Paragraph (c)(2) would restate the current requirement that random
collections must be unannounced and spread reasonably through the
calendar year. See Sec. 219.602(g) and Sec. 219.607(b)(3). As
provided by FRA guidance, collections must also be spread unpredictably
throughout a designated testing window and reasonably cover all
operating days of the week (including operating weekends and holidays),
shifts, and locations. See Compliance Manual 9.7.3.3. While the
distribution of collections during a specific time period does not have
to be perfectly equal to that time period's percentage of a railroad's
total operations (e.g., if 20 percent of a railroad's operations occur
during a specific day in a week, a railroad is not required to conduct
exactly 20 percent of its random tests during that day), sufficient
random testing during a time period must be conducted to establish a
deterrence effect. Id. For example, a railroad would be in violation of
this provision if 30 percent of its operations occurred on Saturdays
and Sundays, but only 5 percent of collections occurred on a Saturday
and no tests occurred on Saturday afternoons. Id. If a railroad
predictably did not perform random testing during a certain time, day,
month, etc., an employee may believe that he or she could use drugs
and/or alcohol at those times, without risk of FRA random testing.
Paragraph (c)(3) would incorporate FRA guidance by requiring random
alcohol test collections to be performed unpredictably and in
sufficient numbers at either end of an operating shift to establish an
acceptable deterrence effect throughout the entire shift. See
Compliance Manual 9.7.3.5. The predictability of alcohol testing is a
special concern for FRA because breath testing can only detect alcohol
use for a limited amount of time (a few hours) afterwards. As stated
earlier, FRA realizes that railroads often conduct alcohol tests at the
beginning or end of a train crew's shift for operational reasons, but
alcohol testing must be conducted at other times to prevent crews from
being able to predict when tests are likely to occur. For example, if
random alcohol testing occurs only at the end of shifts, an employee
may consume alcohol at the beginning of a shift under the assumption
that his or her alcohol use would not be detectable by the end of the
shift. FRA is therefore proposing to require a railroad to conduct some
of its random alcohol tests at both the beginning and end of shifts. At
least 10 percent of a railroad's random alcohol tests should occur at
the opposite end of the shift in which it usually tests in order to
generate an acceptable level of deterrence throughout an entire shift.
See Compliance Manual 9.7.3.5.
Paragraph (c)(4) would clarify that if a regulated employee is
selected for both random drug and alcohol testing, these tests may be
conducted separately, so long as both tests can be completed by the end
of the employee's shift and the railroad does not inform the employee
that an additional random test will occur later. Conducting the tests
in this manner could have two benefits for a railroad. First, it could
minimize burdens resulting from either operational delays or possible
hours-of-service violations due to the sometimes lengthy times required
for drug testing specimen collections. Second, it could support the
railroad's compliance with the FRA requirement that at least 10 percent
of random alcohol tests must be conducted at opposite ends of the
shift.
Paragraph (d)--Collection Scheduling
The introductory text of paragraph (d) would incorporate FRA
guidance by clarifying that, while pool entries must be selected
randomly, railroads do not have to select random testing dates or
schedule specimen collections randomly. See Compliance Manual 9.7.3.2.
A railroad may choose the date and time on which a pool entry is to be
notified and tested, so long as its pool entries are randomly selected
and urine collections and breath alcohol tests are completed within the
railroad's designated testing window. As provided by paragraph (d)(1),
scheduling could be based upon the availability of the selected pool
entry, the logistics of performing the collection, and any other
requirements of subpart G. See Compliance Manual 9.7.3.2. However, when
a selected pool entry contains different employees at different times
(such as a train crew or a job function), paragraph (d)(2) would
prohibit a railroad from using its discretion to schedule the test on a
date which would deliberately target or protect a particular employee.
See Compliance Manual 9.7.3.2.
Similarly, paragraph (d)(2) would prohibit railroad field
supervisors and/or managers from using their discretion or personal
knowledge to intentionally choose dates or times that would alter the
identity of who would be tested. See Compliance Manual 9.7.3.6. FRA
understands that the individual who schedules testing dates for a
railroad may have some personal knowledge as to who would be tested as
a result of that scheduling. Generally, FRA believes that any risk to
the integrity and credibility of a random testing program is minimized
when the person making scheduling decisions is located at the level of
the railroad's headquarters, rather than at the field level where it is
easier for personal considerations to come into play.
Paragraph (e)--Notification Requirements
Paragraph (e)(1) would restate existing Sec. 219.601(b)(4), which
prohibits a railroad from notifying a regulated employee of his or her
random testing selection until the duty tour in which the random
testing collection is to be conducted. Consistent with this existing
regulatory requirement, notification may occur only so far in advance
as is reasonably necessary to ensure the regulated employee's presence
at the
[[Page 43874]]
time and place of the scheduled collection.\31\ See Sec.
219.601(b)(4).
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\31\ As stated earlier, while Sec. 219.601(b)(4) currently
specifies that these notification requirements apply to random drug
testing, similar language is missing from the sections on random
alcohol testing. The proposed provision would correct this oversight
and clarify that these requirements also apply to random alcohol
testing.
---------------------------------------------------------------------------
Paragraph (e)(2) would further provide that, unless there is an
acceptable reason for the delay, collections must be conducted as soon
as possible and commence no later than two hours after notification.
This would be a new requirement not currently found in FRA regulations
or guidance. (While FRA guidance currently directs railroads to notify
train crews in transit no more than an hour before their arrival, this
guidance applies only to train crews selected for random testing and
does not directly address the time in which a random testing collection
must begin. See Compliance Manual 9.7.3.8.) FRA believes that two hours
is more than enough time to begin a collection once a regulated
employee has been notified of his or her selection for random testing.
Consistent with current guidance, paragraph (e)(2) would require a
regulated employee to be monitored after notification and, when
possible, immediately escorted by supervisory or management personnel
to the collection location. Id. These requirements would ensure that a
regulated employee notified of his or her selection for random testing
does not have the opportunity to either obtain false samples/
contaminating products or to otherwise avoid the collection. Id.
Paragraph (e)(3) would restate current provisions requiring a
railroad to inform a notified regulated employee that his or her
selection was on a random basis. See Sec. Sec. 219.601(b)(7) and
219.607(b)(7). It would also clarify that a railroad may satisfy this
requirement by showing the regulated employee a completed DOT Custody
and Control Form (CCF) or DOT Alcohol Testing Form (ATF) indicating the
basis for testing, so long as the employee has been shown and directed
to sign the CCF or ATF as required by Sec. Sec. 40.73 and 40.241.
Paragraph (f)--Incomplete Collections
Paragraph (f) would require a railroad to use due diligence to
ensure that a test is completed for each selection, unless there is an
acceptable reason for not conducting the test. This language would
incorporate historic FRA guidance directing railroads to ensure that a
collection is completed for each selection, unless there is an
acceptable reason for failing to do so. See Compliance Manual 9.7.3.7.
New language would require a railroad to document its reasons for
failing to complete the test of a selection in sufficient detail to
allow FRA to determine whether due diligence was exercised and whether
there was an acceptable reason for the failure.
Under this paragraph, only an unforeseen and unpredictable problem
would be an acceptable explanation for not completing a collection. An
example of an acceptable explanation would be an illness of a regulated
employee that extended throughout the entire designated testing window.
FRA would likely not accept explanations involving problems that should
be within the railroad's control (for example, a collector that does
not show up for a collection or the lack of an available supervisor
when required). FRA would also not accept an explanation that was based
upon convenience or the operational priority of certain trains within a
railroad's system.
Paragraph (g)--Hours-of-Service Limitations
For covered employees, paragraph (g) would govern the relationship
between FRA's random testing and HOS requirements. Under this
paragraph, a random testing collection not completed within a covered
employee's HOS limitations must be immediately terminated and may not
be rescheduled. Since the railroad controls the timing of a random
test, a railroad is responsible for ensuring that sufficient time is
available to complete a random testing collection, even for situations
involving an employee who has a shy bladder and utilizes the entire
three hours permitted by Sec. 40.193 to provide a urine sample for
drug testing. See Interpretive Guidance Manual at 41.
Paragraph (g)(2), however, would require a railroad to continue a
random testing collection regardless of any HOS limitations when a
direct observation collection is required under Sec. 40.67(a) or
(c).\32\ See Interpretive Guidance Manual at 41. Generally, a mandatory
direct observation is required when: (1) There is evidence indicating
that the employee may have attempted to tamper with his or her specimen
at the collection site (for example, the temperature of the employee's
urine specimen is out of the normal range); or (2) an MRO has ordered
an immediate direct observation collection because the employee had no
legitimate medical reason for an invalid laboratory result or because
the employee's positive or refusal (adulterated/substituted) test
result was cancelled because a split specimen test could not be
performed. See Office of Drug and Alcohol Policy and Compliance, DOT's
Direct Observation Procedures, available at http://www.dot.gov/odapc/dot-direct-observation-procedures. Direct observation collections would
have to be completed in these situations, regardless of HOS
limitations, because there is some indication that the employee,
perhaps knowing that he or she may test positive, may have tried to
beat the test. If a mandatory direct observation collection does result
in an HOS violation, the railroad would be required to submit an excess
service report as required by 49 CFR part 228. In such situations FRA
would use its prosecutorial discretion in deciding whether to pursue
action against the railroad for the HOS violation. See Interpretive
Guidance Manual at 41.
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\32\ Direct observation collections are also required under
Sec. 40.67(b) for all return-to-duty and follow-up testing.
Proposed paragraph (g)(2) would not apply to Federal return-to-duty
tests, however, because an employee must have a negative return-to-
duty test before resuming the performance of regulated service. It
also would not apply to Federal follow-up tests because their
scheduling is within the discretion of the railroad. However, a
direct observation follow-up test would have to proceed regardless
of HOS limitations if something occurred during the collection that
would have independently triggered a mandatory direct observation
test under Sec. Sec. 40.67(a) and (c).
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Section 219.617--Participation in Random Alcohol and Drug Testing
This section would combine, clarify, and expand upon the
participation requirements currently found at Sec. 219.603 (for drug
testing) and Sec. 219.609 (for alcohol testing).
Under paragraph (a)(1), a railroad would have to require a selected
regulated employee to cooperate in random testing. If an individual was
performing regulated service when notified of his or her selection,
paragraph (a)(2) would require the railroad to ensure that he or she
ceased to perform regulated service and proceeded to the testing site
as soon as possible without affecting safety. The railroad would also
have to ensure that a regulated employee's absence from his or her
assigned duties did not adversely affect safety.
Paragraph (a)(3) would specify that a regulated employee who has
been notified of his or her selection could be excused from random
testing only by a substantiated medical emergency involving either the
employee or an immediate family member. This requirement is currently
found in Sec. Sec. 219.603 and 219.609, and railroads have often
questioned FRA to clarify its meaning when faced with an employee who
failed to appear for or abandoned
[[Page 43875]]
a random test, claiming a medical emergency.\33\ New language in
paragraph (a)(3) would clarify that a medical emergency is an acute
medical condition requiring immediate emergency care. A regulated
employee claiming that he or she had a medical emergency would be
required to provide verifiable documentation from a credible outside
professional (such as a doctor, dentist, hospital, law enforcement
officer, or school authority) within a reasonable time after the
emergency occurred. A regulated employee who was excused from random
testing because of a properly documented medical emergency could not be
later subject to random testing by the railroad under the same
selection. A regulated employee who avoided a random test by claiming a
medical emergency that was unverifiable or did not meet the threshold
of an acute medical condition requiring immediate emergency care would
be deemed to have refused the test.
---------------------------------------------------------------------------
\33\ The text of current Sec. Sec. 219.603 and 219.609
specifically states that an employee may be excused from testing
only for a ``documented medical or family emergency.'' Historically,
FRA has interpreted a ``family emergency'' to mean a medical
emergency involving a family member. In other words, FRA would not
permit a covered employee to be excused from random testing for a
``family emergency'' that was not also a medical emergency. For
example, a covered employee would not be excused from random testing
because he or she needed to pick up his or her child at daycare,
unless that child was experiencing a medical emergency. Therefore,
the purpose of FRA's proposed language, which applies to a
``substantiated medical emergency involving the employee or an
immediate family member,'' is to clarify how FRA has been
interpreting the current language, and not to make any substantive
changes to the current requirements.
---------------------------------------------------------------------------
While paragraph (a) would address the random testing
responsibilities of a railroad, paragraph (b) would address the random
testing responsibilities of a regulated employee. Under paragraph
(b)(1), a regulated employee would be required to cooperate with the
random selection and testing process and to proceed to a testing site
upon notification as soon as possible without adversely affecting
safety. Under paragraph (a)(2), the responsibility for determining
whether there would be an adverse effect on safety would rest with the
railroad, and a railroad should not notify a regulated employee of his
or her selection for random testing until it has determined that the
individual's absence from his or her duties would not adversely affect
safety. A notified regulated employee should therefore assume that the
railroad has already determined that he or she may report immediately
for testing without adversely affecting safety. Under paragraph (b)(2),
a regulated employee would be required to fully cooperate and comply
with the testing procedures of part 40 (such as providing the required
specimens and completing the required paperwork and certifications),
which are incorporated into FRA's random testing requirements by Sec.
219.701.
Section 219.619--Positive Alcohol and Drug Test Results and Refusals;
Procedures
This section would combine the requirements for responding to
positive random alcohol and drug testing results currently found in
Sec. Sec. 219.605 and 219.611, and would clarify that these procedures
apply to refusals as well. No substantive change is intended to the
current requirements.
Section 219.621--Use of Service Agents
This section would contain new provisions clarifying the role that
a service agent, such as a consortium/third party administration (C/
TPA), may play in supporting a railroad's FRA random testing program.
Although the role of service agents is discussed in subpart Q and
Appendix F of part 40, part 219 does not discuss the responsibilities
and limitations for service agents that perform random testing
responsibilities on behalf of railroads. Currently, service agents are
only incompletely addressed in Sec. Sec. 219.601(b)(2)(iii) and
219.607(b)(1)(i), which briefly mention how a railroad can use a
service agent to maintain random testing pools and perform random
selections. Proposed Sec. 219.621 would improve the regulation by
providing additional direction on how service agents may and may not be
utilized.
Paragraph (a) would clarify that railroads may use service agents
to perform any role specifically permitted under subpart Q of part 40
(Roles and Responsibilities of Service Agents). Examples of these roles
include, but are not limited to, maintaining random testing pools,
conducting random selections, and performing random drug collections or
alcohol tests.
Paragraph (b) would prohibit railroads from using a service agent
to notify a regulated employee that he or she has been selected for
Federal random testing, as this function must be performed by the
individual's direct employer. Using a service agent (such as a
collector) to notify a regulated employee of his or her selection is
problematic because the regulated employee may not be aware that the
service agent is an authorized agent of the railroad. This doubt may
lead the regulated employee to refuse to comply with the service
agent's random testing instructions, which could result in the employee
being charged with a refusal. Rather than addressing the difficulties
of ensuring that regulated employees are fully aware and confident of a
service agent's authority, FRA believes it is simpler to require all
notifications to be issued by an individual's direct employer, unless
otherwise provided for by the railroad's FRA-approved random testing
plan. If a railroad's random testing plan does specifically authorize a
service agent to notify regulated employees, FRA would likely only
approve that plan if it specified that the railroad would train or
otherwise ensure that its regulated employees knew that a service agent
was authorized to provide such notification. A direct employer must
notify regulated employees of their selection for random testing also
because Sec. 219.617(a)(2) requires a railroad to ensure that a
notified regulated employee proceeds to the collection site as soon as
possible without affecting safety. This safety determination should be
made by an individual who is responsible for the operational safety of
the railroad, not a service agent who would probably not have the
requisite knowledge and experience to make such a safety determination.
Paragraph (b) would also remind railroads that a service agent may
not perform any roles that are reserved for employers under Sec.
40.355 and would specify that only a railroad or a contractor company
performing railroad-accepted testing can be considered an employer
under Sec. 40.355.
Paragraph (c) would remind railroads and contractor companies of
their responsibilities under Sec. 219.9 (discussed above) by
clarifying that the primary responsibility for subpart G compliance
rests with the railroad, although FRA reserves the right to bring an
enforcement action against a railroad, its service agents, its
contractors, or its employees.
Paragraph (d) would clarify that a C/TPA conducting random testing
may calculate the number of regulated employees who must be tested
either for each individual railroad belonging to the C/TPA, or for the
total number of regulated employees covered by the C/TPA. If a C/TPA is
making selections from a combined employer random pool, it must ensure
that it is testing at a rate equal to the highest minimum annual
percentage rate established under the random testing regulations of a
DOT agency for any individual member of that pool.
[[Page 43876]]
Section 219.623--Records
This section would contain general provisions governing the
maintenance of random testing records. This section would not make any
major substantive changes to the record requirements currently found in
subpart G.
Paragraph (a) would specify that railroads are required to maintain
random testing records for a minimum of two years, as provided by
proposed Sec. 219.901. This requirement is currently found in Sec.
219.901(c) and Sec. 219.903(c).
Paragraph (b) would contain new language clarifying that contractor
companies and service agents performing subpart G random testing
requirements must provide required records whenever requested either by
FRA or the employing railroad, although the railroad remains ultimately
responsible for maintaining the records required by subpart G.
Section 219.625--FRA Administrator's Determination of Random Alcohol
and Drug Testing Rates
FRA is proposing to combine the provisions currently addressing the
Administrator's determination of the minimum annual percentage rate for
random drug testing (current Sec. 219.602) and random alcohol testing
(current Sec. 219.608) into a new Sec. 219.625. No substantive
changes have been made to the rate determination criteria found in the
current rule for either drugs or alcohol, although some of the language
has been streamlined and clarified. (For example, FRA is proposing
minor changes to clarify that FRA only considers MIS data for random
testing positives and/or violations when determining the minimum annual
random percentage rates.) With the exception of the proposed provisions
contained in paragraph (c), this section only contains provisions
related to the determination of random testing rates that are already
in current subpart G.
Paragraph (c) would contain new language establishing criteria for
the future incorporation of any new category of regulated employees
added to the scope of part 219. Although paragraph (c) would
immediately affect the expansion of part 219 to MOW employees, it is
also intended to apply if FRA decides to expand part 219 to cover
additional categories of employees.
For any new category of employees, the introductory text of
paragraph (c) would establish the initial minimum annual percentage
rates for random drug testing (50 percent) and random alcohol testing
(25 percent). As previously discussed in Section III.H of this NPRM in
relation to MOW employees, FRA believes that these higher initial
random testing rates are appropriate because FRA set the same rates
when it initiated random testing for covered employees. FRA believes it
is fair to start all new categories of regulated employees at the same
rates.
Paragraph (c)(1) would provide that the Administrator would
reconsider these initial minimum annual percentage rates once FRA had
at least 18 months worth of MIS testing data for the new category of
regulated employees. FRA briefly considered proposing that the rates
could be changed once it had data for two years, but concluded that
this approach could be problematic given that railroads are only
required to submit MIS data annually. See Sec. 219.800(a). If a new
category of regulated employee was added to part 219 any time after the
start of the MIS reporting year, it would take three MIS reporting
cycles (three years) to collect two complete years' worth of data. By
requiring only 18 months of MIS data, FRA could reconsider its initial
testing rates based on only two years of MIS reports on the drug and
alcohol testing results of regulated employees, so long as this new
employee category was incorporated within the first six months of FRA's
MIS reporting cycle. FRA believes this approach would provide greater
flexibility to adjust initial testing rates in response to MIS data
indicating that such an adjustment may be appropriate.
Paragraph (c)(2) would provide that the Administrator will
determine separate random testing rates for each new category of
regulated employees for a minimum of three full calendar years after
that category has been incorporated into part 219. Paragraph (c)(3)
would further provide that the Administrator could combine a new
category of regulated employees with the larger regulated employee
population once the categories' positive rates have been identical for
two years. This would permit the Administrator sufficient time to
ensure that the deterrence value of the random testing rates has been
clearly established before considering whether to change the testing
rates for a new employee category. The Administrator would also be able
to carefully monitor positive rate trends for the new category that
might otherwise be lost if these employees were automatically made part
of the larger population of regulated employees.
Subpart H--Drug and Alcohol Testing Procedures
Section 219.701--Standards for Drug and Alcohol Testing
Paragraphs (a) and (b) of this section would be amended to reflect
the proposed separation of the requirements for reasonable suspicion
and reasonable cause into two separate subparts, as discussed in
Section VI.A of this preamble. These paragraphs would also be amended
to clarify that any alcohol or drug testing conducted as the result of
a co-worker or non-peer referral under a proposed subpart K peer
prevention program must be conducted under FRA authority and comply
with the requirements of part 40.
Currently, paragraph (c) of this section requires covered employees
notified of their selection for testing to proceed to the testing site
immediately, or as soon as they can stop performing covered service
safely. FRA is proposing to move this requirement to Sec. 219.11(e).
FRA believes this provision is a general requirement that belongs more
appropriately in Sec. 219.11, titled ``General conditions for chemical
tests''.
Subpart I--Annual Report
Section 219.800--Annual Reports
Paragraph (b) of this section would be amended to update and
correct the internet link containing the electronic version of the MIS
form and information on where to submit the form.
FRA is also proposing a new paragraph (f) specifying that railroads
would be required to report MIS information separately for covered
employees and MOW employees. Separate MIS reporting would allow FRA to
gather the data necessary to establish separate random testing rates
for MOW employees. FRA is specifically requesting public comment on
what type of burdens this would impose on railroads and whether
separate MIS reporting should be required only when there are separate
testing rates for covered employees and MOW employees.
Subpart J--Recordkeeping Requirements
Section 219.901--Retention of Alcohol and Drug Testing Records
FRA's requirements for the retention of alcohol testing records are
currently contained in Sec. 219.901, while the requirements for the
retention of drug testing records are contained in Sec. 219.903. The
requirements contained in these two sections, however, are essentially
identical. For the purpose of streamlining the regulations, therefore,
[[Page 43877]]
FRA is proposing to incorporate the requirements for both alcohol and
drug testing records into Sec. 219.901, which would be renamed
``Retention of alcohol and drug testing records.'' This structural
change is intended for clarification purposes only, and no major
substantive amendments are being proposed.
In addition to this structural change, FRA is also proposing
several minimal and clarifying amendments to the provisions of Sec.
219.901, as discussed below.
Paragraph (a)(2)
FRA currently requires railroads to maintain all Federal alcohol
and drug test results, including negative or cancelled results, for a
period of two years. See Sec. 219.901(c)(2)(i)-(iii) and Sec.
219.903(c)(2)(i)-(ii). Under Sec. 40.333(a)(4), however, railroads
must maintain documents related to negative or cancelled alcohol and
drug tests only for a period of one year. Generally, whenever a
railroad is subject to multiple recordkeeping requirements of different
lengths, it must comply with the requirement that mandates the longest
retention period. See Compliance Manual 14.5. Railroads are not excused
from complying with FRA's two-year retention requirement for negative
and cancelled test records, therefore, simply because Sec.
40.333(a)(4) requires employers to keep such records only for one year.
However, in an effort to ease this recordkeeping burden on
railroads, new language in proposed paragraph (a)(2) would permit
railroads to maintain legible and accessible scanned or electronic
copies of test records for the second year that they are required to be
maintained by FRA, whenever Sec. 40.333 requires those records to be
kept only for one year. Permitting railroads to maintain legible and
accessible scanned or electronic copies of test records for the second
year of FRA's mandatory retention period would reduce any difficulties
railroads may face in finding physical space in which to maintain
hardcopies of these records.
Paragraph (b)(1)
Railroads must currently maintain a summary record of each covered
employee's alcohol or drug test results for a period of five years. See
Sec. 219.901(b)(1) and Sec. 219.903(b)(1)(i). FRA has not been
actively enforcing this requirement, however, so long as a railroad has
maintained the individual files of each regulated employee's alcohol
and drug tests for a period of five years. Therefore, FRA is proposing
to amend paragraph (b)(1) to permit a railroad to comply by maintaining
either a summary record or the individual files for the five year
period. This amendment would both reflect FRA's enforcement policy and
support smaller railroads, which often find it impractical to maintain
the summary records currently required.
Paragraph (c)(1)(ii)
Railroads must currently maintain documents related to the random
testing process. Proposed paragraph (c)(1)(ii) would be amended to
clarify that the scope of this requirement includes the railroad's
approved random testing plan and FRA's approval letter for that plan.
Paragraph (c)(1)(iii)
Currently, the language of Sec. 219.901(c)(1)(iii) and Sec.
219.903(c)(1)(ii) specifies that railroads must maintain records
related to decisions to administer Federal reasonable suspicion tests
for a period of two years. Decisions to administer Federal reasonable
cause tests, however, are not specifically addressed by this
requirement. In its guidance, FRA states that this oversight was
inadvertent and that this requirement also applies to Federal
reasonable cause testing determinations. See Compliance Manual 14.5.
Proposed paragraph (c)(1)(iii) would incorporate this guidance by
clarifying that the two-year retention requirement also applies to
records related to Federal reasonable cause testing determinations.
Paragraph (c)(4)(iii)
Railroads are currently required to maintain documentation on
supervisor training regarding reasonable suspicion testing
determinations. See Sec. 219.901(c)(4)(iii) and Sec.
219.903(c)(4)(iii). Under Sec. 219.11(g), however, railroads must
train supervisors regarding both reasonable suspicion testing
determinations and the criteria for making determinations concerning
PAT testing. New language in proposed paragraph (c)(4)(iii) would
clarify that the maintained training documents must include training
attendance records and training materials, and that railroads must also
maintain supervisor training documents related to PAT testing
determinations. FRA guidance applies this provision to documents
related to the training requirements of Sec. 219.11(g), which
addresses both reasonable suspicion and PAT testing determinations. Id.
The proposed amendment would incorporate this guidance into the
regulations.
FRA Would No Longer Require Training Certification
Under Sec. 219.901(c)(iv) and Sec. 219.903(c)(iv), railroads are
currently required to maintain records certifying that any training
conducted under part 219 complies with the requirements for such
training. In its retrospective review, FRA found that it had never
inspected for this requirement because it audits railroads' training
documents directly to ensure that they comply with part 219. FRA is
proposing to reduce its recordkeeping requirements by removing the need
to maintain certification records.
Section 219.903--Access to Facilities and Records
Due to the consolidation of the provisions in Sec. 219.901 and
Sec. 219.903 into proposed Sec. 219.901, which would apply both to
alcohol and drug testing records, the requirements for facilities and
records access currently contained in Sec. 219.905 would be moved to
proposed Sec. 219.903, entitled ``Access to facilities and records.''
Paragraph (a) of this section would also be further amended to reflect
the consolidation of Sec. 219.901 and Sec. 219.903 into a single
Sec. 219.901.
Subpart K--Peer Support Programs
Currently, subpart E requires railroads to design and implement
voluntary referral and co-worker report policies. Under these policies,
a covered employee who abuses alcohol or drugs as part of a treatable
condition may maintain an employment relationship with a railroad so
long as he or she obtains counseling and treatment by entering the
railroad's subpart E program. These policies are beneficial because
they provide assistance to valuable covered employees who have
substance abuse disorders that can be addressed through appropriate
counseling or treatment.
The success of peer support programs would be supported if the
benefit of addressing substance abuse disorders through such
rehabilitative programs is clearly understood by railroad management,
employees, and any involved collective bargaining organizations. Over
the years, however, FRA's experience enforcing the requirements of the
current subpart E has revealed that the railroad industry is sometimes
confused about the subpart's intent and FRA's expectations for
compliance. This NPRM is therefore proposing to rewrite various peer
support program provisions to provide additional detail, clarity, and
focus. The proposed amendments would also give
[[Page 43878]]
railroads greater flexibility to develop peer support programs that
both promote safety and encourage regulated employees to utilize the
peer support programs to address any treatable substance abuse issues.
FRA's audits of subpart E programs have also discovered that
covered employee usage of peer support programs can vary from railroad
to railroad, even though the various programs all appear to meet the
subpart E requirements. To the extent that low usage rates of a subpart
E program at a railroad may be the result of policies that are unclear
or misunderstood, FRA's proposed amendments are an effort to bolster
participation by ensuring that the requirements for peer support
programs are clearly understood by the railroad industry.
Furthermore, in order to accommodate dedicating an entire subpart
each to reasonable cause testing and reasonable suspicion testing, as
discussed above in Section VI.A of this preamble, this NPRM is
proposing to move the requirements for peer support programs from the
current subpart E to a new subpart K. FRA would also change the title
of subpart K from ``Identification of Trouble Employees'' to ``Peer
Support Programs.'' FRA believes the new title is a more accurate
reflection of the purpose and intent of subpart K, which is to provide
support to regulated employees who abuse alcohol or drugs as part of a
treatable condition.
Similarly, FRA is proposing to replace the phrase ``co-worker
report'' with the phrase ``co-worker referral'' throughout subpart K.
FRA believes that ``referral'' is preferable in this situation because
``report'' may sometimes have a negative connotation that discourages
employees from referring co-workers who genuinely need assistance.
FRA is also proposing to streamline the regulations by requiring
railroads to maintain a single peer support program policy, as opposed
to the current rule, which requires a separate voluntary referral
policy and co-worker report policy. The peer support program policy
required by proposed subpart K would then be required to contain both a
self-referral policy and a co-worker referral policy. By making self-
referrals and co-worker referrals part of the same peer support program
policy, FRA is emphasizing that these programs work together towards
the same purpose. FRA is also proposing to clarify that peer support
program policies are permitted to accept non-peer referrals, as will be
discussed further in the section-by-section analysis below.
Section 219.1001--Requirement for Peer Support Programs
Paragraph (a)
Paragraph (a) of this section would specify that the purpose of
subpart K is to help prevent the adverse effects of alcohol misuse and
drug use by regulated employees through the implementation of peer
referral and support programs. This purpose is slightly more specific
than that contained in current Sec. 219.401(a), which states only that
the purpose of subpart E is to prevent the use of alcohol and drugs in
connection with covered service.
Paragraph (b)
Paragraph (b) would require a railroad to adopt, publish, and
implement a subpart K-compliant peer support program policy that is
designed to encourage and facilitate the referral and rehabilitative
support of regulated employees who abuse alcohol or drugs. This
language is slightly different from that contained in current Sec.
219.401(b)(1), which states that the policy must be designed to also
facilitate the ``identification'' of employees who abuse drugs or
alcohol. Because FRA believes that the word ``identification'' does not
accurately reflect the purpose of subpart K, FRA is proposing to
generally remove it from the regulations' discussion of peer support
program policies. Paragraph (b) would also clarify that peer support
programs are established under the railroad's authority. For example,
any follow-up testing recommended for a regulated employee who entered
a peer support program would be conducted under the railroad's own
authority and would not have to meet the part 40 requirements, unless
the regulated employee had committed a substantiated part 219
violation.
Paragraph (c)
Paragraph (c) would specify that a railroad may comply with subpart
K by either adopting, publishing, and implementing a policy meeting the
requirements of proposed Sec. 219.1003 or by complying with proposed
Sec. 219.1007 (which discusses alternate peer support program
policies). The substance of this paragraph is essentially identical to
current Sec. 219.401(c).
Paragraph (d)
Paragraphs (d)(1), (d)(2), and (d)(5) would place specific
limitations on how the requirements of subpart K may be construed.
These provisions are not new, being identical to those contained in
current Sec. 219.401(e)(1)-(e)(3).
Paragraphs (d)(3) and (d)(4) would contain new proposed limitations
on how the requirements of subpart K may be construed. Under paragraph
(d)(3), subpart K could not be construed to interfere with mandatory
reasonable suspicion testing under subpart D when a supervisor properly
determines that a regulated employee is exhibiting signs and symptoms
of alcohol or drug use. For example, if a trained (in accordance with
Sec. 219.11(g)) supervisor noticed that a regulated employee was
exhibiting signs and symptoms, a railroad would not be excused from
performing a Federal reasonable suspicion test if the individual choose
that moment to inform the railroad that he or she wished to self-refer
to the subpart K peer support program. A trained supervisor observing
signs and symptoms may also not make a co-worker referral for the
regulated employee in lieu of performing a reasonable suspicion test.
These limitations are necessary because reasonable suspicion testing is
mandatory when a supervisor's independent actions alert him or her to
the signs and symptoms of alcohol or drug use.
Similarly, paragraph (d)(4) would specify that subpart K may not be
construed to interfere with the Sec. 219.104 responsive action
requirements when a violation of Sec. 219.101 or Sec. 219.102 has
been substantiated. For example, a regulated employee who tests
positive on a Federal random drug test may not avoid the Sec. 219.104
responsive action requirements by self-referring into the railroad's
subpart K peer support program.
Section 219.1003--Peer Support Program Requirements
Paragraph (a)
Paragraph (a) would state that Sec. 219.1003 prescribes the
minimum requirements and standards for peer support programs. It also
specifies that all individuals involved in the implementation of a peer
support program must comply with the program's policies and
implementation procedures.
Paragraph (b)--Policies Required
Paragraph (b)(1) would require a railroad peer support program
policy to include a self-referral policy that provides regulated
employees the opportunity to obtain referral, education, counseling,
and/or treatment before the employee's alcohol or drug abuse problem
results in an accident, injury, or detected part 219 violation. Because
a self-referral does not involve
[[Page 43879]]
a 219 violation, a SAP may not provide such treatment. Instead, part
240 requires a locomotive engineer to receive these services from a
qualified EAP counselor, while part 242 requires a conductor to receive
such services from a DAC. For regulated employees who self-refer and
are neither engineers or conductors, an EAP counselor evaluation would
be required. Paragraph (b)(2), in turn, would require the establishment
and support of a co-worker referral policy. Such policies are already
required by Sec. Sec. 219.403 and 219.405 of the current rule.
Paragraph (b)(3) would indicate that a peer support program policy
may provide for the acceptance of referrals from non-peers. This
language clarifies and expands upon the current Sec. 219.403(b)(1),
which states that a ``railroad must specify whether, and under what
circumstances, its policy provides for the acceptance of referrals from
other sources, including (at the option of the railroad) supervisory
employees.'' As used in proposed subpart K, the term ``non-peer'' would
refer to an individual who is not considered an employee's co-worker,
and could include a trained supervisor, representative of an employee's
collective bargaining organization, or family member. This provision
would not require a railroad to accept non-peer referrals. If a
railroad did develop a non-peer referral policy, however, this
paragraph would require the railroad to include that policy in its
subpart K peer support program policy. FRA believes that permitting
non-peer referral policies would create additional flexibility for
railroads to accept referrals from various sources other than a
regulated employee's co-workers. For example, a non-peer referral
policy could permit a concerned family member to refer a regulated
employee to the railroad's peer support program for assistance. Such a
family member may be in a better position than a co-worker to realize
that a regulated employee might be abusing alcohol or drugs to the
extent that he or she is a safety concern that could require counseling
and treatment.
Paragraph (c)--Referral Conditions
Paragraph (c) would generally require a peer support program policy
to specify the conditions under which a referral could occur. Under
paragraphs (c)(1)-(4) these conditions must encompass (but are not
limited to) the following:
For self-referrals, a policy would have to identify and
include the contact information for a designated EAP or DAC (the phone
number and email, if available). The policy would also have to indicate
when a self-referral could be made. For example, a policy could provide
that a self-referral could not be made while a regulated employee was
actually on-duty and impaired;
Whether non-peer referrals are accepted, and any
allowances, conditions, or procedures of such referrals;
A policy must specify that a railroad may accept a co-
worker or non-peer referral only if it alleges that the regulated
employee was apparently unsafe to work with or in violation of either
part 219 or the railroad's alcohol and drug rules. Similar language for
co-worker referrals is already found in current Sec. 219.405(c)(1);
and
In order to remove from service a regulated employee who
is the subject of a co-worker or non-peer referral, a railroad would
have to confirm that the individual was indeed unsafe to work with or
in violation of either part 219 or the railroad's alcohol and drug
rules. Such confirmation could consist of a credible positive test
result or an observation made by a supervisor trained according to the
requirements of Sec. 219.11(g). Similar language for co-worker
referrals is already found in current Sec. 219.405(c)(2).
Paragraphs (d)-(e)--Employment Maintained
To encourage utilization of peer prevention programs, the
introductory text of paragraph (d) would state that a regulated
employee affected by an alcohol or drug use problem may maintain an
employment relationship with the railroad so long as he or she entered
the railroad's peer support program (either through a self-referral,
co-worker referral, or non-peer referral) and successfully completed
the education, counseling, or treatment program specified by an EAP or
DAC under the provisions of this subpart. Similar language specifying
that an individual entering a peer support program may maintain an
employment relationship with a railroad is currently found in Sec.
219.403(b)(1) for voluntary referrals and Sec. 219.405(b) for co-
worker reports. Paragraph (e) would further clarify that a regulated
employee with an alcohol or drug use problem would be subject to the
railroad's normal employment action if he or she either did not enter
the peer support program or failed to cooperate with the program.
Paragraph (f)-(g)--EAP/DAC or SAP Evaluations
Under paragraph (f)(1), a regulated employee entering a peer
support program through a self-referral would have to be evaluated by
an EAP counselor or DAC acceptable to the railroad. A regulated
employee entering the program through a co-worker or non-peer referral
would have to be evaluated by a SAP counselor acceptable to the
railroad (under the standards of part 40) if the referral involved a
substantiated violation of part 219. (As discussed in the section-by-
section analysis for the proposed definition of ``Counselor,'' FRA is
proposing to use the term Counselor whenever a requirement may be met
by an DAC, EAP counselor or SAP, rather than repeating all three
terms.) A SAP evaluation must be performed in such cases because a
regulated employee who violates part 219 is subject to the responsive
action requirements of Sec. 219.104(d), which requires a SAP
evaluation for all such violations if the individual wishes to return
to regulated service. If a co-worker or non-peer referral does not
involve a substantiated part 219 violation, but the individual is found
to be unsafe to work with or in violation of only the railroad's
alcohol and drug rules, the regulated employee must be evaluated by an
EAP or DAC.
While this NPRM is proposing to provide EAP or DAC evaluations for
individuals entering a peer support program without a part 219
violation, FRA is also taking this opportunity to solicit public input
on whether a DAC evaluation should be required for all peer support
program participants, regardless of whether they have had a part 219
violation. Part 242 already requires a DAC to have the same
credentialing and qualifications a SAP must have under part 40. Would
requiring SAP-level evaluations for all regulated employees more
effectively support subpart K's goal of helping to prevent the adverse
effects of alcohol and drug use by regulated employees? If so, how?
Paragraph (f)(3) would provide that a Counselor evaluating a
regulated employee who has entered a peer support program must
determine the appropriate level of care (education, counseling, and/or
treatment) necessary to resolve any identified active substance abuse
problem (such as, but not limited to, substance dependency). If
treatment and/or education is required, the Counselor must refer the
regulated employee to an appropriately qualified rehabilitation program
in the community, if one is available. A regulated employee who fails
to cooperate with the evaluation, referral process, or aftercare can be
dismissed from the peer support program and made subject to the
railroad's normal employment action.
[[Page 43880]]
Under paragraph (g), if a Counselor's evaluation determines that a
regulated employee has an active substance abuse disorder, the peer
support program policy would have to require the removal of that
individual from regulated service until the Counselor determines that
he or she can safely return to service. The railroad must do so in a
manner that complies with the confidentiality provisions found in
proposed paragraph (h) of this section. For example, a railroad could
maintain confidentiality by coding the regulated employee's removal as
a medical reason.
Paragraph (h)--Confidentiality
Paragraph (h) would require a peer support program policy to treat
any referral and subsequent handling as confidential. Only personnel
who administer the program may have access to the identities of
individuals in it. The only required exception to this confidentiality
requirement would be provided by paragraph (l) of proposed Sec.
219.1003, which would state (in part) that confidentiality may be
waived for a certified locomotive engineer or conductor (or candidate
for engineer or conductor certification) who refuses to cooperate in a
recommended course of counseling or treatment. The provisions of
proposed paragraph (l) will be discussed further below.
Railroads are currently required to treat voluntary referrals as
confidential under Sec. 219.403(b)(2). The current Sec. 219.403(c)
also provides that a policy may contain provisions waiving
confidentiality when an employee refuses to cooperate with the
recommended treatment/counseling or is later determined to have been
involved in an alcohol or drug related disciplinary offense growing out
of subsequent conduct. An identical optional provision would also be
included in proposed Sec. 219.1005, discussed below.
Paragraph (i)--Leave of Absence
Paragraph (i) would require a railroad to grant a regulated
employee who has entered a peer support program a leave of absence for
the period necessary to complete any primary education, counseling, or
treatment program recommended by a Counselor. The leave of absence must
be long enough for the regulated employee to establish control over his
or her alcohol or drug abuse problem to the extent that the evaluating
Counselor determines that he or she is a low risk to return to
substance abuse. Similar language is found in Sec. Sec. 219.403(b)(3)
and Sec. 219.405(d)(1) of the current rule, except that the current
rule specifically states that the leave of absence must be at least 45
days long, if necessary. FRA is proposing to remove this specific time
requirement because it believes that a Counselor should determine the
period of time an employee requires to obtain control over a substance
abuse problem.
Paragraph (j)--Return to Regulated Service
Paragraph (j)(1) would state that a regulated employee must be
returned to regulated service based upon a Counselor's recommendation
when he or she has established controlled over any substance abuse
problem, when the Counselor has determined that he or she is a low risk
to return to substance abuse, and when he or she has completed any
return-to-service requirements recommended by a Counselor. The only
exceptions to this requirement would be found in proposed Sec.
219.1005, which discusses optional provisions that may be contained in
a peer support program policy, and in proposed Sec. 219.1001(d)(4),
which references the responsive action requirements of Sec. 219.104
for part 219 violations. This proposed language would expand and
clarify the language currently found in Sec. 219.403(b)(4), which
states that an employee who has voluntarily referred must be returned
to service on the recommendation of a SAP.\34\ The proposed language is
otherwise essentially identical to that contained in Sec.
219.405(d)(3)-(d)(4) for co-worker reports, except that the proposed
language would not contain the current requirement that a program for
follow-up treatment may not exceed 60 months. A new limitation on how
long any follow-up treatment may last would be found in proposed
paragraph (o) of this section.
---------------------------------------------------------------------------
\34\ Under the proposed rule, this recommendation would be made
by an EAP counselor because employee who self-refers would not be
required to have a SAP counselor evaluation.
---------------------------------------------------------------------------
Paragraph (j)(2) would specify that a Counselor is required to
determine the appropriate number and frequency of follow-up tests (if
required), while the railroad would determine the dates of the testing.
Paragraph (j)(3) would state that an employee's return to regulated
service may be conditioned upon successful completion of a return-to-
service medical evaluation, as directed by the railroad. This is
currently permitted for co-worker reports under Sec. 219.405(d)(3),
and would be expanded in the proposed language to self-referrals and
non-peer referrals as well.
Paragraph (j)(4) would state that approval to return to regulated
service may not be unreasonably withheld; a railroad must return an
employee to regulated service within five working days of a Counselor's
recommendation that the employee is fit to return. The requirement that
such approval may not be unreasonably withheld is currently found in
Sec. 219.403(b)(4) and Sec. 219.405(d)(3), although the proposed
language goes further in specifying that the regulated employee must be
returned to service within five days. The current Sec. 219.405(e)(1)
requires a railroad to return an employee to covered service within
five days only in situations where the SAP has determined that
treatment is not required for a co-worker reported employee.
Paragraph (k)--Rehabilitation Plan
Paragraph (k) would provide that no person or entity may change a
Counselor's evaluation or recommendation for assistance. However, the
Counselor who made the initial evaluation would be permitted to modify
that evaluation and any follow-up recommendations based upon new or
additional information.
Paragraph (l)--Locomotive Engineers and Conductors
Paragraph (l) would state that a peer support program policy must
waive confidentiality for a locomotive engineer, conductor, or
candidate for engineer or conductor certification who refuses to
cooperate in recommended counseling or treatment, to the extent that
the Counselor must provide the railroad official notice if the
locomotive engineer or conductor has an active substance abuse
disorder. A railroad receiving such notice must suspend, revoke, or
deny the engineer's or conductor's certification, as appropriate. For
locomotive engineers, this requirement is currently found for voluntary
referrals in Sec. 219.403(b)(5), which simply requires railroads to
comply with the requirements of Sec. 240.119(e). (Part 219 does not
currently have a similar requirement for certified conductors because
these individuals only recently became subject to the certification
requirements of part 242.) FRA believes it is important in the proposed
rule to also apply this requirement to co-worker and non-peer
referrals.
New language in this paragraph would also specify that a Counselor
who is managing the employee's case is not required to provide this
notice if the locomotive engineer or conductor is medically restricted
from performing regulated service while undergoing treatment to correct
the active substance
[[Page 43881]]
abuse disorder. If, in the Counselor's opinion, the engineer or
conductor fails to make the necessary rehabilitative progress during
this medical restriction from regulated service, then the Counselor
must provide the railroad official notice of the active substance abuse
disorder.
Paragraph (m)--Contacting a SAP
Paragraph (m) would state that if a regulated employee enters a
peer support program as the result of a co-worker or non-peer referral
for a verified violation of Sec. 219.101 or Sec. 219.102, he or she
must contact a SAP within a reasonable period of time, specified by the
railroad's peer support program policy. If the regulated employee does
not contact a SAP within this time period, the railroad could
investigate his or her cooperation and compliance with the peer support
program.
Paragraph (n)--Time Requirements for Counselor Evaluations
Paragraph (n) would state that once a regulated employee entering a
peer support program contacts the designated Counselor, the Counselor's
evaluation must be completed within 10 working days. If more than one
evaluation is required, they must be completed within 20 working days.
This requirement is currently found in Sec. 219.405(b)(4) for co-
worker reports, and FRA's proposed language would expand it to non-peer
and self-referrals as well.
Paragraph (o)--Regulated Employee Agreement
Paragraph (o) would provide that a peer support program policy must
require a participating regulated employee to agree to undertake and
successfully complete a course of prescribed care and any Counselor
recommended follow-up care (including follow-up testing). This
paragraph would also state that any follow-up treatment, care, or
testing may not exceed 24 months beyond the regulated employee's
removal from service, unless the regulated employee had committed a
substantiated part 219 violation. If the regulated employee has
committed such a violation, any follow-up treatment would be subject to
the requirements of part 40, which states that a SAP may require
follow-up testing for 60 months following the violation. See 49 CFR
40.307(d)(2). Currently, Sec. 219.405(d)(4) states that the follow-up
treatment for a co-worker report may not exceed 60 months. FRA is
proposing this change because it believes that 24 months is a more
appropriate time frame for regulated employees who have not committed a
substantiated part 219 violation to be part of a peer support program.
Section 219.1005--Optional Provisions
This section would describe provisions that a railroad may, but is
not required to, include in its peer support program policy. The
inclusion of any such provisions may be subject to the agreement of an
affected labor organization.
Under paragraph (a), the policy could include a mark-off provision
under which a regulated employee may refuse an assignment because of a
concern that he or she may not be safe to work due to alcohol or
prescription medication use.
Paragraphs (b)-(e) would contain optional provisions that are
essentially identical to optional provisions currently provided for
voluntary referral policies by Sec. 219.403(c)(1)-(4). FRA's proposed
text would make these optional provisions available to peer support
program policies in general (including co-worker and non-peer referral
policies).
Paragraph (b) would permit a peer support program policy to waive
the rule of confidentiality if a regulated employee refuses to
cooperate in a course of education, counseling, or treatment
recommended by a Counselor or if the railroad determines later, after
investigation, that a regulated employee was involved in an alcohol or
drug-related disciplinary offense growing out of subsequent conduct.
This proposed text is identical to that currently found in Sec.
219.403(c)(1) for voluntary referrals.
Under paragraph (c), a peer support program policy could require
successful completion of a return-to-service medical examination as a
condition of reinstatement in regulated service.
Under paragraph (d), a peer support program policy could state that
it does not apply to a regulated employee who has previously been
assisted by the railroad under a policy or program substantially
consistent with the requirements of subpart K.
Under paragraph (e), a policy could provide that an employee
invoking the benefits of a peer support program policy must report to a
railroad-designated contact either during non-duty hours or while
unimpaired and otherwise in compliance with the railroad's alcohol and
drug rules consistent with proposed subpart K.
Section 219.1007--Alternate Peer Support Programs
This paragraph would permit a railroad to comply with subpart K by
developing, publishing, and implementing an alternate program or policy
meeting the various standards of Sec. 219.1003. Paragraphs (a)-(d) of
this section are very similar to provisions contained in current Sec.
219.407(a)-(d), although there are some minor differences intended to
clarify the applicable standards.
Paragraph (a) would permit a railroad to develop, publish, and
implement an alternate program or policy that meets the standards of
Sec. 219.1003. Any alternate program or policy must have the written
concurrence of the recognized representatives of the regulated
employees.
Paragraph (a) would also specify that nothing in subpart K prevents
a railroad or labor organization from adopting, publishing, and
implementing peer support program policies that afford more favorable
conditions to regulated employees with substance abuse problems,
consistent with the railroad's responsibility to prevent violations of
Sec. Sec. 219.101 and 219.102. This language is currently found in
Sec. Sec. 219.403(a) and 219.405(a), but FRA believes it belongs more
appropriately in the section addressing alternative programs.
Paragraph (b) would provide that the concurrence of the recognized
representatives of the regulated employees in an alternate program must
be evidenced by a collective bargaining agreement or other document
describing the class or craft of employees to which the alternate
program applies. This agreement would have to expressly reference
subpart K and the intention of the railroad and the employee
representatives that the alternate program applies in lieu of the
program required by subpart K. With a few non-substantive revisions,
this language is identical to that currently found in Sec. 219.407(b).
Paragraph (c) would require a railroad to file the agreement or
other document described in paragraph (b), along with the alternate
program described in paragraph (a), with the FRA Drug and Alcohol
Program Manager for approval. Currently, Sec. 219.407(c) only requires
the railroad to file with FRA the agreement described in Sec.
219.407(b). FRA believes that the railroad must also be required to
submit the alternate program for FRA approval, so that FRA can ensure
that the program does indeed meet the requirements and objectives of
proposed Sec. 219.1003. This paragraph would specify that this
approval would be based on FRA's ability to ascertain whether the
alternative program meets the Sec. 219.1003 standards. An alternative
program would not have to meet each specific Sec. 219.1003 component,
but would be required to meet the general
[[Page 43882]]
standards and intent of Sec. 219.1003. If an alternate policy is
amended or revoked, a railroad must file a notice with FRA of such at
least 30 days prior to the effective date, as a railroad is currently
required to do by Sec. 219.407(c).
Paragraph (d) would specify that Sec. 219.1007 does not excuse a
railroad from adopting, publishing, and implementing the Sec.
219.1003-required programs for any group of regulated employees not
covered by an approved alternate program. This provision is essentially
identical to that currently found in Sec. 219.407(d).
New language in paragraph (e) would reference a proposed provision
of Sec. 219.105(d), which specifies that FRA has the authority to
audit any railroad alcohol and/or drug use education, prevention,
identification, and rehabilitation program or policy (including, but
not limited to, alternate peer support programs), to ensure that they
are not designed or implemented in such a way that they circumvent or
otherwise undermine Federal requirements, including the requirements in
this part regarding peer support programs. Peer support program usage
data could be requested as one tool to evaluate whether a railroad
program or policy is having a positive or negative impact on a required
subpart K peer support program. For example, a railroad program or
policy may not be implemented in a way that directly or indirectly
discourages regulated employees from entering a subpart K peer support
program, and FRA may compare usage data from both the railroad program
and the subpart K program to determine whether the railroad program may
be having a negative impact on the subpart K program.
VIII. Regulatory Impact and Notices
A. Executive Orders 12866 and 13563 and DOT Regulatory Policies and
Procedures
This proposed rule has been evaluated in accordance with existing
policies and procedures and determined to be non-significant, under
both Executive Orders 12866, and 13563, and DOT policies and
procedures. See 44 FR 11034, Feb. 26, 1979. FRA has prepared and placed
in the docket (No. FRA-2009-0039) a regulatory impact analysis (RIA)
addressing the economic impact of this proposed rule. Document
inspection and copying facilities are available at the DOT Central
Docket Management Facility located in Room W12-140 on the Ground level
of the West Building, 1200 New Jersey Avenue SE., Washington, DC 20590.
Docket material is also available for inspection electronically through
the Federal eRulemaking Portal at http://www.regulations.gov. As part
of the RIA, FRA has assessed quantitative measurements of the cost and
benefit streams expected to result from implementation of this proposed
rule. Overall, the proposed rule would result in safety benefits and
potential business benefits for the railroad industry. It would also,
however, generate an additional burden on railroads and railroad
contractors, mainly due to the expenses associated with increased drug
and alcohol testing and program administration, particularly regarding
MOW employees.
The costs would primarily be derived from implementation of the
statutory mandate to expand the scope of part 219 to cover MOW
employees. The benefits will primarily accrue from the expected injury,
fatality, and property damage avoidance resulting from the expansion of
part 219 to cover MOW employees, as well as the PAT testing threshold
increase.
Table 1 summarizes the quantified costs and benefits expected to
accrue from implementation of the proposed rule over a 20-year period.
It presents costs associated with the various types of drug and alcohol
testing proposed in the NPRM and details the statutory costs (those
required by the RSIA mandate to expand part 219 to MOW employees),
discretionary costs (those that are due to the non-RSIA requirements
that FRA is proposing) and the total of the two types of costs. Table 1
also presents the quantified benefits expected to accrue over a 20-year
period and details the statutory benefits (those that would result from
implementation of the RSIA mandate to expand part 219 to MOW employees)
and the discretionary benefits (those that are due to the non-RSIA
requirements that FRA is proposing). The benefits include not only
injury, fatality, and property damage avoidance (accident reduction
benefits), but also the savings, or benefit, that would accrue from
fewer PAT tests being conducted due to FRA's proposal to increase the
property damage threshold for major train accidents.
For the 20-year period analyzed, the estimated quantified cost that
would be imposed on industry totals $24, 261,999 (undiscounted), with
discounted costs totaling $14.2 million (Present Value (PV), 7 percent)
and $18.9 million (PV, 3 percent). The estimated quantified benefits
for this 20-year period total approximately $115.8 million
(undiscounted), with discounted benefits totally $57.4 million (PV, 7
percent) and $83.6 million (PV, 3 percent).
Table 1--Summary Costs and Benefits: Discretionary and Statutory--Undiscounted Values
----------------------------------------------------------------------------------------------------------------
20 Year costs Statutory Discretionary
----------------------------------------------------------------------------------------------------------------
PAT Testing Costs--Adding MOW................................. $52,000 .......................
PAT Testing Costs--Impact Def + Xing.......................... $241,974
Reasonable Suspicion Testing Costs............................ 842,398 .......................
Pre-Emp. Testing Costs--Adding MOW............................ 673,897 .......................
Pre-Emp. Testing Costs--Sm. RR................................ 29,904
Random Testing Costs.......................................... 20,863,074 .......................
Annual Report Costs........................................... 160,911 .......................
Recordkeeping Requirements Costs.............................. 1,397,840 .......................
-------------------------------------------------
Total Costs............................................... 23,990,121 271,878
-------------------------------------------------
24,261,999
----------------------------------------------------------------------------------------------------------------
20 Year benefits Statutory Discretionary
----------------------------------------------------------------------------------------------------------------
Accident Reduction Benefits................................... 115,369,281 .......................
PAT Testing Threshold Reduction Benefits...................... 388,295
-------------------------------------------------
Total Benefits............................................ 115,757,576
----------------------------------------------------------------------------------------------------------------
[[Page 43883]]
Overall, the RIA demonstrates that the costs, both statutory and
discretionary, associated with implementing the proposed rule are
expected to be outweighed by the benefits resulting from reduced
injuries, fatalities, and property damage attributable to drug and
alcohol misuse by regulated employees. FRA has also found that the
costs would be outweighed by injury and fatality mitigation alone, and
benefits will further accrue due to reduced property damage.
Specifically, the statutory requirements incur a discounted 20-year
cost of $14.1 million (PV, 7 percent) and $18.6 million (PV, 3
percent). The discretionary proposals incur a discounted 20-year cost
of $143,665 (PV, 7 percent) and $202,023 (PV, 3 percent), with
discounted 20-year benefits of $205,574 (PV, 7 percent) and $288,776
(PV, 3 percent).
B. Regulatory Flexibility Act and Executive Order 13272; Initial
Regulatory Flexibility Assessment
The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.) and
Executive Order 13272 (67 FR 53461; Aug. 16, 2002) require agency
review of proposed and final rules to assess their impacts on small
entities. An agency must prepare an initial regulatory flexibility
analysis (IRFA) unless it determines and certifies that a rule, if
promulgated, would not have a significant impact on a substantial
number of small entities. The Federal Railroad Administration (FRA) has
used the available data and robust assumptions to evaluate the impacts
of this proposed rule and believes that it would not have a significant
economic impact on a substantial number of small entities. FRA is
publishing this IRFA to aid the public in commenting on the potential
small business impact of the proposed requirements in this NPRM. FRA
invites all interested parties to submit data and information regarding
the potential economic impact on small entities that would result from
the adoption of the proposals in this NPRM. FRA will consider all
comments received in the public comment process when making a
determination regarding economic impacts on small entities in the final
rule.
The proposed rule would apply to all employees of railroad
carriers, contractors, or subcontractors to railroad carriers who
perform maintenance-of-way activities. Based on information currently
available, FRA estimates that less than 14 percent of the total
railroad costs associated with implementing the proposed rule would be
borne by small entities. This percentage is based directly upon the
percentage of affected employees estimated to be working for small
entities. Small entities are exempt from certain requirements of the
current and proposed rule, and otherwise bear proportional burden for
the rule based upon the number of regulated employees each entity
employs. Small entities will not incur greater costs per employee than
the larger entities.
FRA generally uses conservative assumptions in its costing of
rules; based on those assumptions, FRA estimates that the cost for the
proposed rule will be approximately $24 million for the railroad
industry. There are 654 railroads that would be considered small for
purposes of this analysis, and together they comprise approximately 93
percent of the railroads impacted directly by this proposed regulation.
The 14 percent of the burden would be spread amongst the 654 entities,
based proportionally upon the number of employees each has. Thus,
although a substantial number of small entities in this sector would
likely be impacted, the economic impact on them would likely be
insignificant. This IRFA is not intended to be a stand-alone document.
In order to get a better understanding of the total costs for the
railroad industry (which forms the basis for the estimates in this
IRFA), or more cost detail on any specific requirement, please see the
RIA that FRA has placed in the docket for this rulemaking.
In accordance with the Regulatory Flexibility Act, an IRFA must
contain:
1. A description of the reasons why action by the agency is being
considered.
2. A succinct statement of the objectives of, and the legal basis
for, the proposed rule.
3. A description and, where feasible, an estimate of the number of
small entities to which the proposed rule will apply.
4. A description of the projected reporting, recordkeeping, and
other compliance requirements of the proposed rule, including an
estimate of the classes of small entities that will be subject to the
requirement and the type of professional skills necessary for
preparation of the report or record.
5. An identification to the extent practicable, of all relevant
Federal rules that may duplicate, overlap, or conflict with the
proposed rule.
1. Reasons for Considering Agency Action
FRA proposes to amend part 219 to further reduce the risk of
serious injury or death to railroad employees, contractors, and anyone
else affected by railroad accidents and incidents. In accordance with
the statutory mandate of Section 412 of the RSIA and to respond to NTSB
safety recommendation R-08-07, FRA proposes to expand the applicability
of the current part 219 requirements regarding testing and procedures
to include maintenance-of-way (MOW) employees and contractors, as
defined in the proposed regulation. FRA also proposes to amend part 219
for safety and clarity purposes by multiple discretionary changes that
it believes will provide clarification and/or enhance and update the
program to achieve safety benefits. Some of these discretionary
proposals have associated costs.
2. Succinct Statement of the Objectives of, and the Legal Basis for,
the Proposed Rule
The purpose of part 219 and this proposed rule is to prevent
accidents and casualties in railroad operations resulting from
impairment of railroad employees and contractors due to the misuse of
alcohol or drugs. FRA considers random drug and alcohol testing to be
an important tool to deter drug use and alcohol misuse; therefore,
expanding part 219 to include MOW employees (who would then be subject
to selection for random testing) is expected to result in the reduction
of the number of accidents and casualties to MOW employees.
The Federal Railroad Safety Act of 1970, as codified at 49 U.S.C.
20103, provides that ``[t]he Secretary of Transportation, as necessary,
shall prescribe regulations and issue orders for every area of railroad
safety supplementing laws and regulations in effect on October 16,
1970.'' The Secretary's responsibilities under this provision, and the
balance of the railroad safety laws, have been delegated to the FRA
Administrator (49 CFR 1.89). Reducing the use of drugs and alcohol
among railroad employees has long been a concern of FRA. Both the
industry and FRA have approached this concern by issuing regulations on
the control of alcohol and drug use by certain railroad employees.
While certain drug use is already illegal, FRA found a need to create a
further deterrence against the use of drugs and alcohol before and/or
during duty on the railroad. Furthermore, part 219 has a peer
prevention component requiring railroads to establish a program
permitting employees to self-refer if they have a substance abuse issue
(and FRA is proposing clarifying changes to this program). These peer
prevention programs are required to contain provisions protecting the
employee's job so long as the employee complies.
[[Page 43884]]
Therefore, safety is increased while protecting employees' jobs.
FRA has proposed the revision to part 219 in order to comply with
Section 412 of the RSIA, Alcohol and Controlled Substance Testing for
Maintenance-Of-Way Employees, required the Secretary of Transportation
to ``complete a rulemaking proceeding to revise the regulations
prescribed under section 20140 of title 49, United States Code, to
cover all employees of railroad carriers and contractors or
subcontractors, volunteers, and random employees to railroad carriers
who perform maintenance-of-way activities.'' FRA has also proposed
various substantive amendments that would reflect lessons learned from
the practical implementation of part 219 and improve the clarity and
organization of the regulations, including the following: (1) Small
railroads would no longer be excepted from the requirements for
reasonable suspicion testing and pre-employment drug testing; (2) the
PAT testing damage threshold for major train accidents would be
increased; (3) the exceptions for derailment collisions and raking
collisions would be removed from the part 219 definition of impact
accident; (4) the provisions governing whether regulated employees
could be recalled for PAT testing would be amended to remove the
requirement that the qualifying event occurred while a regulated
employee was on duty and to make recall of a regulated employee
mandatory in certain circumstances; (5) reasonable cause testing would
be authorized only for reportable ``train accidents'' and ``train
incidents''; and (6) federal reasonable cause testing would be
authorized for additional operating rule violations or other errors.
3. Description of, and Where Feasible, an Estimate of the Number of
Small Entities to Which the Proposed Rule Would Apply
The ``universe'' of the entities considered in an IRFA generally
includes only those small entities that can reasonably expect to be
directly regulated by this proposed action. The types of small entities
potentially affected by this proposed rule are: (1) Small railroads;
(2) small contractors that engage in MOW operations; and (3) small
contractors that provide HOS services (such as dispatching, signal, and
train and engine services).
``Small entity'' is defined in 5 U.S.C. 601(3) as having the same
meaning as ``small business concern'' under Section 3 of the Small
Business Act. This includes any small business concern that is
independently owned and operated, and is not dominant in its field of
operation. Section 601(4) likewise includes within the definition of
``small entities'' not-for-profit enterprises that are independently
owned and operated, and are not dominant in their field of operation.
The U.S. Small Business Administration (SBA) stipulates in its size
standards that the largest a railroad business firm that is ``for
profit'' may be and still be classified as a ``small entity'' is 1,500
employees for ``Line Haul Operating Railroads'' and 500 employees for
``Switching and Terminal Establishments.'' Additionally, 5 U.S.C.
601(5) defines as ``small entities'' governments of cities, counties,
towns, townships, villages, school districts, or special districts with
populations less than 50,000.
Federal agencies may adopt their own size standards for small
entities in consultation with SBA and in conjunction with public
comment. Pursuant to that authority, FRA has published a final
statement of agency policy that formally establishes ``small entities''
or ``small businesses'' as being railroads, contractors, and hazardous
materials shippers that meet the revenue requirements of a Class III
railroad as set forth in 49 CFR 1201.1-1, which is $20 million or less
in inflation-adjusted annual revenues, and commuter railroads or small
governmental jurisdictions that serve populations of 50,000 or less.
(See 68 FR 24891; May 9, 2003, codified at Appendix C to 49 CFR part
209.) The $20 million limit is based on the Surface Transportation
Board's revenue threshold for a Class III railroad. Railroad revenue is
adjusted for inflation by applying a revenue deflator formula in
accordance with 49 CFR 1201.1-1. FRA is using this definition for this
rulemaking.
An estimated 1,098 entities will be affected by the rule. FRA
estimates that there are approximately 400 MOW contractor companies and
698 railroads on the general system. All but 44 railroads and an
estimated 30 MOW contractor companies, are small businesses as defined
by the FRA waiver of small business size standard. FRA estimates that
86 percent of employees that will be regulated under this rule work for
these 74 railroads and contractors. Most railroads must comply with all
provisions of part 219. However, as previously indicated, FRA has a
``small railroad'' definition associated with part 219 that limits
compliance requirements for railroads with 15 HOS employees or less and
no joint operations to reduce burden on the smallest of railroads.
There are approximately 654 small railroads (as defined by revenue
size). Class II and Class III railroads do not report to the STB, and
although the number of Class II railroads is known, the precise number
of Class III railroads is difficult to ascertain due to conflicting
definitions, conglomerates, and even seasonal operations. Potentially,
all small railroads could be impacted by this proposed regulation. Part
219 has a small railroad exception for all railroads with 15 or fewer
covered employees, except when these railroads have joint operations
with another railroad, therefore increasing risk. Thus a railroad with
such characteristics shall be called a ``partially excepted small
railroad'' in this analysis, and is a subsection of the ``small
entities'' as defined by the STB and FRA, addressed above. Currently,
there are 288 partially excepted small railroads and, as FRA is not
proposing amendments to the substantive criteria of classification,
there should be no change in the number of partially excepted small
railroads associated with the proposed rule.
FRA is aware of two commuter railroads that qualify as small
entities: Saratoga & North Creek Railway, and Hawkeye Express, which is
operated by the Iowa Northern Railway Company. All other commuter
railroad operations in the United States are part of larger
governmental entities whose jurisdictions exceed 50,000 in population.
As mentioned, all railroads must comply with all or limited
subparts of part 219. For partially excepted small railroads, per FRA's
definition, the significant burden involves the costs of adding MOW
employees to the existing testing programs, and adding reasonable
suspicion and pre-employment drug testing (which they currently do not
need to comply with).
A significant portion of the MOW industry consists of contractors.
FRA has determined that risk lies as heavily with contractors as with
railroad employees, so contractors and subcontractors will be subject
to the same provisions of part 219 as the railroads for which they do
contract work. Whether contractors must comply with all or part of the
provisions of part 219 will depend on the size of the largest railroad
(assumed to have the largest risk) for which the contractor works.
FRA discussed with industry representatives how to ascertain the
number of contractors that would be involved with this rulemaking. FRA
is aware that some railroads hire contractors to conduct some or all of
the MOW worker functions on their railroads. Generally, the costs for
the
[[Page 43885]]
burdens associated with this rulemaking would get passed on from the
contractor to the pertinent railroad. FRA has determined that there are
approximately 400 MOW-related contractor companies who would be covered
by the proposed rule. Of those, 370 are considered to be a ``small
entity.'' FRA has sought estimates of the number of contractors that
may be fully compliant and how many may be partially excepted,
depending on the size of the largest railroad for which they work. FRA
requests comments on both the number of small contractors affected and
the number of small railroads affected, as well as the burdens they may
incur as a result of the proposed rulemaking and whether those burdens
(costs) will be passed on the railroads.
FRA expects that some HOS small contractors will be impacted based
upon the proposed compliance requirements for part 219 small railroads
to now include reasonable suspicion testing and pre-employment drug
testing. This burden is estimated to be minimal, as reasonable
suspicion tests occur extremely infrequently on small railroads
(average less than one time per year for all small railroads), and pre-
employment drug tests, the least costly of all tests, will only be
required for new employees.
No other small businesses (non-railroad related) are expected to be
negatively impacted significantly by this proposed rulemaking.
Conversely, this proposed regulation will bring business to
consortiums, collectors, testing labs, and other companies involved in
the drug and alcohol program business.
Expanding the program to cover MOW employees will only have a small
effect in terms of testing burden for railroads, based upon the cost of
pre-employment drug testing for new employees and the testing of MOW
employees. FRA estimates that 90 percent of small railroads already
conduct pre-employment drug testing under their own company authority.
Many of these contractors have employees with commercial drivers'
licenses (CDLs), and therefore fall under the drug and alcohol program
requirements of the Federal Motor Carrier Safety Administration
(FMCSA). Therefore, an estimated 40 percent of MOW contracted employees
already participate in a DOT drug and alcohol testing program.
Furthermore, FRA estimates that as many as 50-75 percent of all MOW
contractor companies have some form of a drug and alcohol testing
program, and that around 25 percent of these companies currently
complete random testing (the most burdensome type of testing).
Consortiums are companies that provide testing, random selection,
collection, policy development, and training services to help employers
stay compliant. Consortiums alleviate much of the administrative burden
of a testing program and negotiate volume discounts on behalf of their
clients. It is likely that all part 219 small railroads already have a
compliant testing program for employees currently covered under the
existing regulation. It should also be noted that approximately 125 of
the small railroads that would be impacted are subsidiaries of large
short line holding companies with resources comparable to larger
railroads. Additionally, many small railroads are members of ASLRRA,
which was consulted throughout the development of this regulatory
proposal. ASLRRA has helped create a consortium for its members in the
past, and FRA will work to ensure that small entities, as well as
large, have the ability to adhere to the regulation as easily as
possible. The consortium market will be affected in a positive manner
due to new business from this rulemaking; this is a secondary benefit
not discussed in this IRFA.
4. Description of the Projected Reporting, Recordkeeping, and Other
Compliance Requirements of the Rule, Including an Estimate of the Class
of Small Entities That Will Be Subject to the Requirements and the Type
of Professional Skill Necessary for Preparation of the Report or Record
The updating of a drug and alcohol program to be compliant with
proposed part 219 changes can generate a burden for all entities, and
especially small entities. However, FRA has taken steps to minimize the
significant economic impact on small entities. For example, FRA
currently exempts railroads with 15 or fewer hours of service (HOS)
employees and no joint operations (as defined by Sec. 219.5) from
certain part 219 requirements, and is not proposing to amend this
exemption definition in the proposed rule. See Sec. 219.3(b)(2).
(However there will be certain compliance requirements incurred by this
proposed rule for those small railroads.) FRA has an extensive
compliance manual available on its Web site at www.fra.dot.gov that can
be used to help railroads of all sizes understand and comply with the
regulations. FRA also provides a model railroad plan, a model contract
plan, and model prohibitions for small railroads. Furthermore, FRA is
active with railroad organizations, large and small, that provide
training on the current part 219, such as the American Short Line and
Regional Railroad Association (ASLRRA), the Association of American
Railroads (AAR), and labor unions. FRA will be prepared to assist all
small railroads, or other entities that will need to comply with the
proposed regulation. FRA's Web site (http://www.fra.dot.gov/rrs/pages/fp_504.shtml) has model plans, programs, and tools needed to comply
with the requirements of the proposed regulation.
There is a small amount of reporting, recordkeeping, and compliance
costs associated with the proposed regulation. However, many of the
entities are already doing some sort of employer-based testing,
reporting, recordkeeping, and compliance in accordance with the
recordkeeping requirements subpart. FRA believes that the added burden
due to these requirements is minimal. The total 20-year cost of this
proposed rulemaking is $44.4 million, of which FRA estimates
approximately 14 percent will be to the 644 small railroads and 370
small contractors. FRA believes this total burden for small businesses
of $6.2 million from this proposed rule does not impose a substantial
burden. This averages approximately $306 a year per small entity. For a
thorough presentation of cost estimates, please refer to the RIA, which
has been placed in the docket for this rulemaking.
Based on the information in this analysis, FRA has determined that
the proposed rule will not have a significant economic impact on a
substantial number of small entities. Absent evidence to the contrary
being submitted in response to this NPRM, FRA intends to certify at the
final rule stage that no regulatory flexibility analysis is necessary.
In summary Table 1 breaks out the types of entities affected by the
proposed rule and the specific impact area.
[[Page 43886]]
Table 1--Explanation of Entities
----------------------------------------------------------------------------------------------------------------
Type of entity
------------------------------------------------
Part 219 Subparts applicable, current Subparts applicable, proposed
SBA definition definition
----------------------------------------------------------------------------------------------------------------
Non-Small Entities--Railroads Railroads with ALL............................ ALL.
and contractors with revenue 400,000 +
of a Class I or II railroad employee hours:
as defined by STB: 46 38 Railroads.
Railroads and 30
Contractors, 86% of
regulated employees.
Small entities--Railroads and Railroads with All except for Subpart I....... All except for Subpart I.
contractors with revenue of less than
a Class III railroad as 400,000
defined by STB: 654 employee hours,
Railroads and 370 but more than
Contractors, 14% of 15 covered
regulated employees. service
employees,
railroads with
joint
operations, and
contractors who
work for them:
372 Railroads,
unknown number
of contractors.
Smallest Subparts A, B, C, H, J......... Subparts A, B, C, D, F, H, and
railroads--15 J.
or fewer
covered
employees with
no joint
operations: 288
railroads,
unknown number
of contractors.
----------------------------------------------------------------------------------------------------------------
The following section outlines the potential additional burden on
small railroads for each subpart of the proposed rule:
Subpart A--General
The majority of the policies and procedures outlined in subpart A
do not impose any direct burdens on small railroads. However, Sec.
219.23 will have an effect on the MOW contractors who are not already
part of an FRA drug and alcohol testing program because they will be
responsible for complying with the policies whenever a breath or body
fluid test is required. These costs are accounted for in different
subparts, and there is no direct burden on small entities from subpart
A. Additionally, FRA has a sample drug and alcohol plan on its Web site
that includes all pertinent compliance information.
Subpart C--Post-Accident Toxicological Testing
All MOW employees must be subject to post-accident toxicological
(PAT) testing when a qualifying event occurs, as provided in subpart C.
Additionally, several new qualifying events regarding highway-rail
grade crossing accidents/incidents will trigger PAT testing. As smaller
railroads generally have smaller risk, FRA expects fewer burdens per
small railroad employee or contracted employee associated with this
subpart. The only cost that the railroad is responsible for is the
collection and shipment of the specimens. FRA bears the costs of
testing the specimens. Historically, there are only one or two events
that qualify for PAT testing involving any short line each year. All
railroads, regardless of size, must currently train their covered
service supervisors on PAT testing procedures, and thus already have
existing compliance procedures. Additionally, MOW employees are already
subject to subpart C PAT testing if they are fatally injured during a
qualifying event. This portion of the proposed rule will create less
than 1 percent of the total burden for small entities.
Subpart D--Reasonable Suspicion Testing
Small railroads (15 or fewer covered service employees with no
joint operation) and MOW workers will be subject to reasonable
suspicion testing. The burden to small railroads is expected to be
minimal as there are currently few reasonable suspicion tests performed
on HOS employees (currently covered under part 219) by railroads of any
size. FRA does not expect there to be proportionally more reasonable
suspicion tests for MOW employees or other small railroads. FRA never
intended to exclude small railroads from reasonable suspicion
requirements and has been training short lines and small railroads to
perform reasonable suspicion testing for years. This portion of the
proposed rule will create approximately 1 percent of the total burden
for small entities.
Subpart E--Reasonable Cause Testing
For this subpart all railroads can choose to use Federal or company
authority reasonable cause testing. Furthermore, FRA has excluded
partially excepted small railroads from the provisions of this subpart.
Subpart F--Pre-Employment Testing
FRA is proposing to change the pre-employment drug testing
requirement to remove the small railroad exception, so small railroads
(15 or fewer covered service employers) will now have to conduct
Federal pre-employment drug testing. Many small railroads and
contractors already test employees for drugs under company authority
prior to hiring and are already in compliance with the regulation. This
portion of the proposed rule will create approximately 1 percent of the
total burden for small entities.
In order to alleviate some of the burdens for all railroads, FRA
proposes to allow all current MOW employees to be grandfathered for
this requirement of the regulation.
Subpart G--Random Alcohol and Drug Testing Program
FRA has excluded small railroads from the requirements of this
subpart. All MOW employees of railroads that do not qualify for the
small railroad exception will be subject to random alcohol and drug
tests. Contractors will be required to conform to the requirements of
the largest railroad for which they work. All companies that must
comply with this subpart are required to create and administer random
plans, although the testing burden is proportional to the number of
employees in each company. As previously mentioned, FRA has model plans
for railroads and contractors; these plans include random plans.
Consortiums also exist that will organize administration and testing,
to include random selection and testing. Consortiums are a very
convenient option for small businesses because they lessen the
administrative burden. This portion of the proposed rule will create
approximately 37 percent of the total burden for small entities.
Subpart H--Drug and Alcohol Testing Procedures
FRA is not proposing any substantive changes to this subpart, so
there are no expected impacts on small businesses.
[[Page 43887]]
Subpart I--Annual Report
Annual reporting requirements have been required for railroads with
400,000 employee hours, and there are no proposed substantive changes
to this subpart. FRA does not expect any impact on small businesses.
Subpart J--Recordkeeping Requirements
FRA is not proposing any substantive changes to this subpart, so
the only impact on small businesses is for the recordkeeping
requirements for the MOW employees added to the rule. This portion of
the proposed rule will create less than 1 percent of the total burden
for small entities.
Subpart K--Peer Support Programs
FRA is proposing amendments that are designed to provide additional
detail, clarity, and focus to the peer support programs. Both partially
excepted small railroads and contractors are excluded from this
subpart, so the smallest railroads do not need to comply. Other Class
III railroads that do not qualify for the small railroad exception
under part 219 must have peer support programs. This may require
railroads to redesign or reconfigure their existing programs. The
proposed rule specifies that a railroad may comply with subpart K by
adopting, publishing, or implementing a policy meeting the requirements
of proposed Sec. 219.1003, or by complying with proposed Sec.
219.1007 (which discusses alternate peer support program policies).
This provides flexibility for railroads. FRA will make its expertise
available to all railroads and will be providing templates for peer
support programs that railroads will be able to use. This portion of
the proposed rule will create less than 1 percent of the total burden
for small entities.
The economic impact from this regulation is primarily a result of
the proposed requirements to expand drug and alcohol testing to MOW
employees. The number of railroads and contractors expected to be
affected (who are not already covered by part 219 or participating in
some other form of voluntary or employer-based drug and alcohol
testing) is small, and therefore the effect will be minimal. As such,
there is not a significant impact on a substantial number of small
entities. While there are many railroads considered to be small
entities, per the SBA definition, many of these small railroads have 15
or fewer regulated employees or contractors with no joint operations
and therefore are not required to comply with all subparts of the
regulation. Those that must implement full compliance programs should
already be testing covered employees and have an established drug and
alcohol testing program. For those contractors who do not fall under
the current regulation but will fall under the proposed rule, the
ability to join a consortium exists thus providing an effective way to
mitigate the costs of starting and administering a program.
Market and Competition Considerations
The small railroad segment of the railroad industry faces little in
the way of intramodal competition. Small railroads generally serve as
``feeders'' to the larger railroads, collecting carloads in smaller
numbers and at lower densities than would be economical for larger
railroads. They transport those cars over relatively short distances
and then turn them over to the larger systems, which transport them to
their final destination or for handoff back to a smaller railroad for
final delivery. The relationship between the large and small entity
segments of the railroad industry are more supportive and codependent
than competitive. Furthermore, small railroads rarely compete with each
other because they serve the smaller, lower-density markets and
customers, and these markets generally do not have enough traffic to
attract larger carriers or even other small carriers. The railroad
industry has several significant barriers to entry, such as the need to
own the right-of-way and the high capital expenditure needed to
purchase a fleet, track, and equipment. As such, small railroads
usually have monopolies over the small and segmented markets in which
they operate. Thus, while this rule may have an economic impact on all
railroads, it should not have an impact on the intramodal competitive
position of small railroads.
Contractors in the railroad industry, such as those who provide MOW
services, are likely to have more competition in the marketplace than
railroads. Several barriers to entry exist, such as the capital
required to purchase MOW machinery. Many contractors already have
employees who have CDLs, and as such must follow the Federal drug and
alcohol testing regulations promulgated by FMCSA, which are similar to
FRA requirements. Implementation of the proposed rule is expected to be
more efficient if a company already has a process in place for testing
some of its employees for drugs and alcohol under FMCSA regulations.
5. Identification, to the Extent Practicable, of All Relevant Federal
Rules That May Duplicate, Overlap, or Conflict With the Proposed Rule
FRA is not aware of any relevant Federal rules that may duplicate,
overlap, or conflict with the proposed rule, except for the alcohol and
drug testing requirements of other DOT agencies (such as FMCSA's
requirements for CDL holders). The proposed rule specifies, however,
that: (1) FRA will accept a pre-employment drug testing conducted by an
employer under any DOT regulation; and (2) regulated employees subject
to random testing under the rules of more than one DOT agency for the
same railroad are only subject to random testing selection at the
applicable rate set by the DOT agency regulating more than 50% of the
employee's functions. FRA believes this approach eliminates any
potential duplication, overlap, or conflict with the alcohol and drug
testing requirements of other DOT agencies. Furthermore, this approach
is the one already taken for the potential duplication, overlap, or
conflict that currently may exist for covered employees who are subject
to both part 219 and the alcohol and drug testing requirements of other
DOT agencies (e.g., train engineers who also have a CDL). Because this
established approach has been successful with covered employees, FRA
does not anticipate problems applying it to MOW employees as well.
Part 219 also incorporates the procedures established in 49 CFR
Part 40, Procedures for Transportation Workplace Drug and Alcohol
Testing Programs. FRA's proposed revision to part 219 will not conflict
with Part 40, nor will it be duplicative or overlapping. It is
supplemental, specifying procedures directly related to the railroad
industry.
C. Paperwork Reduction Act
The new information collection requirements in this proposed rule
are being submitted for approval to the Office of Management and Budget
(OMB) under the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq.
The sections that contain the new and current information collection
requirements and the estimated time to fulfill each requirement are as
follows:
[[Page 43888]]
----------------------------------------------------------------------------------------------------------------
Respondent Total annual Average time per Total annual
CFR Section universe responses response burden hours
----------------------------------------------------------------------------------------------------------------
219.4--Petition for Recognition 2 Railroads....... 2 petitions....... 40 hours.......... 80 hours.
of a Foreign Railroad's
Workplace Testing Program (New
Requirement).
219.7--Waivers.................. 142,000 employees. 4 waivers......... 2 hours........... 8 hours.
219.9--Joint Operating Agreement 698 railroads + 525 agreements.... 30 minutes........ 263 hours.
between Railroads Assigning 400 MOW
Responsibility for Compliance contractors.
this Part Amongst Themselves
(Rev. Requirement).
--Request to railroad for 698 railroads + 2 requests/ 1 hour............ 2 hours.
documents by employee 400 MOW documents.
engaged in joint operation contractors.
and subject to adverse
action after being required
to participate in breath/
body fluid testing under
subpart C, D, or E of Part
219 (Rev. Requirement).
--Document by railroad/ 698 railroads + 10 documents...... 2 hours........... 20 hours.
contractor delineating 400 MOW
responsibility for contractors.
Compliance with this Part
(Rev. Requirement).
219.11--Employee consent to 698 railroads + 30 consent forms.. 2 minutes......... 1 hour.
participate in body fluid 400 MOW
testing under subparts C. contractors.
--Notification to employees 142,000 employees. 9,508 notices..... 5 seconds......... 13 hours.
for testing (New
Requirement).
--RR Alcohol & Drug Program 698 railroads + 698 modified 1 hour............ 698 hours.
that provides training to 400 MOW Programs.
supervisors and information contractors.
on criteria for post-
accident toxicological
testing contained in Part
219 subpart C and appendix
C (Rev. Requirement).
--Alcohol and Drug Programs 5 railroads....... 5 programs........ 3 hours........... 15 hours.
--New RRs.
--Training of Supervisory 698 railroads + 2,462 trained 3 hours........... 7,386 hours.
Employees in signs/symptoms 400 MOW supervisors.
of alcohol/drug influence. contractors.
219.12--RR Documentation on need 698 railroads + 5 documents....... 30 minutes........ 3 hours.
to place employee on duty for 400 MOW
follow-up tests. contractors.
219.23--Educational materials 698 railroads + 1,098 revised 1 hour............ 1,098 hours.
concerning the effects of 400 MOW educational
alcohol/drug misuse on contractors. documents.
individual employees.
--Copies of educational 142,000 employees. 142,000 copies of 2 minutes......... 4,733 hours.
materials to employees. documents.
219.104--Removal of employee 698 railroads + 500 notices + 500 30 seconds + 2 21 hours.
from regulated service --(Rev. 400 MOW letters. minutes.
Requirement) Verbal Notice + contractors.
Follow-up Written Letter.
--Request for Hearing by 698 railroads + 50 requests + 50 2 minutes + 4 202 hours.
Employee who Denies Test 400 MOW hearings. hours.
Result or other Information contractors.
is Valid Evidence of Part
219 Violation.
--Applicants Declining Pre- 698 railroads + 60 notices/ 2 minutes......... 2 hours.
Employment Testing and 400 MOW communications.
Withdrawing Employment contractors.
Application--Communications
(New Requirement).
219.105--RR Duty to prevent 698 railroads + 2 documents....... 5 minutes......... .17 hour.
violation--Documents provided 400 MOW
to FRA after agency request contractors.
regarding RR's Alcohol and/or
Drug Use Education/Prevention/
Etc. Program (New Requirement).
219.201(c)--Report by RR 698 railroads + 2 reports......... 30 minutes........ 1 hour.
concerning decision by person 400 MOW
other than RR representative contractors.
about whether an accident/
incident qualifies for testing.
19.203/207--Major train
accidents--Post Accident
Toxicological Testing Forms
--Completion of FRA F 142,000 employees. 240 forms......... 10 minutes........ 40 hours.
6180.73.
--Determination by RR 698 railroads + 50 decisions/ 5 minutes......... 4 hours.
representative to exclude 400 MOW determinations.
surviving crewmember from contractors.
testing (New Requirement).
--Verbal notification and 698 railroads + 80 notifications + 2 minutes + 30 43 hours.
subsequent written report 400 MOW 80 reports. minutes.
of failure to collect urine/ contractors.
blood specimens within four
hours (New Requirement).
--Recall of employees for 698 railroads + 4 calls + 4 2 minutes + 30 2 hours.
testing and Narrative 400 MOW reports. minutes.
Report Completion (New contractors.
Requirement).
[[Page 43889]]
--RR Reference to Part 219 698 railroads + 80 references..... 15 minutes........ 20 hours.
requirements and FRA's post- 400 MOW
accident toxicological kit contractors.
in seeking to obtain
facility cooperation (New
Requirement).
--RR Notification to 698 railroads + 2 phone calls..... 10 minutes........ .33 hour.
National Response Center of 400 MOW
injured employee contractors.
unconscious or otherwise
unable to give testing
consent (New Requirement).
219.205--Specimen Handling/
Collection (New Requirement)
-- Completion of Form FRA F 698 railroads + 240 forms......... 15 minutes........ 60 hours.
6180.74 by train crew 400 MOW
members after accident. contractors.
--RR representative request 698 railroads + 80 ph. requests... 2 minutes......... 3 hours.
to medical facility 400 MOW
representative to complete contractors.
remaining information on
FRA F 6180.74.
--RR representative 698 railroads + 80 forms.......... 10 minutes........ 13 hours.
completion of Form FRA F 400 MOW
6180.73. contractors.
--Request to FRA Alcohol and 698 railroads + 5 requests........ 2 minutes......... .17 hour.
Drug Program Manager for 400 MOW
order form for Standard contractors.
Shipping Kits.
--Request to National 698 railroads + 1 request......... 2 minutes......... .03333 hour.
Response Center (NRC) for 400 MOW
Post-Mortem Shipping Kit. contractors.
--RR Request to Medical 698 railroads + 40 ph. Requests... 2 minutes......... 1 hour.
Facility to Transfer Sealed 400 MOW
Toxicology Kit (Current contractors.
Requirement).
--RR/Medical Facility Record 698 RRs + 400 20 Wr. Records.... 2 minutes......... 1 hour.
of Kit Error. Contr.
219.209(a)--Notification to NRC 698 railroads + 40 phone reports.. 2 minutes......... 1 hour.
and FRA of Accident/Incident 400 MOW
where Samples were Obtained. contractors.
219.211(b)--Results of post- 698 railroads + 10 reports........ 15 minutes........ 3 hours.
accident toxicological testing 400 MOW
to RR MRO and RR Employee. contractors.
(c)--MRO Report to FRA of 698 railroads + 10 reports........ 15 minutes........ 3 hours.
positive test for alcohol/ 400 MOW
drugs of surviving employee. contractors.
219.303--Reasonable Suspicion
Observations (Drug Test)
--Communication between On- 698 railroads + 50 phone 2 minutes......... 2 hours.
Site and Off-Site 400 MOW communications.
Supervisors regarding contractors.
Reasonable Suspicion
Observation (New
Requirement).
--RR Written Documentation 698 railroads + 30 documents...... 5 minutes......... 3 hours.
of Observed Signs/Symptoms 400 MOW
for Reasonable Suspicion contractors.
Determination (New
Requirement).
219.305--RR Written Record 698 railroads + 30 records........ 2 minutes......... 1 hour.
Stating Reasons Test was Not 400 MOW
Promptly Administered (New contractors.
Requirement).
219.401--Notification to 698 railroads + 50 notifications.. 15 minutes........ 13 hours.
Employee regarding Reasonable 400 MOW
Cause Testing (New Requirement). contractors.
219.405--RR Documentation 698 railroads + 50 documents...... 15 minutes........ 13 hours.
Describing Basis of Reasonable 400 MOW
Cause Testing (New Requirement). contractors.
--RR Documentation of Rule/ 698 railroads + 20 documents...... 15 minutes........ 5 hours.
Part 225 Violation for Each 400 MOW
Reasonable Cause Test (New contractors.
Requirement).
219.407--Prompt specimen 698 railroads + 15 records........ 15 minutes........ 4 hours.
collection time limitation 400 MOW
exceeded--Record (New contractors.
Requirement).
219.501--RR Documentation of 698 railroads + 1,200 tests + 15 minutes + 5 400 hours.
Negative Pre-Employment Drug 400 MOW 1,200 documents. minutes.
Tests (New Requirement). contractors.
219.605--Submission of random 698 railroads + 200 plans......... 1 hour............ 200 hours.
testing plan (New Requirement)-- 400 MOW
Existing RRs. contractors.
--New Railroads submission 5 railroads....... 5 plans........... 1 hour............ 5 hours.
of random testing plans
(New Requirement).
--Amendments to Currently- 698 railroads + 20 amendments..... 1 hour............ 20 hours.
Approve FRA Random Testing 400 MOW
Plan (New Requirement). contractors.
--Resubmitted random testing 698 railroads + 21 resubmitted 15 minutes........ 5 hours.
plans after notice of FRA 400 MOW plans.
disapproval (New contractors.
Requirement).
--Non-Substantive Amendment 698 railroads + 50 amendments..... 10 minutes........ 8 hours.
to an Approved Plan (New 400 MOW
Requirement). contractors.
[[Page 43890]]
--New/Combined/Amended 698 railroads + 20 random testing 15 minutes........ 5 hours.
Random Testing Plans 400 MOW plans.
Incorporating New contractors.
Categories of Regulated
Employees (New Requirement).
219.607--RR Requests to 698 railroads + 50 requests....... 15 minutes........ 13 hours.
Contractor or Service Agent to 400 MOW
Submit Part 219 Compliant contractors.
Random Testing Plan on Its
Behalf (New Requirement).
--Contractor Random Testing 400 MOW 50 plans.......... 1 hour............ 50 hours.
Plan (New Requirement). contractors.
219.609--Inclusion of Regulated 698 railroads + 15 plans.......... 10 minutes........ 3 hours.
Service Contractor Employees/ 400 MOW
Volunteers in RR Random Testing contractors.
Plan (New Requirement).
--Addenda to RR Random 698 railroads + 15 addenda........ 10 minutes........ 3 hours.
Testing Plan Describing 400 MOW
Method Used to Test contractors.
Contractor/Volunteer
Employees in Non-Random
Testing Plan (New
Requirement).
219.611--Random Alcohol and Drug 698 railroads + 25,000 30 seconds + 30 417 hours.
Test Pools: Good Faith 400 MOW determinations + seconds.
Determinations and Evaluations contractors. 25,000
of Employee Likelihood of evaluations.
Performing Regulated Service
(New Requirement).
--Random Testing Pool 698 railroads + 13,176 pool 5 minutes......... 1,098 hours.
Updates (New Requirement). 400 MOW updates.
contractors.
--Documents on RR Multiple 698 railroads + 96 documents...... 5 minutes......... 8 hours.
Random Testing Pools (New 400 MOW
Requirement). contractors.
219.613--RR Identification of 698 railroads + 2,196 IDs......... 2 minutes......... 73 hours.
Total Number of Eligible 400 MOW
Employees for Random Testing contractors.
(New Requirement).
--RR Records/Explanation of 698 railroads + 10 records/ 2 minutes......... .33 hour.
Discarded Selection Draws 400 MOW explanations.
(New Requirement). contractors.
--Electronic or Hard Copy of 698 railroads + 13,176 snapshots.. 2 minutes......... 1,098 hours.
RR Snapshot of Each Random 400 MOW
Testing Pool (New contractors.
Requirement).
219.615--Incomplete Random 698 railroads + 2,000 documents... .5 minute......... 17 hours.
Testing Collections-- 400 MOW
Documentation (New Requirement). contractors.
219.617--Employee Exclusion from 698 railroads + 5 documents....... 1 hour............ 5 hours.
Random alcohol/drug testing 400 MOW
after providing verifiable contractors.
evidence from credible outside
professional (New Requirement).
219.619--Report by MRO of 698 railroads + 88 reports........ 5 minutes......... 7 hours.
Verified Positive Test or by 400 MOW
Breath Alcohol Technician of contractors.
Breath Alcohol Specimen of 04
or Greater (New Requirement).
219.623--Random Testing Records 698 railroads + 40,000 records.... 1 minute.......... 667 hours.
(New Requirement). 400 MOW
contractors.
219.901--RR Alcohol and Drug 698 railroads + 16,960 records.... 5 minutes......... 1,413 hours.
Misuse Prevention Records for 400 MOW
MOW Employees Kept by FRA (New contractors.
Requirement).
219.1001--RR Adoption of Peer 698 railroads + 698 programs...... 30 minutes........ 349 hours.
Support Program (New 400 MOW
Requirement). contractors.
--New Railroads Adoption of 5 railroads....... 5 programs........ 30 minutes........ 3 hours.
Peer Support Program (New
Requirement).
219.1005--Peer Support Programs 698 railroads + 10 Peer Support 20 hours.......... 200 hours.
with Labor Organization 400 MOW Programs.
Approvals that Include Optional contractors.
Provisions (New Requirement).
219.1007--Filing of Documents/ 698 railroads + 10 documents...... 1 hour............ 10 hours.
Records with FRA of Labor 400 MOW
Concurrences for Alternate Peer contractors.
Support Programs (New
Requirement).
--Notice to FRA of Amendment 698 railroads + 1 notice/amended 1 hour............ 1 hour.
or Revocation of FRA 400 MOW peer support
Approved Alternate Peer contractors. program.
Support Program (New
Requirement).
----------------------------------------------------------------------------------------------------------------
All estimates include the time for reviewing instructions;
searching existing data sources; gathering or maintaining the needed
data; and reviewing the information. Pursuant to 44 U.S.C.
3506(c)(2)(B), FRA solicits comments concerning: Whether these
information collection requirements are necessary for the proper
performance of the functions of FRA, including whether the information
has practical utility; the accuracy of FRA's estimates of the burden of
the information collection requirements; the quality, utility, and
clarity of the information to be collected; and whether the burden of
collection of information on those who are to respond, including
through the use of automated collection techniques or other forms of
information technology, may be minimized. For
[[Page 43891]]
information or a copy of the paperwork package submitted to OMB,
contact Mr. Robert Brogan, Information Clearance Officer, at 202-493-
6292, or Ms. Kimberly Toone at 202-493-6132.
Organizations and individuals desiring to submit comments on the
collection of information requirements should direct them to Mr. Robert
Brogan or Ms. Kimberly Toone, Federal Railroad Administration, 1200 New
Jersey Avenue SE., 3rd Floor, Washington, DC 20590. Comments may also
be submitted via email to Mr. Brogan or Ms. Toone at the following
address: [email protected]; [email protected]. OMB is required to
make a decision concerning the collection of information requirements
contained in this proposed rule between 30 and 60 days after
publication of this document in the Federal Register. Therefore, a
comment to OMB is best assured of having its full effect if OMB
receives it within 30 days of publication. The final rule will respond
to any OMB or public comments on the information collection
requirements contained in this proposal.
FRA is not authorized to impose a penalty on persons for violating
information collection requirements which do not display a current OMB
control number, if required. FRA intends to obtain current OMB control
numbers for any new information collection requirements resulting from
this rulemaking action prior to the effective date of the final rule.
The OMB control number, when assigned, will be announced by separate
notice in the Federal Register.
D. Federalism Implications
Executive Order 13132, ``Federalism'' (64 FR 43255, Aug. 4, 1999),
requires FRA to develop an accountable process to ensure ``meaningful
and timely input by State and local officials in the development of
regulatory policies that have federalism implications.'' ``Policies
that have federalism implications'' are defined in the Executive Order
to include regulations that have ``substantial direct effects on the
States, on the relationship between the national government and the
States, or on the distribution of power and responsibilities among the
various levels of government.'' Under Executive Order 13132, the agency
may not issue a regulation with federalism implications that imposes
substantial direct compliance costs and that is not required by
statute, unless the Federal government provides the funds necessary to
pay the direct compliance costs incurred by State and local
governments, or the agency consults with State and local government
officials early in the process of developing the regulation. Where a
regulation has federalism implications and preempts State law, the
agency seeks to consult with State and local officials in the process
of developing the regulation.
This NPRM has been analyzed in accordance with the principles and
criteria contained in Executive Order 13132. FRA has determined that
the proposed rule will not have substantial direct effects on the
States, on the relationship between the national government and the
States, or on the distribution of power and responsibilities among the
various levels of government. In addition, FRA has determined that this
proposed rule will not impose substantial direct compliance costs on
State and local governments. Therefore, the consultation and funding
requirements of Executive Order 13132 do not apply.
This NPRM complies with a statutory mandate and would not have a
substantial effect on the States, on the relationship between the
Federal government and the States, or on the distribution of power and
responsibilities among the various levels of government. In addition,
this NPRM would not have any federalism implications that impose
substantial direct compliance costs on State and local governments.
However, FRA notes that this part could have preemptive effect by
the operation of law under a provision of the former Federal Railroad
Safety Act of 1970, repealed and codified at 49 U.S.C. 20106 (Sec.
20106). Sec. 20106 provides that States may not adopt or continue in
effect any law, regulation, or order related to railroad safety or
security that covers the subject matter of a regulation prescribed or
order issued by the Secretary of Transportation (with respect to
railroad safety matters) or the Secretary of Homeland Security (with
respect to railroad security matters), except when the State law,
regulation, or order qualifies under the ``essentially local safety or
security hazard'' exception to Sec. 20106.
In sum, FRA has analyzed this proposed rule in accordance with the
principles and criteria contained in Executive Order 13132. As
explained above, FRA has determined that this proposed rule has no
federalism implications, other than the possible preemption of State
laws under 49 U.S.C. 20106 and 20119. Accordingly, FRA has determined
that preparation of a federalism summary impact statement for this
proposed rule is not required.
E. International Trade Impact Assessment
The Trade Agreement Act of 1979 prohibits Federal agencies from
engaging in any standards or related activities that create unnecessary
obstacles to foreign commerce of the United States. Legitimate domestic
objectives, such as safety, are not considered unnecessary obstacles.
The statute also requires consideration of international standards and
where appropriate, that they be the basis for U.S. standards.
This proposed rulemaking is purely domestic in nature and is not
expected to affect trade opportunities for U.S. firms doing business
overseas or for foreign firms doing business in the United States.
F. Environmental Impact
FRA has evaluated this NPRM in accordance with its ``Procedures for
Considering Environmental Impacts'' (FRA's Procedures) (64 FR 28545,
May 26, 1999) as required by the National Environmental Policy Act (42
U.S.C. 4321 et seq.), other environmental statutes, Executive Orders,
and related regulatory requirements. FRA has determined that this
document is not a major FRA action (requiring the preparation of an
environmental impact statement or environmental assessment). In
accordance with section 4(c) and (e) of FRA's Procedures, the agency
has further concluded that no extraordinary circumstances exist with
respect to this NPRM that might trigger the need for a more detailed
environmental review. As a result, FRA finds that this NPRM is not a
major Federal action significantly affecting the quality of the human
environment.
G. Unfunded Mandates Reform Act of 1995
Pursuant to Section 201 of the Unfunded Mandates Reform Act of 1995
(Pub. L. 104-4, 2 U.S.C. 1531), each Federal agency ``shall, unless
otherwise prohibited by law, assess the effects of Federal regulatory
actions on State, local, and tribal governments, and the private sector
(other than to the extent that such regulations incorporate
requirements specifically set forth in law).'' Section 202 of the Act
(2 U.S.C. 1532) further requires that ``before promulgating any general
notice of proposed rulemaking that is likely to result in the
promulgation of any rule that includes any Federal mandate that may
result in expenditure by State, local, and tribal governments, in the
aggregate, or by the private sector, of $100,000,000 or more (adjusted
[[Page 43892]]
annually for inflation) in any one year, and before promulgating any
final rule for which a general notice of proposed rulemaking was
published, the agency shall prepare a written statement'' detailing the
effect on State, local, and tribal governments and the private sector.
This monetary amount of $100,000,000 has been adjusted to $140,800,000
to account for inflation. This proposed rule would not result in the
expenditure of more than $140,800,000 by the public sector in any one
year, and thus preparation of such a statement is not required.
H. Energy Impact
Executive Order 13211 requires Federal agencies to prepare a
Statement of Energy Effects for any ``significant energy action.'' 66
FR 28355 (May 22, 2001). Under the Executive Order, a ``significant
energy action'' is defined as any action by an agency (normally
published in the Federal Register) that promulgates or is expected to
lead to the promulgation of a final rule or regulation, including
notices of inquiry, advance notices of proposed rulemaking, and notices
of proposed rulemaking, that: (1)(i) Is a significant regulatory action
under Executive Order 12866 or any successor order; and (ii) is likely
to have a significant adverse effect on the supply, distribution, or
use of energy; or (2) is designated by the Administrator of the Office
of Information and Regulatory Affairs as a significant energy action.
FRA has evaluated this NPRM in accordance with Executive Order 13211.
FRA has determined that this NPRM would not have a significant adverse
effect on the supply, distribution, or use of energy. Consequently, FRA
has determined that this regulatory action is not a ``significant
energy action'' within the meaning of Executive Order 13211.
I. Privacy Act Information
Interested parties should be aware that anyone is able to search
the electronic form of all written communications and comments received
into any agency docket by the name of the individual submitting the
document (or signing the document, if submitted on behalf of an
association, business, labor union, etc.). You may review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (65 FR 19477), or you may visit http://www.dot.gov/privacy.html.
List of Subjects in 49 CFR Part 219
Alcohol abuse, Drug abuse, Drug testing, Penalties, Railroad
safety, Reporting and recordkeeping requirements, Safety,
Transportation.
The Proposed Rule
For the reasons stated above, FRA proposes to amend 49 CFR part 219
as follows:
PART 219--[Amended]
0
1. The authority citation for part 219 is revised to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20140, 21301, 21304, 21311;
28 U.S.C. 2461, note; Sec. 412, Pub. L. 110-432, 122 Stat. 4889; and
49 CFR 1.89.
Subpart A--General
0
2. Revise Sec. 219.1(a) to read as follows:
Sec. 219.1 Purpose and scope.
(a) The purpose of this part is to prevent accidents and casualties
in railroad operations that result from impairment of employees (as
defined in Sec. 219.5) by alcohol or drugs.
* * * * *
0
3. Revise Sec. 219.3 to read as follows:
Sec. 219.3 Application.
(a) General. This part applies to all railroads, except as provided
in paragraphs (b), (c), and (d) of this section, and except for:
(1) Railroads that operate only on track inside an installation
that is not part of the general railroad system of transportation
(i.e., plant railroads, as defined in Sec. 219.5);
(2) Tourist, scenic, historic, or excursion operations that are not
part of the general railroad system of transportation, as defined in
Sec. 219.5; or
(3) Rapid transit operations in an urban area that are not
connected to the general railroad system of transportation.
(b) Annual report requirements. (1) Subpart I of this part does not
apply to any domestic or foreign railroad that has fewer than 400,000
total annual employee work hours, including hours worked by all
employees of the railroad, regardless of occupation, not only while in
the United States, but also while outside the United States.
(2) Subpart I of this part does not apply to any contractor that
performs regulated service exclusively for railroads with fewer than
400,000 total annual employee work hours, including hours worked by all
employees of the railroad, regardless of occupation, not only while in
the United States, but also while outside the United States.
(3) When a contractor performs regulated service for at least one
railroad with fewer than 400,000 total annual employee hours, including
hours worked by all employees of the railroad, regardless of
occupation, not only while in the United States, but also while outside
the United States, subpart I applies as follows:
(i) A railroad with more than 400,000 total annual employee work
hours must comply with Subpart I regarding any contractor employees it
integrates into its own alcohol and drug testing program under this
part; and
(ii) If a contractor establishes its own independent alcohol and
drug testing program that meets the requirements of this part and is
acceptable to the railroad, the contractor must comply with subpart I
if it has 200 or more regulated employees.
(c) Small railroad exception. (1) Subparts E, G, and K of this part
do not apply to small railroads, and a small railroad may not perform
the Federal alcohol and drug testing authorized by these subparts
(except that a small railroad may establish a Federal authority peer
prevention program that complies with the requirements of subpart K).
For purposes of this part, a small railroad means a railroad that:
(i) Has a total of 15 or fewer employees who are covered by the
hours of service laws at 49 U.S.C. 21103, 21104, or 21105, or who would
be subject to the hours of service laws at 49 U.S.C. 21103, 21104, or
21105 if their services were performed in the United States; and
(ii) Does not have joint operations, as defined in Sec. 219.5,
with another railroad that operates in the United States, except as
necessary for purposes of interchange.
(2) An employee performing only MOW activities, as defined in Sec.
219.5, does not count towards a railroad's total number of covered
employees for the purpose of determining whether it qualifies for the
small railroad exception.
(3) A contractor performing MOW activities exclusively for small
railroads also qualifies for the small railroad exception (i.e., is
excepted from the requirements of subparts E, G, and K of this part).
However, a contractor who would otherwise qualify for the small
railroad exception is not excepted if it performs MOW activities for
multiple railroads, and at least one or more of those railroads does
not qualify for the small railroad exception under this section.
(4) If a contractor is subject to all of part 219 because it
performs regulated service for multiple railroads, not all of which
qualify for the small railroad exception, the responsibility for
ensuring that the contractor complies with subparts E, G, and K is
shared
[[Page 43893]]
between the contractor and any railroad using the contractor that does
not qualify for the small railroad exception.
(d) Foreign railroad. (1) This part does not apply to the
operations of a foreign railroad that take place outside the United
States. A foreign railroad is required to conduct post-accident
toxicological testing or reasonable suspicion testing only for
operations that occur within the United States.
(2) Subparts F, G, and K of this part do not apply to an employee
of a foreign railroad whose primary reporting point is outside the
United States if that employee is:
(i) Performing train or dispatching service on that portion of a
rail line in the United States extending up to 10 route miles from the
point that the line crosses into the United States from Canada or
Mexico; or
(ii) Performing signal service in the United States.
0
4. In Sec. 219.4, revise paragraphs (a)(1) introductory text and
(b)(1) and (2) to read as follows:
Sec. 219.4 Recognition of a foreign railroad's workplace testing
program.
(a) * * *
(1) To be so considered, the petition must document that the
foreign railroad's workplace testing program contains equivalents to
subparts B, F, G, and K of this part:
* * * * *
(b) * * *
(1) Upon FRA's recognition of a foreign railroad's workplace
alcohol and drug use program as compatible with the return-to-service
requirements in subpart B and the requirements of subparts F, G, and K
of this part, the foreign railroad must comply with either the
enumerated provisions of part 219 or with the standards of its
recognized program, and any imposed conditions, with respect to its
employees whose primary reporting point is outside the United States
and who perform train or dispatching service in the United States. The
foreign railroad must also, with respect to its final applicants for,
or its employees seeking to transfer for the first time to, duties
involving such train or dispatching service in the United States,
comply with either subpart F of this part or the standards of its
recognized program.
(2) The foreign railroad must comply with subparts A (general), B
(prohibitions, other than the return-to-service provisions in Sec.
219.104(d)), C (post-accident toxicological testing), D (reasonable
suspicion testing), I (annual report requirements), and J
(recordkeeping requirements) of this part. Drug or alcohol testing
required by these subparts (except for post-accident toxicological
testing required by subpart C) must be conducted in compliance with all
applicable provisions of the DOT Procedures for Workplace Drug and
Alcohol Testing Programs (part 40 of this title).
* * * * *
0
5. Section 219.5 is amended by:
0
a. Revising the introductory text;
0
b. Adding definitions of ``Administrator'', ``Associate
Administrator'', ``category of regulated employee'', ``contractor'',
and ``Counselor'';
0
c. Revising the definitions of ``covered employee'', ``covered
service'', and ``DOT agency'';
0
d. Adding definitions of ``DOT, The Department, or DOT agency'', ``DOT-
regulated employee'', ``DOT safety-sensitive duties or DOT safety-
sensitive functions'', ``Drug and Alcohol Counselor or DAC,''
``employee'', ``Employee Assistance Program Counselor or EAP
Counselor'', ``evacuation'', ``flagman'', and ``fouling a track'';
0
e. Revising the definition of ``FRA representative'';
0
f. Removing the definition of ``general railroad system of
transportation'';
0
g. Adding definitions of ``highway-rail grade crossing'' and ``highway-
rail grade crossing accident/incident'';
0
h. Revising the definition of ``impact accident'';
0
i. Adding definitions of ``joint operations'', ``maintenance-of-way
activities or MOW activities'', and ``maintenance-of-way employee or
MOW employee'';
0
j. Revising the definition of ``medical facility'';
0
j. Adding definitions of ``on-track or fouling equipment'', ``other
impact accident'', ``person'', and ``plant railroad'';
0
k. Revising the definition of ``railroad property damage or damage to
railroad property'';
0
l. Adding the definitions of ``raking collision'', ``regulated
employee'', ``regulated service'', ``responsible railroad supervisor'',
``side collision'', and ``tourist, scenic, historic, or excursion
operations that are not part of the general railroad system of
transportation'';
0
m. Removing the definition of ``train'';
0
n. Revising the definitions of ``train accident'' and ``train
incident''; and
0
o. Adding the definition of ``watchman/lookout''.
The revisions and additions read as follows:
Sec. 219.5 Definitions.
As used in this part only--
* * * * *
Administrator means the Administrator of the Federal Railroad
Administration or the Administrator's delegate.
Associate Administrator means the Associate Administrator for
Railroad Safety/Chief Safety Officer, Federal Railroad Administration,
or the Associate Administrator's delegate.
Category of regulated employee means a broad class of either
covered service or maintenance-of-way employees (as defined in this
section). For the purpose of determining random testing rates under
Sec. 219.625, if an individual performs both covered service and
maintenance-of-way activities, he or she belongs in the category of
regulated employee that corresponds with the type of regulated service
comprising more than 50 percent of his or her regulated service.
* * * * *
Contractor means a contractor or subcontractor performing functions
for a railroad.
* * * * *
Counselor means a person who meets the qualifications and
credentialing requirements for a Drug and Alcohol Counselor, Employee
Assistance Program Counselor, or Substance Abuse Professional.
Covered employee means an employee (as defined in this section to
include an employee, volunteer, or probationary employee performing
activities for a railroad or a contractor to a railroad) who is
performing covered service under the hours of service laws at 49 U.S.C.
ch. 21101, 21104, or 21105 or who is subject to performing such covered
service, regardless of whether the person has performed or is currently
performing covered service. (An employee is not a ``covered employee''
under this definition exclusively because he or she is an employee for
purposes of 49 U.S.C. 21106.) For the purposes of pre-employment
testing only, the term ``covered employee'' includes a person applying
to perform covered service in the United States.
Covered service means service in the United States that is subject
to the hours of service laws at 49 U.S.C. 21103, 21104, or 21105, but
does not include any period the employee is relieved of all
responsibilities and is free to come and go without restriction.
Generally, this includes train and engine service persons who are
involved in the movement of trains (e.g., a locomotive engineer,
fireman, conductor, trainman, brakeman, switchman, or locomotive
[[Page 43894]]
hostler/helper); persons who handle orders governing the movement of
trains (e.g., train dispatchers and control operators); and persons who
inspect, repair, or install railroad signal systems (e.g., signal
maintainers). See Appendix A to 49 CFR part 228, Requirements of the
Hours of Service Act: Statement of Agency Policy and Interpretation.
* * * * *
DOT, The Department, or DOT agency means all DOT agencies,
including, but not limited to, the United States Coast Guard (USCG),
the Federal Aviation Administration (FAA), the Federal Railroad
Administration (FRA), the Federal Motor Carrier Safety Administration
(FMCSA), the Federal Transit Administration (FTA), the National Highway
Traffic Safety Administration (NHTSA), the Pipeline and Hazardous
Materials Safety Administration (PHMSA), and the Office of the
Secretary (OST). These terms include any designee of a DOT agency.
DOT-regulated employee means any person who is designated in a DOT
agency regulation as subject to drug testing and/or alcohol testing.
The term includes individuals currently performing DOT safety-sensitive
functions designated in DOT agency regulations and applicants for
employment subject to pre-employment testing. For purposes of drug
testing conducted under the provisions of 49 CFR part 40, the term
employee has the same meaning as the term ``donor'' as found on the
Custody and Control Form and related guidance materials produced by the
Department of Health and Human Services.
DOT safety-sensitive duties or DOT-safety sensitive functions means
functions or duties designated by a DOT agency, the performance of
which makes an individual subject to the drug testing and/or alcohol
testing requirements of that DOT agency. For purposes of this part,
regulated service has been designated by FRA as a DOT safety-sensitive
duty or function.
* * * * *
Drug and Alcohol Counselor or DAC means a person who meets the
credentialing and qualification requirements described in Sec. 242.7
of this chapter.
Employee means any individual (including a volunteer or a
probationary employee) performing activities for a railroad or a
contractor to a railroad.
Employee assistance program or EAP Counselor means a person
qualified by experience, education, or training to counsel people
affected by substance abuse problems and to evaluate their progress in
recovering from or controlling such problems. An EAP counselor can be a
qualified full-time salaried employee of a railroad, a qualified
practitioner who contracts with the railroad on a fee-for-service or
other basis, or a qualified physician designated by the railroad to
perform functions in connection with alcohol or substance abuse
evaluation or counseling. As used in this part, the EAP counselor has a
duty to make an honest and fully informed evaluation of the condition
and progress of an employee.
Evacuation means the mandatory or voluntary relocation of at least
one person who is not a railroad employee for the purpose of avoiding
exposure to a hazardous material release. It does not include the
closure of public transportation roadways for the purpose of containing
a hazardous material release, unless the closure is accompanied by an
evacuation order.
Flagman means any person designated by the railroad to direct or
restrict the movement of trains past a point on a track to provide on-
track safety for maintenance-of-way employees, while engaged solely in
performing that function.
* * * * *
Fouling a track means the placement of an individual or an item of
equipment in such proximity to a track that the individual or equipment
could be struck by a moving train or on-track equipment, or in any case
is within four feet of the field side of the near running rail.
* * * * *
FRA representative means the Associate Administrator for Railroad
Safety of FRA and staff, the Associate Administrator's delegate
(including a qualified State inspector acting under part 212 of this
chapter), the Chief Counsel of FRA, the Chief Counsel's delegate, or
FRA's Drug and Alcohol Program oversight contractor.
* * * * *
Highway-rail grade crossing means:
(1) A location where a public highway, road, or street, or a
private roadway, including associated sidewalks, crosses one or more
railroad tracks at grade; or
(2) A location where a pathway explicitly authorized by a public
authority or a railroad carrier that is dedicated for the use of non-
vehicular traffic, including pedestrians, bicyclists, and others. The
term ``sidewalk'' means that portion of a street between the curb line,
or the lateral line of a roadway, and the adjacent property line or, on
easements of private property, that portion of a street that is paved
or improved and intended for use by pedestrians.
Highway-rail grade crossing accident/incident means any impact
between railroad on-track equipment and a highway user at a highway-
rail grade crossing. The term ``highway user'' includes pedestrians, as
well as automobiles, buses, trucks, motorcycles, bicycles, farm
vehicles, pedestrians, and all other modes of surface transportation
motorized and un-motorized.
Impact accident means a train accident, as defined in this section,
consisting either of--
(1) A head-on or rear-end collision between on-track equipment;
(2) A side collision, derailment collision, raking collision,
switching collision, or ``other impact accident,'' as defined by this
section;
(3) Impact with a deliberately-placed obstruction, such as a
bumping post (but not a derail); or
(4) Impact between on-track equipment and any railroad equipment
fouling the track, such as an impact between a train and the boom of an
off-rail vehicle.
The definition of ``impact accident'' does not include an impact
with naturally-occurring obstructions such as fallen trees, rock or
snow slides, livestock, etc.
* * * * *
Joint operations means rail operations conducted by more than one
railroad on the same track (except for minimal joint operations
necessary for the purpose of interchange), regardless of whether such
operations are the result of contractual arrangements between the
railroads, order of a governmental agency or a court of law, or any
other legally binding directive. For purposes of this part only,
minimal joint operations are considered necessary for the purpose of
interchange when:
(1) The maximum authorized speed for operations on the shared track
does not exceed 20 mph;
(2) Operations are conducted under operating rules that require
every locomotive and train to proceed at a speed that permits stopping
within one half the range of vision of the locomotive engineer;
(3) The maximum distance for operations on the shared track does
not exceed 3 miles; and
(4) Any operations extending into another railroad's yard are for
the sole purpose of setting out or picking up cars on a designated
interchange track.
Maintenance-of-way activities or MOW activities means:
[[Page 43895]]
(1) The inspection, repair, or maintenance of track, roadbed, or
electric traction systems;
(2) The operation of on-track or fouling equipment utilized for the
inspection, repair, or maintenance of track, roadbed, or electric
traction systems;
(3) The performance of flagman or watchman/lookout duties, as
defined in this section;
(4) The obtaining of on-track authority and/or permission for the
performance of the activities listed in paragraphs (1) through (3) of
this definition; or
(5) The granting of on-track authority and/or permission for
operation over a segment of track while workers are performing the
activities listed in paragraphs (1) through (3) of this definition.
Maintenance-of-way employee or MOW employee means any employee (as
defined in this section) who performs maintenance-of-way activities for
a railroad.
Medical facility means a hospital, clinic, physician's office, or
laboratory where post-accident toxicological testing specimens can be
collected according to recognized professional standards, and where an
individual's post-accident medical needs can be attended to.
* * * * *
On-track or fouling equipment means any railroad equipment that is
positioned on the rails or that is fouling the track, and includes, but
is not limited to, the following: A train, locomotive, cut of cars,
single car, motorcar, yard switching train, work train, inspection
train, track motorcar, highway-rail vehicle, push car, crane, or other
roadway maintenance machine, such as a ballast tamping machine, if the
machine is positioned on or over the rails or is fouling the track.
Other impact accident means an accident or incident, not classified
as a head-on, rear-end, side, derailment, raking, or switching
collision, that involves contact between on-track or fouling equipment.
This includes impacts in which single cars or cuts of cars are damaged
during operations involving switching, train makeup, setting out, etc.
* * * * *
Person means an entity of any type covered under 1 U.S.C. 1,
including but not limited to the following: A railroad; a manager,
supervisor, official, or other employee or agent of a railroad; any
owner, manufacturer, lessor, or lessee of railroad equipment, track, or
facilities; any independent contractor providing goods or services to a
railroad, such as a service agent performing functions under part 40 of
this title; and any employee of such owner, manufacturer, lessor,
lessee, or independent contractor.
Plant railroad means a plant or installation that owns or leases a
locomotive, uses that locomotive to switch cars throughout the plant or
installation, and is moving goods solely for use in the facility's own
industrial processes. The plant or installation could include track
immediately adjacent to the plant or installation if the plant railroad
leases the track from the general system railroad and the lease
provides for (and actual practice entails) the exclusive use of that
trackage by the plant railroad and the general system railroad for
purposes of moving only cars shipped to or from the plant. A plant or
installation that operates a locomotive to switch or move cars for
other entities, even if solely within the confines of the plant or
installation, rather than for its own purposes or industrial processes,
will not be considered a plant railroad because the performance of such
activity makes the operation part of the general railroad system of
transportation.
* * * * *
Railroad property damage or damage to railroad property means
damage to railroad property (specifically, on-track equipment, signals,
track, track structure, or roadbed) and must be calculated according to
the provisions for calculating costs and reportable damage in the FRA
Guide for Preparing Accident/Incident Reports (see Sec. 225.21 of this
chapter for instructions on how to obtain a copy). Generally, railroad
property damage includes labor costs and all other costs to repair or
replace in-kind damaged on-track equipment, signals, track, track
structures (including bridges and tunnels), or roadbed. (Labor costs
that must be accounted for include hourly wages, transportation costs,
and hotel expenses.) It does not include the cost of clearing a wreck;
however, additional damage to the above-listed items caused while
clearing the wreck must be included in the damage estimate. It also
includes the cost of rental and/or operation of machinery such as
cranes and bulldozers, including the services of contractors, to
replace or repair the track right-of-way and associated structures.
Railroad property damage does not include damage to lading. Trailers/
containers on flatcars are considered to be lading and damage to these
is not to be included in on-track equipment damage. Damage to a flat
car carrying a trailer/container, however, is included in railroad
property damage. Railroads should refer directly to the FRA Guide for
Preparing Accident/Incident Reports for additional guidance on what
constitutes railroad property damage.
Raking collision means a collision between parts or lading of a
consist on an adjacent track, or with a structure such as a bridge.
Regulated employee means a covered employee or maintenance-of-way
employee who performs regulated service for a railroad subject to the
requirements of this part.
Regulated service means covered service or maintenance-of-way
activities, the performance of which makes an employee subject to the
requirements of this part.
* * * * *
Responsible railroad supervisor means any responsible line
supervisor (e.g., a trainmaster or road foreman of engines) or superior
official in authority over the regulated employees to be tested.
* * * * *
Side collision means a collision at a turnout where one consist
strikes the side of another consist.
* * * * *
Train accident means a rail equipment accident described in Sec.
225.19(c) of this chapter involving damage in excess of the current
reporting threshold (see Sec. 225.19(e) of this chapter), including an
accident involving a switching movement. Rail equipment accidents
include, but are not limited to, collisions, derailments, and other
events involving the operations of on-track or fouling equipment
(whether standing or moving).
Train incident means an event involving the operation of railroad
on-track or fouling equipment that results in a casualty but in which
railroad property damage does not exceed the reporting threshold.
Tourist, scenic, historic, or excursion operations that are not
part of the general railroad system of transportation means a tourist,
scenic, historic, or excursion operation conducted only on track used
exclusively for that purpose (i.e., there is no freight, intercity
passenger, or commuter passenger railroad operation on the track).
* * * * *
Watchman/lookout means an employee who has been annually trained
and qualified to provide warning of approaching trains or on-track
equipment. Watchmen/lookouts must be properly equipped to provide
visual and auditory warning by such
[[Page 43896]]
means as a whistle, air horn, white disk, red flag, lantern, or fusee.
A watchman/lookout's sole duty is to look out for approaching trains/
on-track equipment and provide at least fifteen seconds advanced
warning to employees before arrival of trains/on-track equipment.
0
6. Revise Sec. 219.9 to read as follows:
Sec. 219.9 Responsibility for compliance.
(a) General. Although the requirements of this part are stated in
terms of the duty of a railroad, when any person, as defined by Sec.
219.5, performs any function required by this part, that person
(whether or not a railroad) shall perform that function in accordance
with this part.
(b) Joint operations. (1) In the case of joint operations, primary
responsibility for compliance with subparts C, D, and E of this part
rests with the host railroad, and all affected employees must be
responsive to direction from the host railroad that is consistent with
this part. However, nothing in this paragraph restricts railroads
engaged in joint operations from appropriately assigning responsibility
for compliance with this part amongst themselves through a joint
operating agreement or other binding contract. FRA reserves the right
to bring an enforcement action for noncompliance with this part against
the host railroad, the employing railroad, or both.
(2) Where an employee of a railroad engaged in joint operations is
required to participate in breath or body fluid testing under subpart
C, D, or E of this part and is subsequently subject to adverse action
alleged to have arisen out of the required test (or alleged refusal
thereof), necessary witnesses and documents available to the other
railroad engaged in the joint operations must be made available to the
employee and his or her employing railroad on a reasonable basis.
(c) Contractor responsibility for compliance. As provided by
paragraph (a) of this section, any independent contractor or other
entity that performs regulated service for a railroad, or any other
services under this part or part 40 of this title, has the same
responsibilities as a railroad under this part with respect to its
employees who perform regulated service or other service required by
this part or part 40 of this title for the railroad. The entity's
responsibility for compliance with this part may be fulfilled either
directly by that entity or by the railroad treating the entity's
regulated employees as if they were the railroad's own employees for
purposes of this part. The responsibility for compliance must be
clearly spelled out in the contract between the railroad and the other
entity or in another document. In the absence of a clear delineation of
responsibility, FRA may hold the railroad and the other entity jointly
and severally liable for compliance.
0
7. Add Sec. 219.10 to read as follows:
Sec. 219.10 Penalties.
Any person, as defined by Sec. 219.5, who violates any requirement
of this part or causes the violation of any such requirement is subject
to a civil penalty of at least $650 and not more than $16,000 per
violation, except that: Penalties may be assessed against individuals
only for willful violations; where a grossly negligent violation or a
pattern of repeated violations has created an imminent hazard of death
or injury, or has caused death or injury, a penalty not to exceed
$100,000 per violation may be assessed; and the standard of liability
for a railroad will vary depending upon the requirement involved. See,
e.g., Sec. 219.105, which is construed to qualify the responsibility
of a railroad for the unauthorized conduct of an employee that violates
Sec. 219.101 or Sec. 219.102 (while imposing a duty of due diligence
to prevent such conduct). Each day a violation continues constitutes a
separate offense. See Appendix A to this part for a statement of agency
civil penalty policy.
0
8. In Sec. 219.11, revise paragraphs (a), (b)(1) and (2), and (c)
through (h) to read as follows:
Sec. 219.11 General conditions for chemical tests.
(a)(1) Any regulated employee who is subject to performing
regulated service for a railroad is deemed to have consented to testing
as required in subparts B, C, D, E, G, and K of this part.
(2) A regulated employee required to participate in alcohol and/or
drug testing under this part must be on-duty and subject to performing
regulated service when the specimen collection is initiated and the
alcohol testing/urine specimen collection is conducted (with the
exception of pre-employment testing under subpart F of this part).
(b)(1) Each regulated employee must participate in such testing, as
required under the conditions set forth in this part and implemented by
a representative of the railroad or employing contractor.
(2) In any case where an employee is suffering a substantiated
medical emergency and is subject to alcohol or drug testing under this
part, necessary medical treatment must be accorded priority over
provision of the breath or body fluid specimen(s). A medical emergency
is an acute medical condition requiring immediate medical care. A
railroad may require an employee to substantiate a medical emergency by
providing verifiable documentation from a credible outside professional
(e.g., doctor, dentist, hospital, or law enforcement officer)
substantiating the medical emergency within a reasonable period of
time.
* * * * *
(c) A regulated employee who is required to be tested under subpart
C, D, or E of this part and who is taken to a medical facility for
observation or treatment after an accident or incident is deemed to
have consented to the release to FRA of the following:
(1) The remaining portion of any body fluid specimen taken by the
medical facility within 12 hours of the accident or incident that is
not required for medical purposes, together with any normal medical
facility record(s) pertaining to the taking of such specimen;
(2) The results of any laboratory tests for alcohol or any drug
conducted by or for the medical facility on such specimen;
(3) The identity, dosage, and time of administration of any drugs
administered by the medical facility prior to the time specimens were
taken by the medical facility or prior to the time specimens were taken
in compliance with this part; and
(4) The results of any breath tests for alcohol conducted by or for
the medical facility.
(d) Any person required to participate in body fluid testing under
subpart C of this part (post-accident toxicological testing) shall, if
requested by a representative of the railroad or the medical facility,
evidence consent to the taking of specimens, their release for
toxicological analysis under pertinent provisions of this part, and
release of the test results to the railroad's Medical Review Officer by
promptly executing a consent form, if required by the medical facility.
The employee is not required to execute any document or clause waiving
rights that the employee would otherwise have against the railroad, and
any such waiver is void. The employee may not be required to waive
liability with respect to negligence on the part of any person
participating in the collection, handling or analysis of the specimen
or to indemnify any person for the negligence of others. Any consent
provided consistent with this section may be construed to extend only
to those actions specified in this section.
(e)(1) A regulated employee who is notified of selection for
testing under this part must cease to perform his or
[[Page 43897]]
her assigned duties and proceed to the testing site either immediately
or as soon as possible without adversely affecting safety.
(2) A railroad must ensure that the absence of a regulated employee
from his or her assigned duties to report for testing does not
adversely affect safety.
(3) Nothing in this part may be construed to authorize the use of
physical coercion or any other deprivation of liberty in order to
compel breath or body fluid testing.
(f) Any employee performing duties for a railroad who is involved
in a qualifying accident or incident described in subpart C of this
part, and who dies within 12 hours of that accident or incident as the
result thereof, is deemed to have consented to the removal of body
fluid and/or tissue specimens necessary for toxicological analysis from
the remains of such person, and this consent is implied by the
performance of duties for the railroad (i.e., a consent form is not
required). This consent provision applies to all employees performing
duties for a railroad, and not just regulated employees.
(g) Each supervisor responsible for regulated employees (except a
working supervisor who is a co-worker as defined in Sec. 219.5) must
be trained in the signs and symptoms of alcohol and drug influence,
intoxication, and misuse consistent with a program of instruction to be
made available for inspection upon demand by FRA. Such a program shall,
at a minimum, provide information concerning the acute behavioral and
apparent physiological effects of alcohol, the major drug groups on the
controlled substances list, and other impairing drugs. The program must
also provide training on the qualifying criteria for post-accident
toxicological testing contained in subpart C of this part, and the role
of the supervisor in post-accident collections described in subpart C
and Appendix C of this part.
(h) Nothing in this subpart restricts any discretion available to
the railroad to request or require that an employee cooperate in
additional breath or body fluid testing. However, no such testing may
be performed on urine or blood specimens provided under this part. For
purposes of this paragraph, all urine from a void constitutes a single
specimen.
* * * * *
0
9. Add Sec. 219.12 to read as follows:
Sec. 219.12 Hours-of-service laws implications.
(a) Railroads are not excused from performing alcohol or drug
testing under subpart C (post-accident toxicological testing) and
subpart D (reasonable suspicion testing) of this part because the
performance of such testing would violate the hours-of-service laws at
49 U.S.C. ch. 211. If a railroad establishes that a violation of the
hours-of-service laws is caused solely because it was required to
conduct post-accident toxicological testing or reasonable suspicion
testing, FRA will not take enforcement action for the violation if the
railroad used reasonable due diligence in completing the collection and
otherwise completed it within the time limitations of Sec. 219.203(d)
(for post-accident toxicological testing) or Sec. 219.305 (for
reasonable suspicion testing), although the railroad must still report
any excess service to FRA.
(b) Railroads may perform alcohol or drug testing authorized under
subpart E (reasonable cause testing) of this part even if the
performance of such testing would violate the hours-of-service laws at
49 U.S.C. ch. 211. If a railroad establishes that a violation of the
hours-of-service laws is caused solely by its decision to conduct
authorized reasonable cause testing, FRA will not take enforcement
action for the violation if the railroad used reasonable due diligence
in completing the collection and otherwise completed it within the time
limitations of Sec. 219.407, although the railroad must still report
any excess service to FRA.
(c) Railroads must schedule random alcohol and drug tests under
subpart G of this part so that sufficient time is provided to complete
the test within a covered employee's hours-of-service limitations under
49 U.S.C. ch. 211. However, if a direct observation collection is
required during a random test per the requirements of part 40 of this
title, then the random test must be completed regardless of the hours-
of-service law limitations. A railroad may not place a regulated
employee on-duty for the sole purpose of conducting a random alcohol or
drug test under subpart G of this part.
(d) Railroads must schedule follow-up tests under Sec. 219.104 so
that sufficient time is provided to complete a test within a covered
employee's hours-of-service limitations under 49 U.S.C. ch. 211. If a
railroad is having a difficult time scheduling the required number of
follow-up tests because a covered employee's work schedule is
unpredictable, there is no prohibition against the railroad placing an
employee (who is subject to being called to perform regulated service)
on duty for the purpose of conducting the follow-up tests; except that
an employee may be placed on duty for a follow-up alcohol test only if
he or she is required to completely abstain from alcohol by a return-
to-duty agreement, as provided by Sec. 40.303(b) of this title. A
railroad must maintain documentation establishing the need to place the
employee on duty for purpose of conducting the follow-up test and
provide this documentation for review upon request of an FRA
representative.
0
10. Revise Sec. 219.23 to read as follows:
Sec. 219.23 Railroad policies.
(a) Whenever a breath or body fluid test is required of an employee
under this part, the railroad (either through a railroad employee or a
designated agent, such as a contracted collector) must provide clear
and unequivocal written notice to the employee that the test is being
required under FRA regulations and is being conducted under Federal
authority. The railroad must also provide the employee clear and
unequivocal written notice of the type of test that is required (e.g.,
reasonable suspicion, reasonable cause, random selection, follow-up,
etc.). These notice requirements are satisfied if:
(1) For all FRA testing except mandatory post-accident
toxicological testing under subpart C of this part, a railroad uses the
mandated DOT alcohol or drug testing form, circles or checks off the
box corresponding to the type of test, and shows this form to the
employee prior to the commencement of testing; or
(2) For mandatory post-accident toxicological testing under subpart
C of this part, a railroad uses the approved FRA form and shows this
form to the employee prior to the commencement of testing.
(b) Use of the mandated DOT alcohol or drug testing forms for non-
Federal tests or mandatory post-accident toxicological testing under
subpart C is prohibited (except for post-accident breath alcohol
testing permitted under Sec. 219.203(c)). Use of the approved FRA
post-accident toxicological testing form for any testing other than
that mandated under subpart C is prohibited.
(c) Each railroad must develop and publish educational materials,
specifically designed for regulated employees, that clearly explain the
requirements of this part, as well as the railroad's policies and
procedures with respect to meeting those requirements. The railroad
must ensure that a copy of these materials is distributed to each
regulated employee hired for or transferred to a position that requires
alcohol and drug testing under this part. (This requirement does not
apply to an applicant for a regulated service
[[Page 43898]]
position who either refuses to provide a specimen for pre-employment
testing or who has a pre-employment test with a result indicating a
violation of the alcohol or drug prohibitions of this part.) A railroad
may satisfy this requirement by either--
(1) Continually posting the materials in a location that is easily
visible to all regulated employees going on duty at their designated
reporting place and, if applicable, providing a copy of the materials
to any employee labor organization representing a class or craft of
regulated employees of the railroad;
(2) Providing a copy of the materials in some other manner that
will ensure that regulated employees can find and access these
materials explaining the critical aspects of the program (e.g., by
posting the materials on a company Web site that is accessible to all
regulated employees); or
(3) For a minimum of three years after the effective date of the
final rule, a railroad must also ensure that a hard copy of these
materials is provided to each maintenance-of-way employee.
(d) Required content. The materials to be made available to
employees under paragraph (c) of this section must, at a minimum,
include clear and detailed discussion of the following:
(1) The position title, name, and means of contacting the person(s)
designated by the railroad to answer employee questions about the
materials;
(2) The specific classes or crafts of employees who are subject to
the provisions of this part, such as engineers, conductors, MOW
employees, signal maintainers, or train dispatchers;
(3) Sufficient information about the regulated service functions
performed by those employees to make clear that the period of the work
day the regulated employee is required to be in compliance with the
alcohol prohibitions of this part is that period when the employee is
on duty and is required to perform or is available to perform regulated
service;
(4) Specific information concerning employee conduct that is
prohibited under subpart B of this part (e.g., the minimum requirements
of Sec. Sec. 219.101, 219.102, and 219.103);
(5) The requirement that a railroad utilizing the reasonable cause
testing authority provided by subpart E of this part must give prior
notice to regulated employees of the circumstances under which they
will be subject to reasonable cause testing;
(6) The circumstances under which a regulated employee will be
tested under this part;
(7) The procedures that will be used to test for the presence of
alcohol and controlled substances, protect the employee and the
integrity of the testing processes, safeguard the validity of the test
results, and ensure that those results are attributed to the correct
employee;
(8) The requirement that a regulated employee submit to alcohol and
drug tests administered in accordance with this part;
(9) An explanation of what constitutes a refusal to submit to an
alcohol or drug test and the attendant consequences;
(10) The consequences for a regulated employee found to have
violated subpart B of this part, including the requirement that the
employee be removed immediately from regulated service, and the
responsive action requirements of Sec. 219.104;
(11) The consequences for a regulated employee who has a Federal
alcohol test indicating an alcohol concentration of 0.02 or greater but
less than 0.04;
(12) Information concerning the effects of alcohol and drug misuse
on an individual's health, work, and personal life; signs and symptoms
of an alcohol or drug problem (the employee's or a co-worker's); and
available methods of evaluating and resolving problems associated with
the misuse of alcohol and drugs, including utilization of the
procedures set forth in subpart K of this part and the names,
addresses, and telephone numbers of substance abuse professionals and
counseling and treatment programs.
(e) Optional provisions. The materials supplied to employees may
also include information on additional railroad policies with respect
to the use or possession of alcohol and drugs, including any
consequences for an employee found to have a specific alcohol
concentration that are based on the railroad's company authority
independent of this part. Any such additional policies or consequences
must be clearly and obviously described as being based on the
railroad's independent company authority.
0
11. Add Sec. 219.25 to subpart A to read as follows:
Sec. 219.25 Previous employer drug and alcohol checks.
(a) As required by Sec. 219.701(a) and (b), which mandates that
drug or alcohol testing conducted under this part be conducted in
compliance with part 40 of this title (except for post-accident
toxicological testing under subpart C of this part), a railroad must
comply with Sec. 40.25 and check the alcohol and drug testing record
of any direct employee (an employee who is not employed by a contractor
to the railroad) it intends to use for regulated service before the
employee performs such service for the first time. A railroad is not
required to check the alcohol and drug testing record of contractor
employees performing regulated service on its behalf (the alcohol and
drug testing record of those contractor employees must be checked by
their direct employers).
(b) When determining whether a person may become or remain
certified as a locomotive engineer or a conductor, a railroad must
comply with the requirements in Sec. 240.119(c) (for engineers) or
Sec. 242.115(e) (for conductors) of this chapter regarding the
consideration of Federal alcohol and drug violations that occurred
within a period of 60 consecutive months prior to the review of the
person's records.
Subpart B--Prohibitions
0
12. Revise Sec. 219.101(a) to read as follows:
Sec. 219.101 Alcohol and drug use prohibited.
(a) Prohibitions. Except as provided in Sec. 219.103--
(1) No regulated employee may use or possess alcohol or any
controlled substance when the employee is on duty and subject to
performing regulated service for a railroad.
(2) No regulated employee may report for regulated service, or go
or remain on duty in regulated service, while--
(i) Under the influence of or impaired by alcohol;
(ii) Having 0.04 or more alcohol concentration in the breath or
blood; or
(iii) Under the influence of or impaired by any controlled
substance.
(3) No regulated employee may use alcohol for whichever is the
lesser of the following periods:
(i) Within four hours of reporting for regulated service; or
(ii) After receiving notice to report for regulated service.
(4)(i) No regulated employee tested under the provisions of this
part whose Federal test result indicates an alcohol concentration of
0.02 or greater but less than 0.04 may perform or continue to perform
regulated service for a railroad, nor may a railroad permit the
regulated employee to perform or continue to perform regulated service,
until the start of the regulated employee's next regularly scheduled
duty period, but not less than eight hours following administration of
the test.
(ii) Nothing in this section prohibits a railroad from taking
further action under its own independent company authority when a
regulated employee tested under the provisions of this part
[[Page 43899]]
has a Federal test result indicating an alcohol concentration of 0.02
or greater, but less than 0.04. However, while a Federal test result of
0.02 or greater but less than 0.04 is a positive test and may be a
violation of a railroad's operating rules, it is not a violation of
Sec. 219.101 and cannot be used to decertify an engineer under part
240 of this chapter or a conductor under part 242 of this chapter.
(5) If an employee tested under the provisions of this part has a
test result indicating an alcohol concentration below 0.02, the test is
negative and is not evidence of alcohol misuse. A railroad may not use
a Federal test result below 0.02 either as evidence in a company
proceeding or as a basis for subsequent testing under company
authority. A railroad may take further action to compel cooperation in
other breath or body fluid testing only if it has an independent basis
for doing so. An independent basis for subsequent company authority
testing will exist only when, after having a negative Federal
reasonable suspicion alcohol test result, the employee exhibits
additional or continuing signs and symptoms of alcohol use. If a
company authority test then indicates a violation of the railroad's
operating rules, this result is independent of the Federal test result
and must stand on its own merits.
* * * * *
0
13. Revise Sec. 219.102 to read as follows:
Sec. 219.102 Prohibition on abuse of controlled substances.
No regulated employee may use a controlled substance at any time,
whether on duty or off duty, except as permitted by Sec. 219.103.
0
14. Revise Sec. 219.104 to read as follows:
Sec. 219.104 Responsive action.
(a) Removal from regulated service. (1) If a railroad determines
that a regulated employee has violated Sec. 219.101 or Sec. 219.102,
or the alcohol or controlled substances misuse rule of another DOT
agency, the railroad must immediately remove the employee from
regulated service and the procedures described in paragraphs (b)
through (d) of this section apply.
(2) If a regulated employee refuses to provide a breath or body
fluid specimen or specimens when required to by the railroad under a
provision of this part, a railroad must immediately remove the
regulated employee from regulated service, and the procedures described
in paragraphs (b) through (d) of this section apply. This provision
also applies to Federal reasonable cause testing under subpart E of
this part (if the railroad has elected to conduct this testing under
Federal authority).
(b) Notice. Prior to or upon removing a regulated employee from
regulated service under this section, a railroad must provide written
notice to the employee of the reason for this action. A railroad may
provide a regulated employee with an initial verbal notice so long as
it provides a follow-up written notice to the employee as soon as
possible. In addition to the reason for the employee's withdrawal from
regulated service, the written notice must also inform the regulated
employee that he may not perform any DOT safety-sensitive duties until
he completes the return-to-duty process of part 40.
(c) Hearing procedures. (1) Except as provided in paragraph (e)(5)
of this section, if a regulated employee denies that a test result or
other information is valid evidence of a Sec. 219.101 or Sec. 219.102
violation, the regulated employee may demand and must be provided an
opportunity for a prompt post-suspension hearing before a presiding
officer other than the charging official. This hearing may be
consolidated with any disciplinary hearing arising from the same
accident or incident (or conduct directly related thereto), but the
presiding officer must make separate findings as to compliance with
Sec. Sec. 219.101 and 219.102.
(2) The hearing must be convened within the period specified in the
applicable collective bargaining agreement. In the absence of an
agreement provision, the regulated employee may demand that the hearing
be convened within 10 calendar days of the employee's suspension or, in
the case of a regulated employee who is unavailable due to injury,
illness, or other sufficient cause, within 10 days of the date the
regulated employee becomes available for the hearing.
(3) A post-suspension proceeding conforming to the requirements of
an applicable collective bargaining agreement, together with the
provisions for adjustment of disputes under sec. 3 of the Railway Labor
Act (49 U.S.C. 153), satisfies the procedural requirements of this
paragraph (c).
(4) With respect to a removal or other adverse action taken as a
consequence of a positive test result or refusal in a test authorized
or required by this part, nothing in this part may be deemed to abridge
any procedural rights or remedies consistent with this part that are
available to a regulated employee under a collective bargaining
agreement, the Railway Labor Act, or (with respect to employment at
will) at common law.
(5) Nothing in this part restricts the discretion of a railroad to
treat a regulated employee's denial of prohibited alcohol or drug use
as a waiver of any privilege the regulated employee would otherwise
enjoy to have such prohibited alcohol or drug use treated as a non-
disciplinary matter or to have discipline held in abeyance.
(d) Compliance. A railroad must comply with the requirements for
Substance Abuse Professional evaluations, the return-to-duty process,
and follow-up testing contained in part 40 of this title.
(e) Applicability. (1) This section does not apply to actions based
on breath or body fluid tests for alcohol or drugs that are conducted
exclusively under authority other than that provided in this part
(e.g., testing under a company medical policy, for-cause testing policy
wholly independent of the subpart E Federal authority of this part, or
testing under a labor agreement).
(2) This section does not apply to Federal alcohol tests indicating
an alcohol concentration less than 0.04.
(3) This section does not apply to locomotive engineers or
conductors who have an off-duty conviction for, or a completed state
action to cancel, revoke, suspend, or deny a motor vehicle driver's
license for operating while under the influence of or impaired by
alcohol or a controlled substance. (However, this information remains
relevant for the purpose of locomotive engineer or conductor
certification, according to the requirements of part 240 or 242 of this
chapter.)
(4) This section does not apply to an applicant who declines to be
subject to pre-employment testing and withdraws an application for
employment prior to the commencement of the test. The determination of
when a drug or alcohol test commences is made according to the
provisions found in subparts E and L of part 40 of this title.
(5) Paragraph (c) of this section does not apply to an applicant
who tests positive or refuses a DOT pre-employment test.
(6) As provided by Sec. 40.25(j) of this title, paragraph (d) of
this section applies to any DOT-regulated employer seeking to hire for
DOT safety-sensitive functions an applicant who tested positive or
refused a DOT pre-employment test.
0
15. Revise Sec. 219.105 to read as follows:
Sec. 219.105 Railroad's duty to prevent violations.
(a) A railroad may not, with actual knowledge, permit a regulated
employee to go or remain on duty in regulated
[[Page 43900]]
service in violation of the prohibitions of Sec. 219.101 or Sec.
219.102. As used in this section, the actual knowledge imputed to the
railroad is limited to that of a railroad management employee (such as
a supervisor deemed an ``officer,'' whether or not such person is a
corporate officer) or a supervisory employee in the offending regulated
employee's chain of command. A railroad management or supervisory
employee has actual knowledge of a violation when he or she:
(1) Personally observes a regulated employee use or possess alcohol
or use drugs in violation of this subpart. It is not sufficient for
actual knowledge if the supervisory or management employee merely
observes the signs and symptoms of alcohol or drug use that would
require a reasonable suspicion test under Sec. 219.301;
(2) Receives information regarding a violation of this subpart from
a previous employer of a regulated employee, in response to a
background information request required by Sec. 40.25 of this title;
or
(3) Receives a regulated employee's admission of prohibited alcohol
possession or prohibited alcohol or drug use.
(b) A railroad must exercise due diligence to assure compliance
with Sec. Sec. 219.101 and 219.102 by each regulated employee.
(c) A railroad's alcohol and/or drug use education, prevention,
identification, intervention, and rehabilitation programs and policies
must be designed and implemented in such a way that they do not
circumvent or otherwise undermine the requirements, standards, and
policies of this part. Upon FRA's request, a railroad must make
available for FRA review all documents, data, or other records related
to such programs and policies.
0
16. Revise Sec. 219.107 to read as follows:
Sec. 219.107 Consequences of unlawful refusal.
(a) A regulated employee who refuses to provide a breath or a body
fluid specimen or specimens when required to by the railroad under a
provision of this part must be withdrawn from regulated service for a
period of nine (9) months. Per the requirements of part 40 of this
title, a regulated employee who provides an adulterated or substituted
specimen is deemed to have refused to provide the required specimen and
must be withdrawn from regulated service in accordance with this
section.
(b) Notice. Prior to or upon withdrawing a regulated employee from
regulated service under this section, a railroad must provide written
notice to the employee of the reason for this action, and the
procedures described in Sec. 219.104(c) apply. A railroad may provide
a regulated employee with an initial verbal notice so long as it
provides a follow-up written notice as soon as possible.
(c) The withdrawal required by this section applies only to an
employee's performance of regulated service for any railroad with
notice of such withdrawal. During the period of withdrawal, a railroad
with notice of such withdrawal must not authorize or permit the
employee to perform any regulated service for the railroad.
(d) The requirement of withdrawal for nine (9) months does not
limit any discretion on the part of the railroad to impose additional
sanctions for the same or related conduct.
(e) Upon the expiration of the nine month period described in this
section, a railroad may permit an employee to return to regulated
service only under the conditions specified in Sec. 219.104(d), and
the regulated employee must be subject to return-to-duty and follow-up
tests, as provided by that section.
Subpart C--Post-Accident Toxicological Testing
0
17. In Sec. 219.201, revise paragraphs (a) and (b) to read as follows:
Sec. 219.201 Events for which testing is required.
(a) List of events. Except as provided in paragraph (b) of this
section, FRA post-accident toxicological tests must be conducted after
any event that involves one or more of the circumstances described in
paragraphs (a)(1) through (5) of this section:
(1) Major train accident. Any train accident (i.e., a rail
equipment accident involving damage in excess of the current reporting
threshold) that involves one or more of the following:
(i) A fatality to any person;
(ii) A release of hazardous material lading from railroad equipment
accompanied by--
(A) An evacuation; or
(B) A reportable injury resulting from the hazardous material
release (e.g., from fire, explosion, inhalation, or skin contact with
the material); or
(iii) Damage to railroad property of $1,500,000 or more.
(2) Impact accident. Any impact accident (i.e., a rail equipment
accident defined as an ``impact accident'' in Sec. 219.5) that
involves damage in excess of the current reporting threshold, resulting
in--
(i) A reportable injury; or
(ii) Damage to railroad property of $150,000 or more.
(3) Fatal train incident. Any train incident that involves a
fatality to an on-duty employee (as defined in Sec. 219.5) who dies
within 12 hours of the incident as a result of the operation of on-
track equipment, regardless of whether that employee was performing
regulated service.
(4) Passenger train accident. Any train accident (i.e., a rail
equipment accident involving damage in excess of the current reporting
threshold) involving a passenger train and a reportable injury to any
person.
(5) Human-factor highway-rail grade crossing accident/incident. A
highway-rail grade crossing accident/incident when it involves:
(i) A regulated employee who interfered with the normal functioning
of a grade crossing signal system, in testing or otherwise, without
first taking measures to provide for the safety of highway traffic that
depends on the normal functioning of such system, as prohibited by
Sec. 234.209 of this chapter;
(ii) A train crewmember who was, or who should have been, flagging
highway traffic to a stop as the result of an activation failure of the
grade crossing system, as provided by Sec. 234.105(c)(3) of this
chapter;
(iii) A regulated employee who was performing, or should have been
performing, the duties of an appropriately equipped flagger (as defined
in Sec. 234.5 of this chapter) as a result of an activation failure,
partial activation, or false activation of the grade crossing signal
system, as provided by Sec. 234.105(c)(2), Sec. 234.106, or Sec.
234.107(c)(1)(i) of this chapter;
(iv) A fatality to any regulated employee performing duties for the
railroad, regardless of fault; or
(v) A regulated employee who violated an FRA regulation or railroad
operating rule and whose actions may have played a role in the cause or
severity of the accident/incident.
(b) Exceptions. Except for a human-factor highway-rail grade
crossing accident/incident described in paragraph (a)(5) of this
section, no test may be required in the case of a collision between
railroad rolling stock and a motor vehicle or other highway conveyance
at a highway/rail grade crossing. No test may be required for an
accident/incident the cause and severity of which are wholly
attributable to a natural cause (e.g., flood, tornado, or other natural
disaster) or to vandalism or trespasser(s), as determined on the basis
of objective and documented facts
[[Page 43901]]
by the railroad representative responding to the scene.
* * * * *
0
18. Revise Sec. 219.203 to read as follows:
Sec. 219.203 Responsibilities of railroads and employees.
(a) Employees tested. Regulated employees subject to post-accident
toxicological testing under this subpart must cooperate in the
provision of specimens as described in this part and Appendix C to this
part.
(1) General. Except as otherwise provided for by this section,
following each qualifying event described in Sec. 219.201, all
regulated employees directly involved in a qualifying event under this
subpart must provide blood and urine specimens for toxicological
testing by FRA. This includes any regulated employee who may not have
been present or on-duty at the time or location of the event, but whose
actions may have played a role in its cause or severity, including, but
not limited to, an operator, dispatcher, or signal maintainer.
(2) Fatalities. Testing of the remains of an on-duty employee (as
defined in Sec. 219.5) who is fatally injured in a qualifying event
described in Sec. 219.201 is required, regardless of fault, if the
employee dies within 12 hours of the qualifying event as a result of
such qualifying event.
(3) Major train accidents. (i) For an accident or incident meeting
the criteria of a Major Train Accident in Sec. 219.201(a)(1), all
assigned crew members of all trains or other on-track equipment
involved in the qualifying event must be subjected to post-accident
toxicological testing, regardless of fault.
(ii) Other surviving regulated employees who are not assigned crew
members of an involved train or other on-track equipment (e.g., a
dispatcher or a signal maintainer) must be tested if a railroad
representative can immediately determine, on the basis of specific
information, that the employee may have had a role in the cause or
severity of the accident/incident. In making this determination, the
railroad representative must consider any such information that is
immediately available at the time the qualifying event determination is
made under Sec. 219.201.
(4) Fatal train incidents. For a Fatal Train Incident under Sec.
219.201(a)(3), the remains of any on-duty employee (as defined in Sec.
219.5) performing duties for a railroad who is fatally injured in the
event are always subject to post-accident toxicological testing,
regardless of fault.
(5) Human-factor highway-rail grade crossing accident/incidents.
(i) For a Human-Factor Highway-Rail Grade Crossing Accident/Incident
under Sec. 219.201(a)(5)(i), only a regulated employee who interfered
with the normal functioning of a grade crossing signal system and whose
actions may have contributed to the cause or severity of the event is
subject to testing.
(ii) For a Human-Factor Highway-Rail Grade Crossing Accident/
Incident under Sec. 219.201(a)(5)(ii), only a regulated employee who
was a train crew member responsible for flagging highway traffic to a
stop as the result of an activation failure of a grade crossing system
(or who was on-site and directly responsible for ensuring that flagging
was being performed), but who failed to do so, and whose actions may
have contributed to the cause or severity of the event, is subject to
testing.
(iii) For a Human-Factor Highway-Rail Grade Crossing Accident/
Incident under Sec. 219.201(a)(5)(iii), only a regulated employee who
was responsible for performing the duties of an appropriately equipped
flagger (as defined in Sec. 234.5 of this chapter), but who failed to
do so, and whose actions may have contributed to the cause or severity
of the event is subject to testing.
(iv) For a Human-Factor Highway-Rail Grade Crossing Accident/
Incident under Sec. 219.201(a)(5)(iv), only the remains of any
fatally-injured employee(s) (as defined in Sec. 219.5) performing
regulated service for the railroad are subject to testing.
(v) For a Human-Factor Highway-Rail Grade Crossing Accident/
Incident under Sec. 219.201(a)(5)(v), only a regulated employee who
violated an FRA regulation or railroad operating rule and whose actions
may have contributed to the cause or severity of the event is subject
to testing.
(6) Exception. For a qualifying Impact Accident, Passenger Train
Accident, Fatal Train Incident, or Human-Factor Highway-Rail Grade
Crossing Accident/Incident under Sec. 219.201(a)(2) through (5), a
surviving crewmember or other regulated employee must be excluded from
testing if the railroad representative can immediately determine, on
the basis of specific information, that the employee had no role in the
cause or severity of the accident/incident. In making this
determination, the railroad representative must consider any
information that is immediately available at the time the qualifying
event determination is made under Sec. 219.201.
(i) This exception is not available for assigned crew members of
all involved trains if the qualifying event also meets the criteria for
a Major Train Accident under Sec. 219.201(a)(1) (e.g., this exception
is not available for an Impact Accident that also qualifies as a Major
Train Accident because it results in damage to railroad property of
$1,500,000 or more).
(ii) This exception is not available for any on-duty employee who
is fatally-injured in a qualifying event.
(b) Railroad responsibility. (1) A railroad must take all
practicable steps to ensure that all surviving regulated employees of
the railroad are subject to FRA post-accident toxicological testing
under this subpart provide blood and urine specimens for the
toxicological testing required by FRA. This includes any regulated
employee who may not have been present or on-duty at the time or
location of the event, but whose actions may have played a role in its
cause or severity, including, but not limited to, an operator,
dispatcher, or signal maintainer.
(2) A railroad must take all practicable steps to ensure that
tissue and fluid specimens taken from fatally injured employees are
subject to FRA post-accident toxicological testing under this subpart.
(3) FRA post-accident toxicological testing under this subpart
takes priority over toxicological testing conducted by state or local
law enforcement officials.
(c) Alcohol testing. Except as provided for in paragraph (e)(4) of
this section, if the conditions for mandatory post-accident
toxicological testing exist, a railroad may also require employees to
provide breath for testing in accordance with the procedures set forth
in part 40 of this title and in this part, if such testing does not
interfere with timely collection of required urine and blood specimens.
(d) Timely specimen collection. (1) A railroad must make every
reasonable effort to assure that specimens are provided as soon as
possible after the accident or incident, preferably within four hours.
Specimens not collected within four hours after a qualifying accident
or incident must be collected as soon thereafter as practicable. If a
specimen is not collected within four hours of a qualifying event, the
railroad must immediately notify the FRA Drug and Alcohol Program
Manager at 202-493-6313 and provide detailed information regarding the
failure (either verbally or via a voicemail). The railroad must also
submit a concise, written narrative report of the reasons for such a
delay to the FRA Drug and Alcohol Program Manager, 1200 New Jersey Ave.
SE., Washington, DC 20590. The report must be submitted within 30
[[Page 43902]]
days after the expiration of the month during which the accident or
incident occurred. This report may also be submitted via email to an
email address provided by the FRA Drug and Alcohol Program Manager.
(2) The requirements of paragraph (d) of this paragraph must not be
construed to inhibit employees required to be post-accident
toxicological tested from performing, in the immediate aftermath of an
accident or incident, any duties that may be necessary for the
preservation of life or property. Where practical, however, a railroad
must utilize other employees to perform such duties.
(3) If a passenger train is in proper condition to continue to the
next station or its destination after an accident or incident, the
railroad must consider the safety and convenience of passengers in
determining whether the crew should be made immediately available for
post-accident toxicological testing. A relief crew must be called to
relieve the train crew as soon as possible.
(4) Regulated employees who may be subject to post-accident
toxicological testing under this subpart must be retained in duty
status for the period necessary to make the determinations required by
Sec. 219.201 and this section and (as appropriate) to complete
specimen collection.
(e) Recall of employees for testing. (1) Except as otherwise
provided for in paragraph (e)(2) of this section, a regulated employee
may not be recalled for testing under this subpart if that employee has
been released from duty under the normal procedures of the railroad. An
employee who has been transported to receive medical care is not
released from duty for purposes of this section. Furthermore, nothing
in this section prohibits the subsequent testing of an employee who has
failed to remain available for testing as required (e.g., an employee
who is absent without leave). However, subsequent testing does not
excuse a refusal by the employee to provide the specimens in a timely
manner.
(2) A railroad must immediately recall and place on duty a
regulated employee for post-accident drug testing, if--
(i) The employee could not be retained in duty status because the
employee went off duty under normal railroad procedures prior to being
contacted by a railroad supervisor and instructed to remain on duty
pending completion of the required determinations (e.g., in the case of
a dispatcher or signal maintainer remote from the scene of an accident
who was unaware of the occurrence at the time he or she went off duty);
and
(ii) The railroad's preliminary investigation (contemporaneous with
the determination required by Sec. 219.201) indicates a clear
probability that the employee played a role in the cause or severity of
the accident/incident.
(3) If the criteria in paragraphs (e)(2)(i) and (ii) of this
section are met, a regulated employee must be recalled for post-
accident drug testing regardless of whether the qualifying event
happened or did not happen during the employee's tour of duty. However,
an employee may not be recalled for testing if more than 24 hours have
passed since the qualifying event. An employee who has been recalled
must be placed on duty for the purpose of accomplishing the required
post-accident drug testing.
(4) Urine and blood specimens must be collected from an employee
who is recalled for testing in accordance with this section. If the
employee left railroad property prior to being recalled, however, the
specimens must be tested for drugs only. A railroad is prohibited from
requiring a recalled employee to provide breath specimens for alcohol
testing, unless the regulated employee has remained on railroad
property since the time of the qualifying event and the railroad has a
company policy completely prohibiting the use of alcohol on railroad
property.
(5) A railroad must document its attempts to contact an employee
subject to the recall provisions of this section. If a railroad is
unable, as a result of the non-cooperation of an employee or for any
other reason, to obtain a specimen(s) from an employee subject to
mandatory recall within the 24 hour period after a qualifying event and
to submit specimen(s) to FRA as required by this subpart, the railroad
must contact FRA and prepare a concise narrative report according to
the requirements of paragraph (d)(1) of this section. The report must
also document the railroad's good faith attempts to contact and recall
the employee.
(f) Place of specimen collection. (1) With the exception of Federal
breath testing for alcohol (when conducted as authorized under this
subpart), employees must be transported to an independent medical
facility for specimen collection. In all cases blood may be drawn only
by a qualified medical professional or by a qualified technician
subject to the supervision of a qualified medical professional (e.g., a
phlebotomist). A collector contracted by a railroad or medical facility
may collect and/or assist in the collection of specimens at the medical
facility if the medical facility does not object and the collector is
qualified to do so.
(2) If an employee has been injured, a railroad must request the
treating medical facility to obtain the specimens. Urine may be
collected from an injured employee (conscious or unconscious) who has
already been catheterized for medical purposes, but an employee may not
be catheterized solely for the purpose of providing a specimen under
this subpart. Under Sec. 219.11(a), an employee is deemed to have
consented to FRA post-accident toxicological testing by the act of
being a regulated employee subject to performing regulated service for
a railroad.
(g) Obtaining cooperation of facility. (1) In seeking the
cooperation of a medical facility in obtaining a specimen under this
subpart, a railroad must, as necessary, make specific reference to the
requirements of this subpart and the instructions in FRA's post-
accident toxicological shipping kit.
(2) If an injured employee is unconscious or otherwise unable to
evidence consent to the procedure and the treating medical facility
declines to obtain blood and/or urine specimens after having been
informed of the requirements of this subpart, the railroad must
immediately notify the duty officer at the National Response Center
(NRC) at (800) 424-8802, stating the employee's name, the name and
location of the medical facility, the name of the appropriate
decisional authority at the medical facility, and the telephone number
at which that person can be reached. FRA will then take appropriate
measures to assist in obtaining the required specimens.
(h) Discretion of physician. Nothing in this subpart may be
construed to limit the discretion of a medical professional to
determine whether drawing a blood specimen is consistent with the
health of an injured employee or an employee afflicted by any other
condition that may preclude drawing the specified quantity of blood.
0
29. Revise Sec. 219.205 to read as follows:
Sec. 219.205 Specimen collection and handling.
(a) General. Urine and blood specimens must be obtained, marked,
preserved, handled, and made available to FRA consistent with the
requirements of this subpart, the instructions provided inside the FRA
post-accident toxicological shipping kit, and the technical
specifications set forth in Appendix C to this part.
(b) Information requirements. In order to process specimens,
analyze the significance of laboratory findings, and notify the
railroads and employees of test results, it is necessary to obtain
[[Page 43903]]
basic information concerning the accident/incident and any treatment
administered after the accident/incident. Accordingly, the railroad
representative must complete the information required by Form FRA
6180.73 (revised) for shipping with the specimens. Each employee
subject to testing must cooperate in completion of the required
information on Form FRA F 6180.74 (revised) for inclusion in the
shipping kit and processing of the specimens. The railroad
representative must request an appropriate representative of the
medical facility to complete the remaining portion of the information
on each Form 6180.74. One Form 6180.73 must be forwarded in the
shipping kit with each group of specimens. One Form 6180.74 must be
forwarded in the shipping kit for each employee who provides specimens.
Form 6180.73 and either Form 6180.74 or Form 6180.75 (for fatalities)
are included in the shipping kit. (See paragraph (c) of this section.)
(c) Shipping kits. (1) FRA and the laboratory designated in
Appendix B to this part make available for purchase a limited number of
standard shipping kits for the purpose of routine handling of post-
accident toxicological specimens under this subpart. Specimens must be
placed in the shipping kit and prepared for shipment according to the
instructions provided in the kit and Appendix C to this part.
(2) Standard shipping kits may be ordered directly from the
laboratory designated in Appendix B to this part by first requesting an
order form from FRA's Drug and Alcohol Program Manager at 202-493-6313.
In addition to the standard kit for surviving employees, FRA also has a
post-mortem shipping kit that has been distributed to Class I, II, and
commuter railroads. The post-mortem kit may not be ordered by other
railroads. If a smaller railroad has a qualifying event involving a
fatality to an on-duty employee, the railroad should advise the NRC at
1-800-424-8802 of the need for a post-mortem kit, and FRA will send one
overnight to the medical examiner's office or assist the railroad in
obtaining one from a nearby railroad.
(d) Shipment. Specimens must be shipped as soon as possible by pre-
paid air express (or other means adequate to ensure delivery within 24
hours from time of shipment) to the laboratory designated in Appendix B
to this part. However, if delivery cannot be ensured within 24 hours
due to a suspension in air express delivery services, the specimens
must be held in a secure refrigerator until delivery can be
accomplished. In no circumstances may specimens be held for more than
72 hours. Where express courier pickup is available, the railroad must
request the medical facility to transfer the sealed toxicology kit
directly to the express courier for transportation. If courier pickup
is not available at the medical facility where the specimens are
collected or if for any other reason a prompt transfer by the medical
facility cannot be assured, the railroad must promptly transport the
sealed shipping kit holding the specimens to the most expeditious point
of shipment via air express. The railroad must maintain and document
secure chain of custody of the kit(s) from release by the medical
facility to delivery for transportation, as described in Appendix C to
this part.
(e) Specimen security. After a specimen kit or transportation box
has been sealed, no entity other than the laboratory designated in
Appendix B to this part may open it. If the railroad or medical
facility discovers an error with either the specimens or the chain of
custody form after the kit or transportation box has been sealed, the
railroad or medical facility must make a contemporaneous written record
of that error and send it to the laboratory, preferably with the
transportation box.
Sec. 219.207 [Amended]
0
20. Section 219.207 is amended by--
0
a. In paragraph (a), removing the word ``and/or'' and adding, in its
place, the word ``and''; removing the words ``timely collected'' and
adding, in their place, ``collected in a timely fashion''; removing the
word ``shipping'' and adding, in its place, ``post-mortem shipping'';
and removing the words ``if a person'' and adding, in their place, ``if
the custodian is someone'';
0
b. In paragraph (b) introductory text, removing ``(800) 424-8801 or'';
0
c. In paragraph (c), removing the word ``and/or'' and adding, in its
place, the word ``and''; and
0
d. In paragraph (d), removing the word ``specifies'' and adding, in its
place, the words ``and the instructions included inside the shipping
kits specify''.
0
21. In Sec. 219.209, revise paragraphs (a)(2)(iv) and (v) and (b) and
remove paragraph (c).
The revisions read as follows:
Sec. 219.209 Reports of tests and refusals.
(a) * * *
(2) * * *
(iv) Brief summary of the circumstances of the accident/incident,
including basis for testing (e.g., Impact Accident with a reportable
injury); and
(v) Number of employees tested.
(b) If a railroad is unable, as a result of non-cooperation of an
employee or for any other reason, to obtain a specimen and provide it
to FRA as required by this subpart, the railroad must immediately
notify the FRA Drug and Alcohol Program Manager at 202-493-6313 and
provide detailed information regarding the failure (either verbally or
via a voicemail). The railroad must also provide a concise narrative
written report of the reason for such failure and, if appropriate, any
action taken in response to the cause of such failure. This report must
be appended to the report of the accident/incident required to be
submitted under part 225 of this chapter and must also be mailed to the
FRA Drug and Alcohol Program Manager at 1200 New Jersey Avenue SE.,
Washington, DC 20590.
0
22. Section 219.211 is amended by--
0
a. Adding a sentence at the end of paragraph (b);
0
b. Revising the second sentence of paragraph (c) and the second
sentence of paragraph (e); and
0
c. Revising paragraph (g)(3).
The revisions and addition read as follows:
Sec. 219.211 Analysis and follow-up.
* * * * *
(b) * * * An employer is prohibited from temporarily removing an
employee from the performance of regulated service based only on a
report from the laboratory to the MRO of a confirmed positive test for
a drug or drug metabolite, an adulterated test, or a substituted test,
before the MRO has completed verification of the test result.
(c) * * * The Medical Review Officer must promptly report the
results of each review to the Associate Administrator for Railroad
Safety, FRA, 1200 New Jersey Avenue SE., Washington, DC 20590. * * *
(e) * * * An employee wishing to respond may do so by email or
letter addressed to the Drug and Alcohol Program Manager, Office of
Railroad Safety, FRA, 1200 New Jersey Avenue SE., Washington, DC 20590
within 45 days of receipt of the test results. * * *
* * * * *
(g) * * *
(3) This provision does not authorize holding any employee out of
service pending receipt of PAT testing results. It also does not
restrict a railroad from taking such action based on the employee's
underlying conduct, so long as it is consistent with the railroad's
disciplinary policy and any such action is done under the railroad's
own company authority.
* * * * *
[[Page 43904]]
Sec. 219.213 [Amended]
0
23. In Sec. 219.213, paragraphs (a) and (b), revise all references to
``covered service'' to read ``regulated service,'' and in paragraph
(b), adding the word ``written'' in front of the word ``notice''.
0
24. Revise subpart D to read as follows:
Subpart D--Reasonable Suspicion Testing
Sec.
219.301 Mandatory reasonable suspicion testing.
219.303 Reasonable suspicion observations.
219.305 Prompt specimen collection; time limitation.
Subpart D--Reasonable Suspicion Testing
Sec. 219.301 Mandatory reasonable suspicion testing.
(a) A railroad must require a regulated employee to submit to a
breath alcohol test when the railroad has reasonable suspicion to
believe that the regulated employee has violated any prohibition of
subpart B of this part concerning use of alcohol. The railroad's
determination that reasonable suspicion exists to require the regulated
employee to undergo an alcohol test must be based on specific,
contemporaneous, articulable observations concerning the appearance,
behavior, speech, or body odors of the employee. A Federal reasonable
suspicion alcohol test is not required to confirm the on-duty
possession of alcohol.
(b) A railroad must require a regulated employee to submit to a
drug test when the railroad has reasonable suspicion to believe that
the regulated employee has violated the prohibitions of subpart B of
this part concerning use of controlled substances. The railroad's
determination that reasonable suspicion exists to require the regulated
employee to undergo a drug test must be based on specific,
contemporaneous, articulable observations concerning the appearance,
behavior, speech, or body odors of the employee. Such observations may
include indications of the chronic and withdrawal effects of drugs.
(c) Reasonable suspicion observations made under this section must
comply with the requirements of Sec. 219.303.
(d) As provided by Sec. 219.11(b)(2), in any case where an
employee is suffering a substantiated medical emergency and is subject
to alcohol or drug testing under this subpart, necessary medical
treatment must be accorded priority over provision of the breath or
body fluid specimens. However, when the employee's condition is
stabilized, reasonable suspicion testing must be completed if within
the eight-hour limit provided for in Sec. 219.305.
Sec. 219.303 Reasonable suspicion observations.
(a) With respect to an alcohol test, the required observations must
be made by a responsible railroad supervisor (defined by Sec. 219.5)
trained in accordance with Sec. 219.11(g). The supervisor who makes
the determination that reasonable suspicion exists may not conduct the
reasonable suspicion testing on that regulated employee.
(b) With respect to a drug test, the required observations must be
made by two responsible railroad supervisors (defined by Sec. 219.5),
at least one of whom must be is both on site and trained in accordance
with Sec. 219.11(g). If one of the supervisors is off-site, the on-
site supervisor must communicate with the off-site supervisor, as
necessary, to provide him or her the information needed to make the
required observation. This communication may be performed via
telephone, but not via radio or any other form of electronic
communication.
(c) This subpart does not authorize holding any employee out of
service pending receipt of toxicological analysis for reasonable
suspicion testing, nor does it restrict a railroad from taking such
action based on the employee's underlying conduct, so long as it is
consistent with the railroad's policy and any such action is done under
the railroad's own company authority.
(d) The railroad must maintain written documentation that
specifically describes the observed signs and symptoms upon which
determination that reasonable suspicion exists is based. This
documentation must be completed promptly by the trained supervisor.
Sec. 219.305 Prompt specimen collection; time limitations.
(a) Consistent with the need to protect life and property, testing
under this subpart must be conducted promptly following the
observations upon which the testing decision is based.
(b) If a test required by this subpart is not administered within
two hours following a determination made under this section, the
railroad must prepare and maintain on file a record stating the reasons
the test was not administered within that time period. If an alcohol or
drug test required by this subpart is not administered within eight
hours of the determination made under this subpart, the railroad must
cease attempts to administer the test and must record the reasons for
not administering the test. The eight-hour requirement is satisfied if
the individual has been delivered to the collection site (where the
collector is present) and the request has been made to commence
collection of the specimens within that period. The records required by
this section must be submitted to FRA upon request of the FRA Drug and
Alcohol Program Manager.
(c) A regulated employee may not be tested under this subpart if
that individual has been released from duty under the normal procedures
of a railroad. An individual who has been transported to receive
medical care is not released from duty for purposes of this section.
Nothing in this section prohibits the subsequent testing of an employee
who has failed to remain available for testing as required (i.e., who
is absent without leave).
0
25. Revise subpart E to read as follows:
Subpart E--Reasonable Cause Testing
Sec.
219.401 Authorization for reasonable cause testing.
219.403 Requirements for reasonable cause testing.
219.405 Documentation requirements.
219.407 Prompt specimen collection; time limitations.
219.409 Limitations on authority.
Subpart E--Reasonable Cause Testing
Sec. 219.401 Authorization for reasonable cause testing.
(a) A railroad may, at its own discretion, elect to conduct Federal
reasonable cause testing authorized by this subpart. If a railroad
chooses to do so, the railroad must use only Federal authority for all
reasonable cause testing that meets the criteria of Sec. 219.403. In
addition, the railroad must notify its regulated employees of its
decision to use Federal reasonable cause testing authority in the
employee educational policy required by Sec. 219.23(e)(5). The
railroad must also provide written notification of its decision to
FRA's Drug and Alcohol Program Manager, 1200 New Jersey Ave. SE.,
Washington, DC, 20590.
(b) If a railroad elects to conduct reasonable cause testing under
the authority of this subpart, the railroad may, under the conditions
specified in this subpart, require any regulated employee, as a
condition of employment in regulated service, to cooperate with breath
or body fluid testing, or both, to determine compliance with Sec. Sec.
219.101 and 219.102 or a railroad rule implementing the requirements of
Sec. Sec. 219.101 and 219.102. This authority is limited to testing
after observations or events that occur during duty hours (including
any period of overtime or emergency service). The provisions of
[[Page 43905]]
this subpart apply only when, and to the extent that, the test in
question is conducted in reliance upon the authority conferred by this
section. A railroad may not require an employee to be tested under the
authority of this subpart unless reasonable cause, as defined in this
section, exists with respect to that employee.
Sec. 219.403 Requirements for reasonable cause testing.
A railroad's decision process regarding whether reasonable cause
testing is authorized must be completed before the reasonable cause
testing is performed and documented according to the requirements of
Sec. 219.405. The following circumstances constitute reasonable cause
for the administration of alcohol and/or drug tests under the authority
of this subpart.
(a) Train accident or train incident. The regulated employee has
been involved in a train accident or train incident (as defined in
Sec. 219.5) reportable under part 225 of this chapter, and a
responsible railroad supervisor (as defined in Sec. 219.5) has a
reasonable belief, based on specific, articulable facts, that the
individual employee's acts or omissions contributed to the occurrence
or severity of the accident; or
(b) Rule violation. The regulated employee has been directly
involved in one or more of the following railroad or FRA rule
violations or other errors:
(1) Noncompliance with a train order, track warrant, track
bulletin, track permit, stop and flag order, timetable, signal
indication, special instruction or other directive with respect to
movement of railroad on-track equipment that involves--
(i) Occupancy of a block or other segment of track to which entry
was not authorized;
(ii) Failure to clear a track to permit opposing or following
movements to pass;
(iii) Moving across a railroad crossing at grade without
authorization; or
(iv) Passing an absolute restrictive signal or passing a
restrictive signal without stopping (if required);
(2) Failure to protect on-track equipment, including leaving on-
track equipment fouling an adjacent track;
(3) Operation of a train or other speedometer-equipped on-track
equipment at a speed that exceeds the maximum authorized speed by at
least 10 miles per hour or by 50% of such maximum authorized speed,
whichever is less;
(4) Alignment of a switch in violation of a railroad rule, failure
to align a switch as required for movement, operation of a switch under
on-track equipment, or unauthorized running through a switch;
(5) Failure to restore and secure a main track switch as required;
(6) Failure to apply brakes or stop short of a derail as required;
(7) Failure to secure a hand brake or failure to secure sufficient
hand brakes, as required;
(8) Entering a crossover before both switches are lined for
movement or restoring either switch to normal position before the
crossover movement is completed;
(9) Failure to provide point protection by visually determining
that the track is clear and giving the signals or instructions
necessary to control the movement of on-track equipment when engaged in
a shoving or pushing movement;
(10) In the case of a person performing a dispatching function or
block operator function, issuance of a mandatory directive or
establishment of a route that fails to provide proper protection for
on-track equipment;
(11) Interference with the normal functioning of any grade crossing
signal system or any signal or train control device without first
taking measures to provide for the safety of highway traffic or train
operations which depend on the normal functioning of such a device.
Such interference includes, but is not limited to, failure to provide
alternative methods of maintaining safety for highway traffic or train
operations while testing or performing work on the devices or on track
and other railroad systems or structures which may affect the integrity
of the system;
(12) Failure to perform stop-and-flag duties necessary as a result
of a malfunction of a grade crossing signal system;
(13) Failure of a machine operator that results in a collision
between a roadway maintenance machine and on-track equipment or a
regulated employee;
(14) Failure of a roadway worker-in-charge to notify all affected
employees when releasing working limits;
(15) Failure of a flagman or watchman/lookout to notify employees
of an approaching train or other on-track equipment;
(16) Failure to ascertain that provision was made for on-track
safety before fouling a track;
(17) Improper use of individual train detection (ITD) in a manual
interlocking or control point; or
(18) Failure to apply three point protection (fully apply the
locomotive and train brakes, center the reverser, and place the
generator field switch in the off position) that results in a
reportable injury to a regulated employee.
Sec. 219.405 Documentation requirements.
(a) A railroad must maintain written documentation that
specifically describes the basis for each reasonable cause test it
performs under Federal authority. This documentation must be completed
promptly by the responsible railroad supervisor; although it does not
need to be completed before reasonable cause testing is conducted.
(b) For a rule violation, the documentation must include the type
of rule violation and the involvement of each tested regulated
employee. For a train accident or train incident reportable under part
225 of this chapter, it must describe either the amount of railroad
property damage or the reportable casualty and the basis for the
supervisor's belief that the employee's acts or omissions contributed
to the occurrence or severity of the train accident or train incident.
Sec. 219.407 Prompt specimen collection; time limitations.
(a) Consistent with the need to protect life and property, testing
under this subpart must be conducted promptly following the
observations upon which the testing decision is based.
(b) If a test conducted pursuant to the authority of this subpart
is not administered within two hours following the observations upon
which the testing decision is based, the railroad must prepare and
maintain on file a record stating the reasons the test was not
conducted within that time period. If an alcohol or drug test
authorized by this subpart is not administered within eight hours of
the event under this subpart, the railroad must cease attempts to
administer the test and must record the reasons for not administering
the test. The eight-hour time period begins at the time a responsible
railroad supervisor receives notice of the train accident, train
incident, or rule violation. The eight-hour requirement is satisfied if
the individual has been delivered to the collection site (where the
collector is present) and the request has been made to commence
collection of specimen(s) within that period. The records required by
this section must be submitted to FRA upon request of the FRA Drug and
Alcohol Program Manager.
(c) A regulated employee may not be tested under this subpart if
that individual has been released from duty under the normal procedures
of the railroad. An individual who has been transported to receive
medical care is not released from duty for purposes of
[[Page 43906]]
this section. Nothing in this section prohibits the subsequent testing
of a regulated employee who has failed to remain available for testing
as required (i.e., who is absent without leave).
Sec. 219.409 Limitations on authority.
(a) The alcohol and/or drug testing authority conferred by this
subpart does not apply with respect to any event that meets the
criteria for post-accident toxicological testing required under subpart
C of this part.
(b) This subpart does not authorize holding an employee out of
service pending receipt of toxicological analysis for reasonable cause
testing because meeting the testing criteria is only a basis to inquire
whether alcohol or drugs may have played a role in the accident or rule
violation. Notwithstanding this paragraph (b), this subpart does not
restrict a railroad from holding an employee out of service based on
the employee's underlying conduct, so long as it is consistent with the
railroad's policy and any such action is done under the railroad's own
company authority, not Federal authority.
(c) When determining whether reasonable cause testing is justified,
a railroad must consider the involvement of each crewmember in the
qualifying event, not the involvement of the crew as a whole.
Subpart F--Pre-Employment Tests
0
26. Revise Sec. 219.501 to read as follows:
Sec. 219.501 Pre-employment drug testing.
(a) Prior to the first time an individual performs regulated
service for a railroad, the railroad must ensure that the employee
undergoes testing for drugs in accordance with the regulations of a DOT
agency. No railroad may allow a direct employee (a railroad employee
who is not employed by a contractor to the railroad) to perform
regulated service, unless that railroad has conducted a DOT pre-
employment test for drugs on that individual with a result that did not
indicate the misuse of any controlled substance. This requirement
applies both to a final applicant for direct employment and to a direct
employee seeking to transfer for the first time from non-regulated
service to duties involving regulated service. A regulated employee
must have a negative DOT pre-employment drug test for each railroad for
which he or she performs regulated service as the result of a direct
employment relationship.
(b) A railroad must ensure that each employee of a contractor who
performs regulated service on the railroad's behalf has a negative DOT
pre-employment drug test on file with his or her employer. The railroad
must also maintain documentation indicating that it had verified that
the contractor employee had a negative DOT pre-employment drug test on
file with his or her direct employer. A contractor employee who
performs regulated service for more than one railroad does not need to
have a DOT pre-employment drug test for each railroad for which he or
she provides service.
(c) If a railroad has already conducted a DOT pre-employment test
resulting in a negative for a regulated service applicant under the
rules and regulations of another DOT agency (such as the Federal Motor
Carrier Safety Administration), FRA will accept the result of that
negative DOT pre-employment test for purposes of the requirements of
this subpart.
(d) As used in subpart H of this part with respect to a test
required under this subpart, the term regulated employee includes an
applicant for pre-employment testing only. If an applicant declines to
be tested and withdraws an application for employment before the pre-
employment testing process commences, no record may be maintained of
the declination. The determination of when a drug test commences must
be made according to the provisions found in subpart E of part 40 of
this title.
(e) The pre-employment drug testing requirements of this section do
not apply to covered employees of railroads qualifying for the small
railroad exception (see Sec. 219.3(c)) or maintenance-of-way employees
who were performing duties for a railroad prior to [EFFECTIVE DATE OF
FINAL RULE]. However, a grandfathered employee must have a negative
pre-employment drug test before performing regulated service for a new
employing railroad after [EFFECTIVE DATE OF FINAL RULE].
0
27. In Sec. 219.502, revise paragraphs (a) introductory text, (a)(1),
(a)(2), (a)(5), and (b) to read as follows:
Sec. 219.502 Pre-employment alcohol testing.
(a) A railroad may, but is not required to, conduct pre-employment
alcohol testing under this part. If a railroad chooses to conduct pre-
employment alcohol testing, the railroad must comply with the following
requirements:
(1) The railroad must conduct a pre-employment alcohol test before
the first performance of regulated service by every regulated employee,
regardless of whether he or she is a new employee or a first-time
transfer to a position involving the performance of regulated service.
(2) The railroad must treat all regulated employees performing
regulated service the same for the purpose of pre-employment alcohol
testing (i.e., a railroad must not test some regulated employees and
not others.)
* * * * *
(5) If a regulated employee's Federal pre-employment test indicates
an alcohol concentration of 0.04 or greater, a railroad may not allow
him or her to begin performing regulated service until he or she has
completed the Federal return-to-duty process under Sec. 219.104(d).
(b) As used in subpart H of this part with respect to a test
authorized under this subpart, the term regulated employee includes an
applicant for pre-employment testing only. If an applicant declines to
be tested and withdraws his or her application for employment before
the testing process commences, no record may be maintained of the
declination. The determination of when an alcohol test commences must
be made according to the provisions of Sec. 40.243(a) of this title.
0
28. Revise Sec. 219.503 to read as follows:
Sec. 219.503 Notification; records.
The railroad must provide for medical review of drug test results
according to the requirements of part 40 of this title, as provided in
subpart H of this part. The railroad must also notify the applicant in
writing of the results of any Federal drug and/or alcohol test that is
a positive, adulteration, substitution, or refusal in the same manner
as provided for employees in part 40 of this title and subpart H of
this part. Records must be maintained confidentially and be retained in
the same manner as required under subpart J of this part for employee
test records, except that such records need not reflect the identity of
an applicant who withdrew an application to perform regulated service
prior to the commencement of the testing process.
0
29. Revise Sec. 219.505 to read as follows:
Sec. 219.505 Non-negative tests and refusals.
An applicant who has tested positive or refused to submit to pre-
employment testing under this section may not perform regulated service
for any railroad until he or she has completed the Federal return-to-
duty process under Sec. 219.104(d). Such applicants may also not
perform DOT safety-sensitive functions for any other employer regulated
by a DOT agency until they have completed the Federal return-to-
[[Page 43907]]
duty process under Sec. 219.104(d). This section does not create any
right on the part of the applicant to have a subsequent application
considered; nor does it restrict the discretion of the railroad to
entertain a subsequent application for employment from the same person.
0
30. Revise subpart G to read as follows:
Subpart G--Random Alcohol and Drug Testing Programs
Sec.
219.601 Purpose and scope of random testing programs.
219.603 General requirements for random testing programs.
219.605 Submission and approval of random testing plans.
219.607 Requirements for random testing plans.
219.609 Inclusion of contractor employees and volunteers in random
testing plans.
219.611 Random drug and alcohol testing pools.
219.613 Random testing selections.
219.615 Random testing collections.
219.617 Participation in random drug and alcohol testing.
219.619 Positive drug and alcohol test results and refusals;
procedures.
219.621 Use of service agents.
219.623 Records.
219.625 FRA Administrator's determination of random drug and alcohol
testing rates.
Subpart G--Random Alcohol and Drug Testing Programs
Sec. 219.601 Purpose and scope of random testing programs.
(a) Purpose. The purpose of random alcohol and drug testing is to
promote safety by deterring the misuse of drugs and the abuse of
alcohol by regulated employees.
(b) Regulated employees. A railroad must ensure that its regulated
employees are subject to being selected for random testing as required
by this subpart whenever they perform regulated service on the
railroad's behalf.
(c) Contractor employees and volunteers. A regulated service
employee who is a volunteer or an employee of a contractor to a
railroad may be incorporated into the random testing program of more
than one railroad if:
(i) The contractor employee or volunteer is not part of a random
testing program that meets the requirements of this subpart and that is
acceptable to the railroad for whom he or she performs regulated
service (as described by Sec. 219.609); or
(ii) The railroad for which the contractor employee or volunteer
performs regulated service is unable to verify that the individual is
part of a random testing program acceptable to the railroad that meets
the requirements of this subpart.
(d) Multiple DOT agencies. (1) If a regulated employee performs
functions subject to the random testing requirements of more than one
DOT agency, a railroad must ensure that the employee is subject to
selection for random drug and alcohol testing at or above the current
minimum annual testing rate set by the DOT agency that regulates more
than 50 percent of the employee's DOT-regulated functions.
(2) A railroad may not include a regulated employee in more than
one DOT random testing pool for regulated service performed on its
behalf, even if the regulated employee is subject to the random testing
requirements of more than one DOT agency.
Sec. 219.603 General requirements for random testing programs.
(a) General. To the extent possible, a railroad must ensure that
its FRA random testing program is designed and implemented so that
every regulated employee performing regulated service on its behalf
should reasonably anticipate that he or she may be called for a random
test without advance warning at any time while on-duty and subject to
performing regulated service.
(b) Prohibited selection bias. A random testing program may not
have a selection bias or an appearance of selection bias, or appear to
provide an opportunity for a regulated employee to avoid complying with
this section.
(c) Plans. As required by Sec. Sec. 219.603-219.609, each railroad
must submit for FRA approval a random testing plan meeting the
requirements of this subpart. The plan must address all regulated
employees, as defined in Sec. 219.5.
(d) Pools. A railroad must construct and maintain random testing
pools in accordance with Sec. 219.611.
(e) Selections. A railroad must conduct random testing selections
in accordance with Sec. 219.613.
(f) Collections. A railroad must perform random testing collections
in accordance with Sec. 219.615.
(g) Cooperation. A railroad and its regulated employees must
cooperate with and participate in random testing in accordance with
Sec. 219.617.
(h) Responsive action. A railroad must handle positive random tests
and verified refusals to test in accordance with Sec. 219.619.
(i) Service agents. A railroad may use a service agent to perform
its random testing responsibilities in accordance with Sec. 219.621.
(j) Records. A railroad must maintain records required by this
subpart in accordance with Sec. 219.623.
Sec. 219.605 Submission and approval of random testing plans.
(a) Plan submission. (1) Each railroad must submit for review and
approval a random testing plan meeting the requirements of Sec.
219.607 and Sec. 219.609 to the FRA Drug and Alcohol Program Manager,
1200 New Jersey Ave. SE., Washington, DC 20590. A railroad commencing
start-up operations must submit its plan no later than 30 days prior to
its date of commencing operations. A railroad that must comply with
subpart G because it no longer qualifies for the small railroad
exception under Sec. 219.3 (due to a change in operations or its
number of covered employees) must submit its plan no later than 30 days
after it becomes subject to the requirements of this subpart. A
railroad may not implement a Federal random testing plan or any
substantive amendment to that plan prior to FRA approval.
(2) A railroad may submit separate random testing plans for each
category of regulated employees (as defined in Sec. 219.5), combine
all categories into a single plan, or amend its current FRA-approved
plan to add additional categories of regulated employees, as defined by
this part.
(b) Plan approval notification. FRA will notify a railroad in
writing whether its plan is approved. If the plan is not approved
because it does not meet the requirements of this subpart, FRA will
inform the railroad of its non-approval, with specific explanation as
to necessary revisions. The railroad must resubmit its plan with the
required revisions within 30 days of the date of FRA's written notice.
Failure to resubmit the plan with the necessary revisions will be
considered a failure to submit a plan under this part.
(c) Plan implementation. A railroad must implement its random
testing plan no later than 30 days from the date of approval by FRA.
(d) Plan amendments. (1) A substantive amendment to an approved
plan must be submitted to FRA at least 30 days prior to its intended
effective date. A railroad may not implement any substantive amendment
prior to FRA approval.
(2) Non-substantive amendments to an approved plan (such as
replacing or adding service providers) must be provided to the FRA Drug
and Alcohol Program Manager in writing (by letter or email) before
their effective date, but do not require pre-approval by FRA.
[[Page 43908]]
(e) Existing approved plans. A railroad random testing plan
approved before [EFFECTIVE DATE OF FINAL RULE] does not have to be
resubmitted unless it has to be amended to comply with the requirements
of this subpart. New plans, combined plans, or amended plans
incorporating new categories of regulated employees (i.e. maintenance-
of-way employees) must be submitted for FRA approval by a railroad at
least 30 days before [EFFECTIVE DATE OF FINAL RULE].
Sec. 219.607 Requirements for random testing plans.
(a) General. A random testing plan submitted by a railroad under
this subpart must address and comply with the requirements of this
subpart. The railroad must also comply with these requirements in
implementing the plan.
(b) Model random testing plan. A railroad (or a contractor or
service agent requested to submit a part 219-compliant random testing
plan to a railroad for submission as a part of the railroad's random
testing plan) may complete, modify if necessary, and submit a plan
based on the FRA model random testing plan that can be downloaded from
FRA's Drug and Alcohol Program Web site.
(c) Specific plan requirements. Random testing plans must contain
the following items of information, each of which must be contained in
a separate, clearly identified section:
(1) Total number of covered employees, including covered service
contractor employees and volunteers;
(2) Total number of maintenance-of-way employees, including
maintenance-of-way contractor employees and volunteers;
(3) Names of any contractors who perform regulated service for the
railroad, with contact information;
(4) Method used to ensure that any regulated service contractor
employees and volunteers are subject to the requirements of this
subpart, as required by Sec. 219.609;
(5) Name, address, and contact information for the railroad's
Designated Employer Representative (DER) and any back-ups (if
applicable);
(6) Name, address, and contact information for any service
providers, including the railroad's Medical Review Officer (MRO),
Substance Abuse and Mental Health Services Administration (SAMHSA)
certified drug testing laboratory(ies), Substance Abuse Professional(s)
(SAPs), and C/TPA or collection site management companies. Individual
collection sites do not have to be identified;
(7) Number of random testing pools and the proposed general pool
entry assignments for each pool. If using a C/TPA, a railroad must
identify whether its regulated employees are combined into one pool,
contained in separate pools, or combined in a larger pool with other
FRA and/or other DOT agency regulated employees.
(8) Target random testing rates;
(9) Method used to make random selections, including a detailed
description of the computer program or random number table selection
process employed;
(10) Selection unit(s) for each random pool (e.g., employee name or
ID number, job assignment, train symbol) and whether the individual
selection unit(s) will be selected for drugs, alcohol, or both;
(11) If a railroad makes alternate selections, under what limited
circumstances these alternate selections will be tested (see Sec.
219.613);
(12) Frequency of random selections (e.g., monthly);
(13) Designated testing window. The designated testing window
extends from the beginning to the end of the designated testing period
established in the railroad's FRA-approved random plan (see Sec.
219.603), after which time any individual selections for that
designated testing window that have not been collected are no longer
active (valid); and
(14) Description of how the railroad will notify a regulated
employee that he or she has been selected for random testing.
Sec. 219.609 Inclusion of contractor employees and volunteers in
random testing plans.
(a) A railroad's random testing plan must demonstrate that all of
its regulated service contractor employees and volunteers are subject
to random testing that meets the requirements of this subpart. A
railroad can demonstrate that its regulated service contractor
employees and volunteers are in compliance with this subpart by either:
(1) Directly including regulated service contractor employees and
volunteers in its own random testing plan and ensuring that they are
tested according to that plan; or
(2) Indicating in its random testing plan that its regulated
service contractor employees and volunteers are part of a random
testing program, compliant with the requirements of this subpart,
conducted by a contractor or a service agent, such as a C/TPA (``non-
railroad random testing program''). If a railroad chooses this option,
the railroad must append to its own random testing plan one or more
addenda describing the method it will use to ensure that the non-
railroad random testing program is testing its regulated service
contractor employees and volunteers according to the requirements of
this subpart. A railroad could comply with this requirement by
appending either the non-railroad random testing program or a detailed
description of the program and how it complies with this subpart.
(b) A railroad's random testing plan(s) and any addenda must
contain sufficient detail to fully document that the railroad is
meeting the requirements of this subpart for all personnel performing
regulated service on its behalf.
(c) If a railroad chooses to use regulated service contractor
employees and volunteers who are part of a non-railroad random testing
program, the railroad remains responsible for ensuring that the non-
railroad program is testing the regulated service contractor employees
and volunteers according to the requirements of this subpart.
(d) FRA does not pre-approve contractor or service agent random
testing plans, but may accept them as part of its approval process of a
railroad's plan.
Sec. 219.611 Random alcohol and drug testing pools.
(a) General. A railroad must ensure that its random testing pools
include all regulated employees who perform regulated service on its
behalf, except that a railroad's random testing pools do not have to
include regulated employees who are part of a non-railroad random
testing program that is compliant with the requirements of this subpart
and that has been accepted by the railroad.
(b) Pool entries. A railroad must clearly indicate who will be
tested when a specific pool entry is selected.
(1) Pool entries may be either employee names or identification
numbers, train symbols, or specific job assignments, although all the
entries in a single pool must be of generally consistent sizes and
types.
(2) Pool entries may not be constructed in a manner that permits a
field manager or field supervisor to have discretion over which
employee would be tested when an entry is selected.
(3) Pool entries must be constructed and maintained so that all
regulated employees have an equal chance of being selected for random
testing for each selection draw.
(c) Minimum number of pool entries. A railroad (including a service
agent used by a railroad to carry out its responsibilities under this
subpart) may
[[Page 43909]]
not maintain a random testing pool with fewer than four pool entries.
No placeholder pool entries (entries that do not represent legitimate
selections of regulated employees) are permitted. A railroad or
contractor with fewer than four regulated employees can comply with
this requirement by having its regulated employees incorporated into
either a railroad or a non-railroad random testing pool containing more
than four entries.
(d) Pool construction.
(1) An individual who is not subject to the random testing
requirements of FRA or another DOT agency may not be mixed in the same
pool as regulated employees.
(2) A railroad may not include a regulated employee in more than
one random testing pool established under the regulations of a DOT
agency.
(3) A regulated employee can be placed in a random testing pool
with other employees subject to the random testing requirements of FRA
or another DOT agency. However, all entries in a pool must be subject
to testing at the highest minimum random testing rate required by the
regulations of a DOT agency for any single member of that pool.
(4) A regulated employee does not need to be placed in separate
pools for random drug and random alcohol testing selection.
(5) A regulated employee must be incorporated into a random testing
pool as soon as possible after his or her hire or first transfer into
regulated service.
(e) Frequency of regulated service. (1) A railroad may not place a
person in a random testing pool for any selection period in which he or
she is not expected to perform regulated service.
(2) Railroad employees who perform covered service on average less
than once a quarter are considered a de minimis safety concern for
random testing purposes, and a railroad is not required to include them
in a random testing program. A railroad may choose to randomly test
such de minimis employees, but only if they are placed in a separate
random testing pool and not in a random testing pool with employees who
perform regulated service on a regular basis (e.g, engineers,
conductors, dispatchers, and signal maintainers).
(3) A railroad must make a good faith effort when determining the
frequency of an employee's performance of regulated service and must
evaluate an employee's likelihood of performing regulated service in
each upcoming selection period.
(f) Pool maintenance. Pool entries must be updated at least
monthly, regardless of how often selections are made, and a railroad
must ensure that each random testing pool is complete and does not
contain outdated or inappropriate entries.
(g) Multiple random testing pools. A railroad may maintain more
than one random testing pool if it can demonstrate that its random
testing program is not adversely impacted by the number and types of
pools or the construction of pool entries, and that selections from
each pool will meet the requirements of this subpart.
Sec. 219.613 Random testing selections.
(a) General. A railroad must ensure that each regulated employee
has an equal chance of being selected for random testing whenever
selections are performed. A railroad may not increase or decrease an
employee's chance of being selected by weighting an entry or pool.
(b) Method of selection. (1) A railroad must use a selection method
that is acceptable to FRA and that meets the requirements of this
subpart. Acceptable selection methods are a computer selection program,
a method that makes proper use of a random number table, or an
alternative method included in a railroad's random testing plan and
approved by FRA.
(2) A selection method must be free of bias or apparent bias and
employ objective, neutral criteria to ensure that every regulated
employee has an equal statistical chance of being selected within a
specified time frame. The selection method may not utilize subjective
factors that permit a railroad to manipulate or control selections in
an effort to either target or protect any employee, job, or operational
unit from testing.
(3) The randomness of a selection method must be verifiable, and,
as required by Sec. 219.623, any records necessary to document the
randomness of a selection must be retained for not less than two years
from the date the designated testing window for that selection expired.
(c) Minimum random testing rate. (1) Sufficient selections must be
made to ensure that each random testing pool meets the minimum annual
random testing rates established by the Administrator according to
Sec. 219.625 and that random tests are reasonably distributed
throughout the calendar year.
(2) A railroad must continually monitor changes in its workforce to
ensure that the required number of selections and tests are conducted
each year.
(3) To establish the total number of regulated employees eligible
for random testing throughout the year and the number of tests which
need to be conducted, a railroad must separately identify the total
number of regulated employees (as defined by Sec. 219.5) eligible for
random testing during each random testing period for the year for each
employee category for which the Administrator has established a
separate random rate requirement. The railroad must then divide the
subtotal by the number of random testing periods and apply the
Administrator's random rate determination against this result. A
railroad does not need to perform this calculation more than once per
month even if the railroad conducts random testing selections more
often than once per month (e.g., selecting every two weeks).
(d) Selection frequency. At least one entry must be selected from
each random testing pool every three months (i.e., once every quarter).
FRA considers a quarter to be a three month period.
(e) Discarded selection draws. Once a selection draw has been made,
it must be used to identify which individuals will be subject to random
testing. A selection draw cannot be discarded without an acceptable
explanation (e.g., the pool from which the selection draw was made was
incomplete or inaccurate). Records for all discarded selection draws,
including the specific reason the selection draw was not used, must be
documented and retained according to the requirements of Sec. 219.623.
(f) Increasing random selections. If a railroad is not able to
complete a collection for all selections during the designated testing
period, as provided by Sec. Sec. 219.615(f) or 219.617(a)(3), the
railroad may increase the number of selections for a subsequent
selection period to ensure that it is meeting the annual minimum random
testing rate for the calendar year.
(g) Selection snapshots. A railroad must capture and maintain an
electronic or hard copy snapshot of each random testing pool at the
time it makes a testing selection. The pool entries must not be re-
created from records after the time of the original selection. The
railroad must maintain this snapshot for a period of two years, as
required by subpart J of this part.
(h) Multiple DOT agencies. In accordance with Sec. 219.601(a), if
a regulated employee performs functions subject to the random testing
requirements of more than one DOT agency, the railroad must ensure that
the employee is subject to selection for random testing at or above the
current
[[Page 43910]]
minimum annual testing rate set by the DOT agency that regulates more
than 50 percent of the employee's DOT-regulated functions.
Sec. 219.615 Random testing collections.
(a) Minimum random testing rates. A railroad must complete a
sufficient number of random alcohol and drug testing collections from
each of its random testing pools to meet the minimum annual testing
rates established by the Administrator in Sec. 219.625.
(b) Designated testing window. A railroad must complete the
collection for a selected pool entry within the designated testing
window approved by FRA for that selection. Once a designated testing
window is closed, selections for that window which have not been
collected are no longer active (valid) and may not be subject to random
testing.
(c) Collection timing. (1) A regulated employee may be subject to
random testing only while on duty and subject to performing regulated
service.
(2) Random alcohol and drug testing collections must be unannounced
and their dates spread reasonably throughout the calendar year.
Collections must also be distributed unpredictably throughout the
designated testing window and must reasonably cover all operating days
of the week (including operating weekends and holidays), shifts, and
locations.
(3) Random alcohol test collections must be performed unpredictably
and in sufficient numbers at either end of an operating shift to attain
an acceptable level of deterrence throughout the entire shift. At a
minimum, a railroad must perform 10% of its random alcohol tests at the
beginning of shifts and 10% of its random alcohol tests at the end of a
shift.
(4) If a regulated employee has been selected for both random drug
and alcohol testing, the railroad may conduct these tests separately,
so long as both required collections can be completed by the end of the
employee's shift and the railroad does not inform the employee that an
additional collection will occur later.
(d) Collection scheduling. While pool entries must be selected
randomly, the scheduling of a random test collection during the
designated testing window is within the discretion of the railroad
according to its approved plan.
(1) A railroad may schedule a collection based on the availability
of the selected pool entry, the logistics of performing the collection,
and any other requirements of this subpart.
(2) When a selected pool entry involves changing personnel (i.e.,
train crews or job functions), a railroad may not use its scheduling
discretion to deliberately target or protect a particular employee or
work crew. Unless otherwise approved in a random testing plan, railroad
field supervisors or field management personnel may not use discretion
to choose or to change collection dates or times if that choice could
intentionally alter who is to be tested.
(e) Notification requirements. (1) A railroad may not notify a
regulated employee that he or she has been selected for random testing
until the duty tour in which the collection is to be conducted, and
then only so far in advance as is reasonably necessary to ensure the
employee's presence at the scheduled collection time and place.
(2) Collections must be conducted as soon as possible and commence
no later than two hours after notification (unless there is an
acceptable reason for the delay). An employee should be monitored after
notification of selection for random testing and, whenever possible,
immediately escorted by supervisory or management personnel to the
collection location.
(3) Each time a regulated employee is notified that he or she has
been selected for random testing, the employee must be informed that
the selection was made on a random basis. Completion of the Federal
Drug Testing Custody and Control Form (CCF) or the DOT Alcohol Testing
Form (ATF) indicating the basis of the test satisfies this requirement,
so long as the employee has been shown and directed to sign the CCF or
ATF as required by Sec. Sec. 40.73 and 40.241 of this title.
(f) Incomplete collections. A railroad must use due diligence to
ensure that a random testing collection is completed for each selected
pool entry, unless it has an acceptable explanation for not conducting
the collection. All reasons for incomplete collections must be fully
documented and are subject to inspection by FRA upon request.
(g) Hours-of-service limitations. (1) Except as provided by
paragraph (g)(2) of this section, if a random testing collection is not
completed within a covered employee's hours-of-service limitations, a
railroad must immediately terminate the collection and may not
reschedule it.
(2) When something during a random collection triggers a mandatory
direct observation collection under Sec. 40.67 of this title, a
directly observed collection must immediately proceed until completed.
A railroad must submit an excess service report, as required by part
228 of this chapter, if completion of the directly observed collection
causes the covered employee to exceed his or her hours-of-service
limitations.
Sec. 219.617 Participation in random alcohol and drug testing.
(a) Railroad responsibility. (1) A railroad must, under the
conditions specified in this subpart and subpart H of this part,
require a regulated employee selected for random testing to cooperate
in alcohol and/or drug testing.
(2) A railroad must ensure that an employee who is performing
regulated service at the time of the notification of selection for
random testing shall, as soon as possible without adversely affecting
safety, cease to perform regulated service and proceed to the testing
site. A railroad must also ensure that the absence of an employee from
his or her assigned duties to report for testing does not adversely
affect safety.
(3) Once an employee has been notified that he or she has been
selected for random testing, only a substantiated medical emergency
involving the employee or an immediate family member (e.g. birth,
death, or medical emergency) may excuse the selected employee from
completing the collection or test. A medical emergency is defined in
this part as an acute medical condition requiring immediate emergency
care. To be eligible for exclusion from random testing, the selected
employee must provide verifiable documentation from a credible outside
professional (e.g. doctor, dentist, hospital, law enforcement officer,
or school authority) substantiating the emergency situation within a
reasonable period of time. A selected employee who has been excused
from testing may not later be tested by the railroad under the same
selection.
(b) Employee responsibility. (1) A regulated employee subject to
the random testing requirements of this subpart must cooperate with the
selection and testing process, and must proceed to the testing site
upon notification that he or she has been selected for random testing.
(2) A notified employee must fully cooperate and comply with the
urine drug collection and/or breath alcohol testing procedure required
by subpart H of this part, provide the required specimen(s), and must,
upon request, complete the required paperwork and certifications.
Sec. 219.619 Positive alcohol and drug test results and refusals;
procedures.
Section 219.104 contains the procedures for administrative handling
[[Page 43911]]
by the railroad or contractor in the event a urine specimen provided
under this subpart is reported as a verified positive by the Medical
Review Officer, a breath alcohol specimen is reported at 0.04 or
greater by the Breath Alcohol Technician, or there has been a refusal
to test. The responsive action required in Sec. 219.104 is not stayed
pending the result of the testing of a split urine specimen or a
challenge to any part of the testing process or procedure.
Sec. 219.621 Use of service agents.
(a) A railroad may use a service agent (such as a consortium/third
party administrator (C/TPA)) to act as its agent to carry out any role
in random testing specifically permitted under subpart Q of part 40 of
this title, such as maintaining random pools, conducting random
selections, and performing random urine drug collections and breath
alcohol tests.
(b) A railroad may not use a service agent to notify regulated
employees that they have been selected for random testing, unless that
service agent is an authorized representative of the railroad approved
by FRA in the railroad's random testing plan. A regulated employee who
has been selected for random testing must otherwise be notified of the
selection by his or her employer. Service agents may also not perform
roles that are specifically reserved for an employer under Sec. 40.355
of this title. For purposes of this subpart, only a railroad or a
contractor performing railroad-accepted testing can be considered
employers under Sec. 40.355 of this title.
(c) Primary responsibility for compliance with random alcohol and
drug testing rests with the railroad, but FRA reserves the right to
bring an enforcement action for noncompliance against the railroad, its
service agents, its contractors, and/or its employees.
(d) If a railroad conducts random drug and/or alcohol testing
through a C/TPA, the number of employees required to be tested may be
calculated for each individual railroad belonging to the C/TPA or may
be based on the total number of regulated employees covered by the C/
TPA in a larger combined railroad or DOT agency random pool. Selections
from combined railroad random pools must meet or exceed the highest
minimum annual percentage rate established under this subpart or any
DOT agency drug testing rule that applies to any member of that pool.
Sec. 219.623 Records.
(a) As provided by Sec. 219.901, railroads are required to
maintain records related to random testing for a minimum of two years.
(b) Contractors and service agents performing random testing
responsibilities under this subpart must provide records required by
this subpart whenever requested by the contracting railroad or by FRA.
A railroad remains responsible for maintaining records demonstrating
that it is in compliance with the requirements of this subpart.
Sec. 219.625 FRA Administrator's determination of random alcohol and
drug testing rates.
(a) Notice. Each year, the FRA Administrator publishes a Federal
Register notice announcing the minimum annual random alcohol and drug
testing rates which take effect on January 1 of the following calendar
year. These rates are based on the railroad industry's random testing
violation rates for the preceding two consecutive calendar years, which
are determined using annual railroad alcohol and drug program data
required to be submitted to the FRA's Management Information System
(MIS) under Sec. 219.800.
(b) Information. Information used for this determination is drawn
from the MIS reports required by Sec. 219.800. In order to ensure
reliability of the data, the Administrator may consider the quality and
completeness of the reported data, obtain additional information or
reports from railroads, or make appropriate modifications in
calculating the industry positive rate.
(c) Initial minimum annual random testing rates. The Administrator
has established an initial minimum annual random testing rate of 50
percent for drugs and 25 percent for alcohol for any new category of
regulated employees added to those already being tested under this
part.
(1) These initial testing rates are subject to amendment by the
Administrator in accordance with paragraphs (d) and (e) of this section
after at least 18 months of MIS data have been compiled for the new
category of regulated employees.
(2) The Administrator will determine separate minimum annual random
testing rates for each added category of regulated employees for a
minimum of three calendar years after that category is incorporated
into random testing under this part.
(3) The Administrator may move to combine categories of regulated
employees requiring separate determinations into a single determination
once the categories' testing rates are identical for two consecutive
years.
(d) Drug testing rate. The Administrator may set the minimum annual
random drug testing rate for the railroad industry at either 50 percent
or 25 percent.
(1) When the minimum annual percentage rate for random drug testing
is 50 percent, the Administrator may lower the rate to 25 percent if
the Administrator determines that the MIS data for two consecutive
calendar years show that the reported random testing positive rate is
less than 1.0 percent.
(2) When the minimum annual percentage rate for random drug testing
is 25 percent, and the MIS data for any calendar year show that the
reported random testing positive rate is equal to or greater than 1.0
percent, the Administrator will increase the minimum annual percentage
rate for random drug testing to 50 percent.
(e) Alcohol testing rate. The Administrator may set the minimum
annual random alcohol testing rate for the railroad industry at 50
percent, 25 percent, or 10 percent.
(1) When the minimum annual percentage rate for random alcohol
testing is 50 percent or 25 percent, the Administrator may lower this
rate to 10 percent if the Administrator determines that the MIS data
for two consecutive calendar years show that the random testing
violation rate is less than 0.5 percent.
(2) When the minimum annual percentage rate for random alcohol
testing is 50 percent, the Administrator may lower the rate to 25
percent if the Administrator determines that the MIS data for two
consecutive calendar years show that the random testing violation rate
is less than 1.0 percent but equal to or greater than 0.5 percent.
(3) When the minimum annual percentage rate for random alcohol
testing is 10 percent, and the MIS data for that calendar year show
that the random testing violation rate is equal to or greater than 0.5
percent but less than 1.0 percent, the Administrator will increase the
minimum annual percentage rate for random alcohol testing to 25
percent.
(4) When the minimum annual percentage rate for random alcohol
testing is 10 percent or 25 percent, and the MIS data for any calendar
year show that the random testing violation rate is equal to or greater
than 1.0 percent, the Administrator will increase the minimum annual
percentage rate for random alcohol testing to 50 percent.
[[Page 43912]]
Subpart H--Drug and Alcohol Testing Procedures
Sec. 219.701 [Amended]
0
31. Amend Sec. 219.701 by:
0
a. In paragraphs (a) and (b), removing the phrase ``B, D, F, and G''
wherever it appears and adding, in its place, ``B, D, E, F, G, and K
(but only for co-worker or non-peer referrals that involve a violation
of the prohibitions of this subpart)''; and
0
b. Removing paragraph (c).
Subpart I--Annual Report
0
32. In Sec. 219.800, revise the last sentence of paragraph (b) and the
first sentence of paragraph (d) and add paragraph (f) to read as
follows:
Sec. 219.800 Annual reports.
* * * * *
(b) * * * For information on where to submit MIS forms and for the
electronic version of the form, see: http://www.fra.dot.gov/eLib/details/L02639.
* * * * *
(d) As a railroad, if you have a regulated employee who performs
multi-DOT agency functions (e.g., an employee drives a commercial motor
vehicle and performs switchman duties for you), count the employee only
on the MIS report for the DOT agency under which he or she is random
tested. * * *
* * * * *
(f) A railroad required to submit an MIS report under this section
must submit separate reports for covered employees and MOW employees.
Subpart J--Recordkeeping Requirements
0
33. Revise Sec. 219.901 to read as follows:
Sec. 219.901 Retention of alcohol and drug testing records.
(a) General requirement. (1) In addition to the records required to
be kept by part 40 of this title, each railroad must maintain alcohol
and drug misuse prevention program records in a secure location with
controlled access as set out in this section.
(2) FRA requires certain records to be maintained for two years,
rather than one year as provided for by Sec. 40.333(a)(4) of this
title. Railroads may maintain legible and accessible scanned or
electronic copies of these records for the second year that they are
required to be maintained by FRA.
(b) Records maintained for a minimum of five years. Each railroad
must maintain the following records for a minimum of five years:
(1) A summary record or the individual files of each regulated
employee's test results; and
(2) A copy of the annual report summarizing the results of its
alcohol and drug misuse prevention program (if required to submit the
report under Sec. 219.801(a)).
(c) Records maintained for a minimum of two years. Each railroad
must maintain the following records for a minimum of two years:
(1) Records related to the collection process:
(i) Collection logbooks, if used.
(ii) Documents relating to the random selection process, including
the railroad's approved random testing plan and FRA's approval letter
for that plan.
(iii) Documents generated in connection with decisions to
administer Federal reasonable suspicion or reasonable cause alcohol or
drug tests.
(iv) Documents generated in connection with decisions on post-
accident testing.
(v) Documents verifying the existence of a medical explanation for
the inability of a regulated employee to provide an adequate specimen.
(2) Records related to test results:
(i) The railroad's copy of the alcohol test form, including the
results of the test.
(ii) The railroad's copy of the drug test custody and control form,
including the results of the test.
(iii) Documents related to the refusal of any regulated employee to
submit to an alcohol or drug test required by this part.
(iv) Documents presented by a regulated employee to dispute the
result of an alcohol or drug test administered under this part.
(3) Records related to other violations of this part.
(4) Records related to employee training:
(i) Materials on alcohol and drug abuse awareness, including a copy
of the railroad's policy on alcohol and drug abuse.
(ii) Documentation of compliance with the requirements of Sec.
219.23.
(iii) Documentation of training (including attendance records and
training materials) provided to supervisors for the purpose of
qualifying the supervisors to make a determination concerning the need
for reasonable suspicion or post-accident alcohol and drug testing.
(iv) Documentation of training (including attendance records and
training materials), required under Sec. 219.103(b)(2) and (b)(3),
provided to regulated employees regarding the use of prescription and
over-the-counter drugs.
0
34. Revise Sec. 219.903 to read as follows:
Sec. 219.903 Access to facilities and records.
(a) Release of regulated employee information contained in records
required to be maintained under Sec. 219.901 must be in accordance
with part 40 of this title and with this section. (For purposes of this
section only, urine drug testing records are considered equivalent to
breath alcohol testing records.)
(b) Each railroad must permit access to all facilities utilized in
complying with the requirements of this part to the Secretary of
Transportation, United States Department of Transportation, or any DOT
agency with regulatory authority over the railroad or any of its
regulated employees.
(c) Each railroad must make available copies of all results for its
alcohol and drug testing programs conducted under this part and any
other information pertaining to the railroad's alcohol and drug misuse
prevention program, when requested by the Secretary of Transportation
or any DOT agency with regulatory authority over the railroad or
regulated employee.
Sec. 219.905 [Removed and Reserved]
0
35. Remove and reserve Sec. 219.905.
0
36. Add subpart K to read as follows:
Subpart K--Peer Support Programs
Sec.
219.1001 Requirement for peer support programs.
219.1003 Peer support program requirements.
219.1005 Optional provisions.
219.1007 Alternate peer support programs.
Subpart K--Peer Support Programs
Sec. 219.1001 Requirement for peer support programs.
(a) The purpose of this subpart is to help prevent the adverse
effects of alcohol misuse and drug use in connection with regulated
employees through the implementation of peer referral and support
programs.
(b) Each railroad must adopt, publish, and implement a peer support
program policy that meets the requirements of this subpart. The policy
must be designed to encourage and facilitate the referral and
rehabilitative support of regulated employees who abuse alcohol or
drugs. The policy must also support and augment this part, as well as
parts 40, 240, and 242 of this title.
(c) A railroad may comply with this subpart by adopting,
publishing, and implementing policies meeting the specific requirements
of Sec. 219.1003 and/or by complying with Sec. 219.1007.
[[Page 43913]]
(d) Nothing in this subpart may be construed to:
(1) Require payment of compensation for any period a regulated
employee is restricted from regulated service under a railroad's peer
support programs;
(2) Require a railroad to adhere to a peer support program policy
when the referral is made for the purpose, or with the effect, of
anticipating or avoiding the imminent and probable detection of a rule
violation by a supervising employee;
(3) Interfere with the subpart D requirement for Federal reasonable
suspicion testing when a regulated employee is on-duty and a supervisor
trained in accordance Sec. 219.11(g) determines that the employee is
exhibiting signs and symptoms of alcohol and/or drug use;
(4) Interfere with the requirements in Sec. 219.104(d) for
responsive action when a violation of Sec. Sec. 219.101 or 219.102 is
substantiated; or
(5) Limit the discretion of a railroad to dismiss or otherwise
discipline a regulated employee for specific rule violations or
criminal offenses, except as specifically provided by this subpart.
Sec. 219.1003 Peer support program requirements.
(a) Scope. This section prescribes the minimum requirements and
standards for peer support programs required under this subpart.
Individuals involved in the implementation of any program subject to
this subpart must comply with the program's policies and implementation
procedures.
(b) Referral policies. Except as provided in Sec. 219.1007, each
railroad must publish and implement a peer support program that meets
the requirements of this section and which contains, at a minimum, the
following types of policies:
(1) A self-referral policy that must provide regulated employees
with an opportunity to obtain referral, education, counseling, and/or
treatment through a qualified Employee Assistance Program (EAP)
Counselor or Drug and Alcohol Counselor (DAC) before an employee's
alcohol or substance use problem manifests itself in an accident,
injury, or is otherwise detected as a violation of this part;
(2) A co-worker referral policy that must be designed to encourage
and facilitate employee participation in preventing violations of this
part; and
(3) As negotiated between a railroad and its collective bargaining
organizations (if applicable), a non-peer referral policy that must
specify whether the program permits referrals from non-peers, such as
supervisors, representatives of an employee's collective bargaining
organization, or family members.
(c) Referral conditions. The referral policies required by
paragraph (b) of this section must specify the conditions under which a
self-referral, co-worker referral, or non-peer referral can occur,
including:
(1) For a self-referral that does not involve a violation of this
part, identification of a designated EAP Counselor or DAC (including
telephone number and email (if available)) and any expectations
regarding when the referral is allowed to take place (e.g., only during
non-duty hours and/or while the employee is unimpaired, as permitted by
Sec. 219.1005);
(2) Whether non-peer referrals (e.g., referrals from supervisors,
labor organizations, or family members) are permitted and what the
allowances, conditions, and procedures of such referrals are;
(3) For a co-worker referral or a non-peer referral (as permitted
by the railroad's policy), a railroad may accept a referral under this
subpart only if the referral is based on an allegation that the
regulated employee was apparently unsafe to work with or appeared to be
in violation of this part or the railroad's alcohol and drug rules; and
(4) For a co-worker referral or a non-peer referral (as permitted
by the railroad's policy), a railroad may remove a regulated employee
from service only if a railroad representative who has been trained in
accordance with the requirements of Sec. 219.11(g) confirms that the
employee is unsafe to work with or in violation of this part or the
railroad's alcohol and drug rules.
(d) Employment maintained. A regulated employee who is affected by
an alcohol or drug use problem may maintain an employment relationship
with the railroad if:
(1) The employee seeks assistance through a railroad's peer support
program for the employee's alcohol or drug use problem or is referred
for such assistance by either a co-worker or a non-peer (as permitted
by the railroad's policy); and
(2) The employee successfully completes the education, counseling,
or treatment program specified by a Counselor under this section.
(e) Employment action. If the employee does not choose to seek
assistance through a peer support program, or fails to cooperate with
the prescribed program, the disposition of the employee's relationship
with the railroad is subject to normal employment action.
(f) Evaluation by a qualified EAP Counselor, DAC, or SAP. (1)(i) A
regulated employee entering a peer support program through a self-
referral must be evaluated by an EAP Counselor or DAC acceptable to the
railroad.
(ii) A regulated employee entering a peer support program through a
co-worker or non-peer referral must be evaluated by a SAP acceptable to
the railroad (according to the standards of part 40 of this title) if
the co-worker or non-peer referral involves a substantiated violation
of Sec. 219.101 or Sec. 219.102.
(iii) If a co-worker or non-peer referral involves a situation
where the regulated employee was not in violation of Sec. 219.101 or
Sec. 219.102, but was determined to be unsafe to work with or in
violation of only the railroad's alcohol and drug rules, the referred
individual must be evaluated by an EAP or DAC.
(2) Organizations employing Counselors and personnel supporting
peer programs under this subpart must meet any applicable state
standards and comply with this subpart.
(3) The Counselor (defined by Sec. 219.5 to include an EAP
Counselor, DAC, or SAP) must determine the appropriate level of care
(including, but not limited to, education, counseling, and/or
treatment) necessary to resolve any identified substance abuse problem
involving a regulated employee. If the evaluation establishes that the
employee has an active substance abuse disorder (such as, but not
limited to, substance dependency) requiring education, counseling and/
or treatment education, the Counselor must refer the employee to an
appropriately qualified rehabilitation program in the community when
possible. An employee's failure to fully cooperate with the evaluation,
referral process, or aftercare is grounds for dismissal from the
railroad's peer support program, and will subject the employee to the
railroad's normal employment action.
(g) Removal from regulated service. A peer support program policy
must stipulate that a regulated employee who has been evaluated by a
Counselor and found to have an active substance abuse disorder must be
removed from regulated service until the Counselor reports that the
employee's identified problem is no longer reasonably expected to
adversely affect the safety of railroad operations.
(h) Confidentiality maintained. Except as provided under paragraph
(l) of this section, the railroad's peer support program policy must
treat an employee's referral and subsequent handling (including
evaluation,
[[Page 43914]]
education, counseling, and/or treatment) as confidential. Only
personnel who administer the railroad's peer support program may have
access to the identities of the individuals in the program.
(i) Leave of absence. The railroad must grant a regulated employee
a leave of absence for the period necessary to complete at least the
primary education/counseling/treatment program recommended by the
Counselor. The leave of absence must also cover a period sufficient for
the employee to establish control over his or her alcohol or drug
problem to the extent that the evaluating Counselor determines that he
or she is now at a low risk to return to substance abuse.
(j) Return to regulated service. (1) Except as may be provided
under Sec. Sec. 219.1001(d)(4) and 219.1005, a railroad must return a
regulated employee to regulated service on the recommendation of the
Counselor when the employee has established control over his or her
substance abuse problem, is assessed by the Counselor as being a low
risk to return to substance abuse, and has complied with any return-to-
service requirements recommended by the Counselor (such as a negative
alcohol and/or drug test performed under Federal or company authority,
whichever is appropriate).
(2) The Counselor determines the appropriate number and frequency
of required follow-up tests. The railroad determines the dates of
testing.
(3) An employee's return to regulated service may be conditioned
upon successful completion of a return-to-service medical evaluation,
as directed by the railroad.
(4) Approval to return to regulated service may not be unreasonably
withheld. The railroad must return an employee to regulated service
within five working days of the Counselor's notification to the
railroad that the employee is fit to return to regulated service (i.e.,
the employee is at a low risk to return to substance abuse).
(k) Rehabilitation plan. No person or entity--whether an employing
railroad, managed care provider, service agent, or any entity other
than the Counselor who conducted the initial evaluation--may change in
any way the Counselor's evaluation or recommendation for assistance.
The Counselor who made the initial evaluation may modify his or her
initial evaluation and follow-up recommendations based on new or
additional information.
(l) Locomotive engineers and conductors. As provided by Sec.
240.119(e) or Sec. 242.115(g) of this chapter, with respect to a
certified locomotive engineer, certified conductor, or a candidate for
engineer or conductor certification, the peer support program policy
must state that confidentiality is waived (to the extent that the
railroad receives official notice of the active substance abuse
disorder from a Counselor, and suspends or revokes the certification,
as appropriate) if an employee at any time refuses to cooperate in a
recommended course of counseling or treatment. The treating Counselor
is not required to provide this notice if the locomotive engineer or
conductor is medically restricted from regulated service and the
Counselor is working with the locomotive engineer or conductor to
correct a reoccurring active substance abuse disorder. If a locomotive
engineer or conductor with an active substance abuse disorder fails to
make the needed rehabilitative progress during a period of medical
restriction, the Counselor must provide official notice to the
railroad.
(m) Contacting a SAP. If the identification of the regulated
employee was due to co-worker or non-peer referral for a substantiated
violation of Sec. 219.101 or Sec. 219.102, the regulated employee
must contact the SAP in a reasonable time (as specified by the
railroad's policy). If the employee does not contact the SAP within the
railroad's specified time limit, the railroad may begin an
investigation to assess the employee's cooperation and compliance with
its peer support policy.
(n) Time requirements for Counselor evaluations. Once a regulated
employee has contacted the designated Counselor, the evaluation must be
completed within 10 working days. If the employee needs more than one
evaluation, the evaluations must be completed within 20 working days.
(o) Regulated employee agreement. A railroad's peer support policy
must require a regulated employee to agree to undertake and
successfully complete a course of prescribed care and any follow-up
care (including appropriate railroad-administered follow-up testing)
deemed appropriate by the Counselor. Any follow-up treatment, care,
and/or testing established for this program cannot exceed 24 months
beyond the regulated employee's initial removal from regulated service,
unless the regulated employee entered the peer prevention program
through a co-worker or non-peer referral that involved a substantiated
part 219 violation.
Sec. 219.1005 Optional provisions.
A railroad's peer support program policy may include any of the
following provisions at the option of the railroad and with the
approval of the labor organization(s) affected:
(a) The policy may provide for a mark-off provision under which a
regulated employee who is concerned that he or she may not be safe to
work due to alcohol or prescription medication use may choose to refuse
an assignment.
(b) The policy may provide that the rule of confidentiality is
waived if:
(1) The regulated employee at any time refuses to cooperate in a
course of education, counseling, or treatment recommended by an
Counselor; or
(2) The regulated employee is later determined, after
investigation, to have been involved in an alcohol or drug-related
disciplinary offense growing out of subsequent conduct.
(c) The policy may require successful completion of a return-to-
service medical examination as a further condition of reinstatement in
regulated service.
(d) The policy may provide that it does not apply to a regulated
employee who has previously been assisted by the railroad under a
policy or program substantially consistent with this section.
(e) The policy may provide that, in order to invoke its benefits,
the regulated employee must report to the contact designated by the
railroad either:
(i) During non-duty hours (i.e., at a time when the regulated
employee is off duty); or
(ii) While unimpaired and otherwise in compliance with the
railroad's alcohol and drug rules consistent with this subpart.
Sec. 219.1007 Alternate peer support programs.
(a) In lieu of peer support programs under Sec. 219.1003,
railroads are permitted to develop, publish, and implement an alternate
program or policy which meets the standards established in Sec.
219.1003. Such programs or policies must have the written concurrence
of the recognized representatives of the regulated employees. Nothing
in this subpart restricts a railroad or labor organization from
adopting, publishing and implementing peer support policies that afford
more favorable conditions to regulated employees troubled by alcohol or
drug abuse problems, consistent with a railroad's responsibility to
prevent violations of Sec. Sec. 219.101 and 219.102.
(b) The concurrence of the recognized representatives of the
regulated employees in an alternate program may be evidenced by a
collective bargaining agreement or any other document
[[Page 43915]]
describing the class or craft of employees to which the alternate
program applies. The agreement or other document must make express
reference to this subpart and to the intention of the railroad and
employee representatives that the alternate program applies in lieu of
the program required by this subpart.
(c) The railroad must file the agreement or other document
described in paragraph (b) of this section along with the requested
alternate program being submitted for approval with the FRA Drug and
Alcohol Program Manager. Approval will be based on FRA review to
ascertain whether the alternative program meets the Sec. 219.1003
objectives. The alternative program does not have to include each Sec.
219.1003 component, but must meet the general standards and intent of
Sec. 219.1003. If an approved alternate policy is amended or revoked,
the railroad must file a notice with FRA of such
Issued in Washington, DC, on July 15, 2014.
Joseph C. Szabo,
Administrator.
[FR Doc. 2014-17195 Filed 7-25-14; 8:45 am]
BILLING CODE 4910-06-P