DOT 49 CFR PART 209-2010 RAILROAD SAFETY ENFORCEMENT PROCEDURES.pdf

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1、10 49 CFR Ch. II (10110 Edition) Pt. 209 (1) The railroads employees, pas-sengers, or patrons; (2) The railroads property or prop-erty entrusted to the railroad for transportation purposes; (3) The intrastate, interstate, or for-eign movement of cargo in the rail-roads possession or in possession of

2、 an-other railroad or non-rail carrier while on the railroad property; and (4) The railroad movement of per-sonnel, equipment, and materials vital to the national defense. (c) The authority exercised under this part by an officer for whom the railroad has provided notice in accord-ance with 207.4 sh

3、all be the same as that of a railroad police officer com-missioned under the laws of that state. (d) The railroad police officers law enforcement powers shall apply only on railroad property, except that an offi-cer may pursue off railroad property a person suspected of violating the law on railroad

4、 property, and an officer may engage off railroad property in law enforcement activities, including, without limitation, investigation and arrest, if permissible under state law. PART 209RAILROAD SAFETY ENFORCEMENT PROCEDURES Subpart AGeneral Sec. 209.1 Purpose. 209.3 Definitions. 209.5 Service. 209

5、.6 Requests for admission. 209.7 Subpoenas; witness fees. 209.8 Depositions in formal proceedings. 209.9 Filing. 209.11 Request for confidential treatment. 209.13 Consolidation. 209.15 Rules of evidence. 209.17 Motions. Subpart BHazardous Materials Penalties CIVIL PENALTIES 209.101 Civil penalties g

6、enerally. 209.103 Minimum and maximum penalties. 209.105 Notice of probable violation. 209.107 Reply. 209.109 Payment of penalty; compromise. 209.111 Informal response and assessment. 209.113 Request for hearing. 209.115 Hearing. 209.117 Presiding officers decision. 209.119 Assessment considerations

7、. 209.121 Appeal. CRIMINAL PENALTIES 209.131 Criminal penalties generally. 209.133 Referral for prosecution. Subpart CCompliance Orders 209.201 Compliance orders generally. 209.203 Notice of investigation. 209.205 Reply. 209.207 Consent order. 209.209 Hearing. 209.211 Presiding officers decision. 20

8、9.213 Appeal. 209.215 Time limitation. Subpart DDisqualification Procedures 209.301 Purpose and scope. 209.303 Coverage. 209.305 Notice of proposed disqualification. 209.307 Reply. 209.309 Informal response. 209.311 Request for hearing. 209.313 Discovery. 209.315 Subpoenas. 209.317 Official record.

9、209.319 Prehearing conference. 209.321 Hearing. 209.323 Initial decision. 209.325 Finality of decision. 209.327 Appeal. 209.329 Assessment considerations. 209.331 Enforcement of disqualification order. 209.333 Prohibitions. 209.335 Penalties. 209.337 Information collection. Subpart EReporting of Rem

10、edial Actions 209.401 Purpose and scope. 209.403 Applicability. 209.405 Reporting of remedial actions. 209.407 Delayed reports. 209.409 Penalties. Subpart FEnforcement, Appeal and Hearing Procedures for Rail Routing Decisions Pursuant to 49 CFR 172.820 209.501 Review of rail transportation safety an

11、d security route analysis. APPENDIX A TO PART 209STATEMENT OF AGENCY POLICY CONCERNING ENFORCE-MENT OF THE FEDERAL RAILROAD SAFETY LAWS APPENDIX B TO PART 209FEDERAL RAILROAD ADMINISTRATION GUIDELINES FOR INITIAL HAZARDOUS MATERIALS ASSESSMENTS APPENDIX C TO PART 209FRAS POLICY STATEMENT CONCERNING

12、SMALL ENTITIES AUTHORITY: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112, 20114; 28 U.S.C. 2461, note; and 49 CFR 1.49. SOURCE: 42 FR 56742, Oct. 28, 1977, unless otherwise noted. VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00020 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on

13、DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-11 Federal Railroad Administration, DOT 209.3 Subpart AGeneral 209.1 Purpose. Appendix A to this part contains a statement of agency policy concerning enforcement of those laws. T

14、his part describes certain procedures employed by the Federal Railroad Administra-tion in its enforcement of statutes and regulations related to railroad safety. By delegation from the Secretary of Transportation, the Administrator has responsibility for: (a) Enforcement of subchapters B and C of ch

15、apter I, subtitle B, title 49, CFR, with respect to the transportation or shipment of hazardous materials by railroad (49 CFR 1.49(s); (b) Exercise of the authority vested in the Secretary by the Federal Rail-road Safety Act of 1970, 45 U.S.C. 421, 431441, as amended by the Rail Safety Improvement A

16、ct of 1988, Public Law 100342 (June 22, 1988) (49 CFR 1.49(m); and (c) Exercise of the authority vested in the Secretary pertaining to railroad safety as set forth in the statutes transferred to the Secretary by section 6(e) of the Department of Transpor-tation Act, 49 App. U.S.C. 1655(e) (49 CFR 1.

17、49 (c), (d), (f), and (g). 42 FR 56742, Oct. 28, 1977, as amended at 53 FR 52920, Dec. 29, 1988; 54 FR 42905, Oct. 18, 1989 209.3 Definitions. As used in this part Administrator means the Adminis-trator of FRA, the Deputy Adminis-trator of FRA, or the delegate of ei-ther. Associate Administrator mea

18、ns the As-sociate Administrator for Safety, Fed-eral Railroad Administration, or that persons delegate as designated in writ-ing. Chief Counsel means the Chief Coun-sel of FRA or his or her delegate. Day means calendar day. Federal hazardous material transpor-tation law means 49 U.S.C. 5101 et seq.

19、Federal railroad safety laws means the provisions of law generally at 49 U.S.C. subtitle V, part A or 49 U.S.C. chap. 51 or 57 and the rules, regulations, orders, and standards issued under any of those provisions. See Pub. L. 103272 (1994). Before recodification, these stat-utory provisions were co

20、ntained in the following statutes: (i) the Federal Rail-road Safety Act of 1970 (Safety Act) (49 U.S.C. 2010120117, 20131, 2013320141, 20143, 21301, 21302, 21304, 21311, 24902, and 24905, and sections 4(b)(1), (i), and (t) of Pub. L. 103272, formerly codified at 45 U.S.C. 421, 431 et seq.); (ii) the

21、 Haz-ardous Materials Transportation Act (Hazmat Act) (49 U.S.C. 5101 et seq., formerly codified at 49 App. U.S.C. 1801 et seq.); (iii) the Sanitary Food Trans-portation Act of 1990 (SFTA) (49 U.S.C. 5713, formerly codified at 49 App. U.S.C. 2801 (note); and those laws transferred to the jurisdictio

22、n of the Secretary of Transportation by subsection (e)(1), (2), and (6)(A) of section 6 of the Depart-ment of Transportation Act (DOT Act), as in effect on June 1, 1994 (49 U.S.C. 20302, 21302, 2070120703, 20305, 20502 20505, 20901, 20902, and 80504, formerly codified at 49 App. U.S.C. 1655(e)(1), (

23、2), and (6)(A). 49 U.S.C. 20111 and 20109, formerly codified at 45 U.S.C. 437 (note) and 441(e). Those laws transferred by the DOT Act include, but are not lim-ited to, the following statutes: (i) the Safety Appliance Acts (49 U.S.C. 20102, 20301, 20302, 20304, 21302, and 21304, for-merly codified a

24、t 45 U.S.C. 114, 16); (ii) the Locomotive Inspection Act (49 U.S.C. 20102, 2070120703, 21302, and 21304, formerly codified at 45 U.S.C. 22 34); (iii) the Accident Reports Act (49 U.S.C. 20102, 20701, 20702, 2090120903, 21302, 21304, and 21311, formerly codified at 45 U.S.C. 3843); (iv) the Hours of

25、Service Act (49 U.S.C. 20102, 2110121107, 21303, and 21304, formerly codified at 45 U.S.C. 6164b); and (v) the Signal In-spection Act (49 U.S.C. 20102, 20502 20505, 20902, 21302, and 21304, formerly codified at 49 App. U.S.C. 26). FRA means the Federal Railroad Ad-ministration, U.S. Department of Tr

26、ansportation. FRA Safety Inspector means an FRA safety inspector, a state inspector par-ticipating in railroad safety investiga-tive and surveillance activities under part 212 of this chapter, or any other official duly authorized by FRA. Motion means a request to a presiding officer to take a parti

27、cular action. Person generally includes all cat-egories of entities covered under 1 U.S.C. 1, including but not limited to the following: a railroad; any manager, VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00021 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with

28、 CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-12 49 CFR Ch. II (10110 Edition) 209.5 supervisor, official, or other employee or agent of a railroad; any owner, man-ufacturer, lessor, or lessee of railroad equipment, track, or facilities; any in

29、dependent contractor providing goods or services to a railroad; and any employee of such owner, manufacturer, lessor, lessee, or independent con-tractor; however, person, when used to describe an entity that FRA alleges to have committed a violation of the pro-visions of law formerly contained in th

30、e Hazardous Materials Transpor-tation Act or contained in the Haz-ardous Materials Regulations, has the same meaning as in 49 U.S.C. 5102(9) (formerly codified at 49 App. U.S.C. 1802(11), i.e., an individual, firm, co-partnership, corporation, company, as-sociation, joint-stock association, in-cludi

31、ng any trustee, receiver, assignee, or similar representative thereof, or government, Indian tribe, or authority of a government or tribe when offering hazardous material for transportation in commerce or transporting hazardous material to further a commercial en-terprise, but such term does not in-

32、clude the United States Postal Service or, for the purposes of 49 U.S.C. 5123 5124 (formerly contained in sections 110 and 111 of the Hazardous Materials Transportation Act and formerly codi-fied at 49 App. U.S.C. 18091810), a de-partment, agency, or instrumentality of the Federal Government. Pleadi

33、ng means any written submis-sion setting forth claims, allegations, arguments, or evidence. Presiding Officer means any person authorized to preside over any hearing or to make a decision on the record, in-cluding an administrative law judge. Railroad means any form of non-highway ground transportat

34、ion that runs on rails or electro-magnetic guideways, including (i) commuter or other short-haul railroad passenger service in a metropolitan or suburban area and commuter railroad service that was operated by the Consolidated Rail Corporation on January 1, 1979; and (ii) high speed ground transpor-

35、tation systems that connect metropoli-tan areas, without regard to whether those systems use new technologies not associated with traditional railroads; but does not include rapid transit oper-ations in an urban area that are not connected to the general railroad sys-tem of transportation. Railroad

36、carrier means a person pro-viding railroad transportation. Respondent means a person upon whom FRA has served a notice of prob-able violation, notice of investigation, or notice of proposed disqualification. 59 FR 43676, Aug. 24, 1994, as amended at 71 FR 77294, Dec. 26, 2006; 73 FR 72199, Nov. 26,

37、2008 209.5 Service. (a) Each order, notice, or other docu-ment required to be served under this part shall be served personally or by registered or certified mail, except as otherwise provided herein. (b) Service upon a persons duly au-thorized representative constitutes service upon that person. (c

38、) Service by registered or certified mail is complete upon mailing. An offi-cial United States Postal Service re-ceipt from the registered or certified mailing constitutes prima facie evi-dence of service. (d) Service of requests for admission and motions may be made by first-class mail, postage pre

39、paid. (e) Each pleading must be accom-panied by a certificate of service speci-fying how and when service was made. 42 FR 56742, Oct. 28, 1977, as amended at 54 FR 42906, Oct. 18, 1989 209.6 Requests for admission. (a) A party to any proceeding under subpart B, C, or D of this part may serve upon an

40、y other party written re-quests for the admission of the genu-ineness of any relevant documents identified within the request, the truth of any relevant matters of fact, and the application of law to the facts as set forth in the request. (b) Each matter of which an admis-sion is requested shall be

41、deemed to be admitted unless, within 30 days after receipt of the request, the party to whom the request is directed serves upon the party requesting the admis-sion a written answer under oath or ob-jection addressed to the matter, signed by the party. (c) The sworn answer shall specifi-cally admit

42、or deny the matter or set forth in detail the reasons why the an-swering party cannot truthfully admit VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00022 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networki

43、ng permitted without license from IHS-,-,-13 Federal Railroad Administration, DOT 209.7 or deny the matter. If an objection is made, the reasons therefor shall be stated. (d) Any matter admitted under this section is conclusively established un-less the presiding official permits with-drawal or amen

44、dment of the admission for good cause shown. (e) Upon motion, the presiding officer may order any party to respond to a re-quest for admission. 54 FR 42906, Oct. 18, 1989 209.7 Subpoenas; witness fees. (a) The Chief Counsel may issue a subpoena on his or her own initiative in any matter related to e

45、nforcement of the railroad safety laws. However, where a proceeding under subpart B, C, or D of this part has been initiated, only the presiding officer may issue subpoenas, and only upon the written request of any party to the proceeding who makes an adequate showing that the information sought wil

46、l materially advance the proceeding. (b) A subpoena may require attend-ance of a witness at a deposition or hearing or the production of documen-tary or other tangible evidence in the possession or control of the person served, or both. (c) A subpoena may be served person-ally by any person who is n

47、ot an inter-ested person and is not less than eight-een (18) years of age, or by certified or registered mail. (d) Service of a subpoena shall be made by delivering a copy of the sub-poena in the appropriate manner, as set forth below. Service of a subpoena requiring attendance of a person is not co

48、mplete unless delivery is accom-panied by tender of fees for one days attendance and mileage as specified by paragraph (f) of this section. However, when a subpoena is issued upon the re-quest of any officer or agency of the United States, fees and mileage need not be tendered at the time of service

49、 but will be paid by FRA at the place and time specified in the subpoena for attendance. Delivery of a copy of the subpoena may be made: (1) To a natural person by: (i) Handing it to the person; (ii) Leaving it at his or her office with the person in charge thereof; (iii) Leaving it at his or her dwelling place or usual place of abode with some person of suitable age and discretion then residing therein; (iv) Mailing it by reg