DOT 49 CFR PART 244-2010 REGULATIONS ON SAFETY INTEGRATION PLANS GOVERNING RAILROAD CONSOLIDATIONS MERGERS AND ACQUISITIONS OF CONTROL.pdf

1、939 Federal Railroad Administration, DOT 244.5 the Regional Administrator for Region 5 is: John.Megaryfra.dot.gov. (6) Region 6 consists of Nebraska, Iowa, Colorado, Kansas, and Missouri. The mailing address of the Regional Headquarters is: 911 Locust Street, Suite 464, Kansas City, Mis-souri 64106.

2、 The fax number is 8163293867. The E-mail address of the Regional Adminis-trator for Region 6 is: Dar-rell.Tisorfra.dot.gov. (7) Region 7 consists of California, Nevada, Utah, Arizona, and Hawaii. The mailing ad-dress of the Regional Headquarters is: 801 I Street, Suite 466, Sacramento, California 9

3、5814. The fax number is 9164986546. The E- mail address of the Regional Administrator for Region 7 is: Alvin.Settjefra.dot.gov. (8) Region 8 consists of Washington, Idaho, Montana, North Dakota, Oregon, Wyoming, South Dakota, and Alaska. The mailing ad-dress of the Regional Headquarters is: Murdock

4、Executive Plaza, 703 Broadway, Suite 650, Vancouver, Washington 98660. The fax number is 3606967548. The E-mail ad-dress of the Regional Administrator for Re-gion 8 is: Dick.Clairmontfra.dot.gov. 67 FR 75960, Dec. 10, 2002, as amended at 69 FR 30595, May 28, 2004 PART 244REGULATIONS ON SAFE-TY INTEG

5、RATION PLANS GOV-ERNING RAILROAD CONSOLIDA-TIONS, MERGERS, AND ACQUISI-TIONS OF CONTROL Subpart AGeneral Sec. 244.1 Scope, application, and purpose. 244.3 Preemptive effect. 244.5 Penalties. 244.7 Waivers. 244.9 Definitions. Subpart BSafety Integration Plans 244.11 Contents of a Safety Integration P

6、lan. 244.13 Subjects to be addressed in a Safety Integration Plan involving an amal-gamation of operations. 244.15 Subjects to be addressed in a Safety Integration Plan not involving an amal-gamation of operations. 244.17 Procedures. 244.19 Disposition. 244.21 Compliance and Enforcement. APPENDIX A

7、TO PART 244SCHEDULE OF CIVIL PENALTIES RESERVED AUTHORITY: 49 U.S.C. 20103, 20107, 21301; 5 U.S.C. 553 and 559; 28 U.S.C. 2461, note; and 49 CFR 1.49. SOURCE: 67 FR 11604, Mar. 15, 2002, unless otherwise noted. Subpart AGeneral 244.1 Scope, application, and pur-pose. (a) This part prescribes require

8、ments for filing and implementing a Safety Integration Plan with FRA whenever a Class I railroad proposes to consolidate with, merge with, or acquire control of another Class I railroad, or with a Class II railroad where there is a pro-posed amalgamation of operations. (b) The purpose of this part i

9、s to achieve a reasonable level of railroad safety during the implementation of transactions described in paragraph (a) of this section. This part does not pre-clude a railroad from taking additional measures not inconsistent with this part to provide for safety in connection with a transaction. (c)

10、 The requirements prescribed under this part apply only to FRAs disposition of a regulated transaction filed by an applicant. The transactions covered by this part also require sepa-rate filing with and approval by the Surface Transportation Board. See 49 CFR part 1106. 244.3 Preemptive effect. Unde

11、r 49 U.S.C. 20106, issuance of these regulations preempts any State law, regulation, or order covering the same subject matter, except an addi-tional or more stringent law, regula-tion, or order that: (a) Is necessary to eliminate or re-duce an essentially local safety hazard; (b) Is not incompatibl

12、e with a law, regulation, or order of the United States Government; and (c) Does not unreasonably burden interstate commerce. 244.5 Penalties. (a) Any person who violates any re-quirement of this part or causes the violation of any such requirement is subject to a civil penalty of at least $650, but

13、 not more than $25,000 per day, except that: Penalties may be assessed against individuals only for willful vio-lations, and, where a grossly negligent violation or a pattern of repeated vio-lations has created an imminent haz-ard of death or injury to persons, or has caused death or injury, a penal

14、ty not to exceed $100,000 per violation may VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00949 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-940 49 CFR Ch. II

15、 (10110 Edition) 244.7 be assessed. Each day a violation con-tinues shall constitute a separate of-fense. (b) As specified in 244.21, FRA may also exercise any of its other enforce-ment remedies if a railroad fails to comply with 244.21. (c) Any person who knowingly and willfully makes a false entry

16、 in a record or report required by this part shall be subject to criminal penalties under 49 U.S.C. 21311. 67 FR 11604, Mar. 15, 2002, as amended at 69 FR 30595, May 28, 2004; 72 FR 51198, Sept. 6, 2007; 73 FR 79705, Dec. 30, 2008 244.7 Waivers. (a) A person subject to a requirement of this part may

17、 petition the Adminis-trator for a waiver of compliance with any requirement of this part. The filing of such a petition does not affect that persons responsibility for compliance with that requirement pending action on such a petition. (b) Each petition for a waiver under this section must be filed

18、 in the man-ner and contain the information re-quired by part 211 of this chapter. (c) If the Administrator finds that a waiver of compliance is in the public interest and is consistent with railroad safety, the Administrator may grant the waiver subject to any conditions the Administrator deems nec

19、essary. (d) The procedures governing a peti-tion for a waiver that are prescribed under this part apply only to FRAs disposition of such a petition. A person seeking a waiver of a Surface Transpor-tation Board regulation would need to file a petition for a waiver with the Board. (See 49 CFR 1106.5.)

20、 244.9 Definitions. As used in this part Administrator means the Adminis-trator of the Federal Railroad Admin-istration or the Administrators dele-gate. Amalgamation of operations means the migration, combination, or unification of one set of railroad operations with another set of railroad operatio

21、ns, in-cluding, but not limited to, the alloca-tion of resources affecting railroad op-erations (e.g., changes in personnel, track, bridges, or communication or signal systems; or use or deployment of maintenance-of-way equipment, loco-motives, or freight or passenger cars). Applicant means a Class

22、I railroad or a Class II railroad engaging in a trans-action subject to this part. Best practices means measures that are tried, tested, and proven to be the safest and most efficient rules or in-structions governing railroad oper-ations. Class I or Class II railroad has the meaning assigned by regu

23、lations of the Surface Transportation Board (49 CFR part 1201; General Instructions 11), as those regulations may be revised by the Board (including modifications in class thresholds based on the revenue deflator formula) from time to time. Corporate culture means the totality of the commitments, wr

24、itten and oral directives, and practices that make up the way a railroads management and its employees operate their railroad. Control means actual control, legal control, or the power to exercise con-trol through: (1) Common directors, officers, stock-holders, a voting trust, or a holding or invest

25、ment company, or (2) Any other means. See 49 U.S.C. 10102. Consolidation means the creation of a new Class I railroad by combining ex-isting Class I railroads or a Class I rail-road and a Class II railroad where there is an amalgamation of operations, or by a railroad or a corporate parent of a Clas

26、s I railroad taking over the assets or assuming the liabilities, or both, of another Class I railroad such that the resulting unified entity has the com-bined capital, powers, and subsidiaries and affiliates, if applicable, of all of its constituents. Environmental documentation means either an Envi

27、ronmental Assessment or Environmental Impact Statement prepared in accordance with the Sur-face Transportation Boards environ-mental rules at 49 CFR part 1105. Merger means the acquisition of one Class I railroad or Class II railroad where there is amalgamation of oper-ations by a Class I railroad s

28、uch that the acquiring railroad or a corporate parent of that railroad acquires the stock, assets, liabilities, powers, sub-sidiaries and affiliates of the railroad acquired. VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00950 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYB

29、LC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-941 Federal Railroad Administration, DOT 244.13 Person means an entity of any type covered under 1 U.S.C. 1, including the following: A railroad; a manager, su-pervisor, official, or oth

30、er employee or agent of a railroad; any owner, manu-facturer, lessor, or lessee of railroad equipment, track, or facilities; any independent contractor providing goods or services to a railroad; and any employee of such owner, manufacturer, lessor, lessee, or independent con-tractor. Railroad means

31、any form of non-high-way ground transportation that runs on rails or electromagnetic guideways, including: (1) Commuter or other short-haul rail passenger service in a metropolitan or suburban area; and (2) High speed ground transportation systems that connect metropolitan areas, without regard to w

32、hether those systems use new technologies not asso-ciated with traditional railroads. The term does not include rapid transit op-erations in an urban area that are not connected to the general railroad sys-tem of transportation. Safety Integration Plan means a com-prehensive written plan submitted t

33、o and approved by FRA in compliance with this part that demonstrates in re-quired detail how an applicant will pro-vide for safe railroad operations during and after any transaction covered by this part, and otherwise assure compli-ance with the Federal railroad safety laws. Section of Environmental

34、 Analysis or SEA means the Section of the Sur-face Transportation Board that pre-pares its environmental documentation and analyses. Transaction means a consolidation, merger, or acquisition of control sub-ject to the requirements of this part. Subpart BSafety Integration Plans 244.11 Contents of a

35、Safety Integra-tion Plan. Each Safety Integration Plan shall contain the following information for each subject matter identified in 244.13 or 244.15: (a) A detailed description of how the applicant differs from each railroad it proposes to acquire or with which the applicant proposes to consolidate

36、 or merge, including the rules or instruc-tions governing railroad operations of these railroads; (b) A detailed description of the pro-posed manner of operations of the re-sulting railroad, including a reconcili-ation of the differing rules or instruc-tions governing railroad operations of the rail

37、roads involved in the trans-action; (c) The measures to be taken to com-ply with applicable Federal railroad safety laws and regulations; (d) The proposed specific measures, expressed step-by-step, for each rel-evant subject matter that the appli-cant believes will result in safe imple-mentation of

38、the proposed transaction consistent with the requirements of this part; (e) The allocation of resources, ex-pressed as human and capital resources within designated operating budgets, directed to complete safety-relevant operations subject to the transaction; and (f) The timetable, targeted in speci

39、fic terms from commencement to comple-tion, for implementing paragraphs (c), (d) and (e) of this section. 244.13 Subjects to be addressed in a Safety Integration Plan involving an amalgamation of operations. Each Safety Integration Plan involv-ing an amalgamation of operations shall address the foll

40、owing subjects for railroad operations conducted on prop-erty subject to the transaction: (a) Corporate culture. Each applicant shall: (1) Identify and describe differences for each safety-related area between the corporate cultures of the railroads involved in the transaction; (2) Describe how thes

41、e cultures lead to different practices governing rail op-erations; and (3) Describe, in step-by-step meas-ures, the integration of these corporate cultures and the manner in which it will produce a system of best prac-tices when the transaction is imple-mented. (b) Training. Each applicant shall ide

42、ntify classroom and field courses, lectures, tests, and other educational VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00951 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license

43、from IHS-,-,-942 49 CFR Ch. II (10110 Edition) 244.13 or instructional forums designed to en-sure the proficiency, qualification, and familiarity with the operating rules and operating tasks of territory as-signed of the following employees, ei-ther when these employees are as-signed to a new territ

44、ory or the oper-ating rules on a given territory are changed: (1) Employees who perform train and engine service; (2) Employees who inspect and main-tain track and bridges; (3) Employees who inspect, maintain and repair any type of on-track equip-ment, including locomotives, passenger cars, and frei

45、ght cars of all types; (4) Dispatchers or operators; (5) Employees who inspect and main-tain signal and train control devices and systems; (6) Hazardous materials personnel, including information technology per-sonnel who affect the transportation of hazardous materials; (7) Employees who maintain o

46、r up-grade communication systems affect-ing rail operations; and (8) Supervisors of employees enumer-ated in paragraphs (b)(1) through (7) of this section. (c) Operating practices(1) Operating rules. Each applicant shall identify the operating rules, timetables, and time-table special instructions t

47、o govern railroad operations, including yard or terminal operations and freight or pas-senger service. (2) Alcohol and drug. Each applicant shall identify the post-accident toxi-cological testing, reasonable cause testing, and random alcohol and drug testing programs as required under 49 CFR part 21

48、9. (3) Qualification and certification of lo-comotive engineers. Each applicant shall identify the program for qualifying and certifying locomotive engineers under 49 CFR part 240. (4) Hours of service laws. Each appli-cant shall identify the procedures for complying with the Federal hours of servic

49、e laws and related measures to minimize fatigue of employees covered by 49 U.S.C. chapter 211. (d) Motive power and equipment. Each applicant shall identify the qualifica-tion standards for employees who in-spect, maintain, or repair railroad freight or passenger cars and loco-motives, and the designated facilities used, or to be used, to repair such equipment. (e) Signal and train control. Each ap-plicant shall identify the signal an