Control of Alcohol and Drug Use: Coverage of Mechanical Employees and Miscellaneous Amendments, 5719-5737 [2022-01985]
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Federal Register / Vol. 87, No. 22 / Wednesday, February 2, 2022 / Rules and Regulations
332.7002
Policy.
(a) Contracts shall require the
electronic submission of payment
requests, except for—
(1) Purchases paid for with a
Government-wide commercial purchase
card; and
(2) Classified contracts or purchases
when electronic submission and
processing of payment requests could
compromise classified information or
national security.
(b) Where a contract otherwise
requires the electronic submission of
invoices, the Contracting Officer may
authorize alternate procedures only if
the Contracting Officer makes a written
determination that:
(1) The Department of Health and
Human Services (HHS) is unable to
receive electronic payment requests or
provide acceptance electronically;
(2) The contractor has demonstrated
that electronic submission would be
unduly burdensome; or
(3) The contractor is in the process of
transitioning to electronic submission of
payment requests, but needs additional
time to complete such transition.
Authorizations granted on the basis of
this paragraph (b)(3) must specify a date
by which the contractor will transition
to electronic submission.
(c) Except as provided in paragraphs
(a) and (b) of this section, HHS officials
shall process electronic payment
submissions through the Department of
the Treasury Invoice Processing
Platform or successor system.
(d) If the requirement for electronic
submission of payment requests is
waived under paragraph (a)(2) or (b) of
this section, the contract or alternate
payment authorization, as applicable,
shall specify the form and method of
payment request submission.
332.7003
Contract clause.
Except as provided in 332.7002(a),
use the clause at 352.232–71, Electronic
Submission of Payment Requests, in all
solicitations and contracts.
PART 352—SOLICITATIONS
PROVISIONS AND CONTRACT
CLAUSES
3. The authority citation for part 352
continues to read as follows:
■
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Authority: 5 U.S.C. 301; 40 U.S.C.
121(c)(2).
4. Add section 352.232–71 to read as
follows:
■
352.232–71 Electronic submission of
payment requests
As prescribed in HHSAR 332.7003,
use the following clause:
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Electronic Submission of Payment Requests
(a) Definitions. As used in this clause—
Payment request means a bill, voucher,
invoice, or request for contract financing
payment with associated supporting
documentation. The payment request must
comply with the requirements identified in
FAR 32.905(b), ‘‘Content of Invoices’’ and the
applicable Payment clause included in this
contract.
(b) Except as provided in paragraph (c) of
this clause, the Contractor shall submit
payment requests electronically using the
Department of Treasury Invoice Processing
Platform (IPP) or successor system.
Information regarding IPP, including IPP
Customer Support contact information, is
available at www.ipp.gov or any successor
site.
(c) The Contractor may submit payment
requests using other than IPP only when the
Contracting Officer authorizes alternate
procedures in writing in accordance with
HHS procedures.
(d) If alternate payment procedures are
authorized, the Contractor shall include a
copy of the Contracting Officer’s written
authorization with each payment request.
(End of Clause)
Xavier Becerra,
Secretary.
[FR Doc. 2022–02134 Filed 2–1–22; 8:45 am]
BILLING CODE 4151–19–P
DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
49 CFR Part 219
[Docket No. FRA–2019–0071, Notice No. 2]
RIN 2130–AC80
Control of Alcohol and Drug Use:
Coverage of Mechanical Employees
and Miscellaneous Amendments
Federal Railroad
Administration (FRA), Department of
Transportation (DOT).
ACTION: Final rule.
AGENCY:
As mandated by the
Substance Use-Disorder Prevention that
Promotes Opioid Recovery and
Treatment for Patients and Communities
Act (SUPPORT Act or Act), FRA is
expanding the scope of its alcohol and
drug regulation to cover mechanical
employees. This rule clarifies who FRA
considers a mechanical employee for
regulatory purposes, and adopts
proposed technical amendments.
DATES: This rule is effective March 4,
2022.
ADDRESSES: Docket: For access to the
docket to read background documents
or comments received, go to https://
www.regulations.gov.
SUMMARY:
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FOR FURTHER INFORMATION CONTACT:
Gerald Powers, Drug and Alcohol
Program Manager, Office of Railroad
Safety—Office of Technical Oversight,
telephone: 202–493–6313, email:
gerald.powers@dot.gov; Sam Noe, Drug
and Alcohol Specialist, Office of
Railroad Safety—Office of Technical
Oversight, telephone: 615–719–2951,
email: sam.noe@dot.gov; or Patricia V.
Sun, Attorney Adviser, Office of Safety
Law, telephone: 202–493–6060, email:
patricia.sun@dot.gov.
SUPPLEMENTARY INFORMATION:
Table of Contents for Supplementary
Information
I. Executive Summary
II. Discussion of General Comments and
Conclusions
A. FRA’s Proposed Mechanical Employee
Definition
1. Summary
2. Fourth Amendment Implications
3. Decrease in Random Testing Deterrence
4. Consistency With the SUPPORT Act
5. Consistency With the MOW Employee
Definition
6. Treatment of Employees Subject to Part
209
B. Pre-Employment Testing
C. Initial Mechanical Employee Annual
Random Testing Rates
D. Post-Accident Toxicological Testing
E. Effective Date of Final Rule and
Timetable for Submitting Random
Testing Plans for MECH Employees
III. Section-by-Section Analysis
IV. Regulatory Impact and Notices
A. Executive Order 12866 and DOT
Regulatory Policies and Procedures
B. Regulatory Flexibility Act and Executive
Order 13272; Certification
C. Paperwork Reduction Act
D. Environmental Impact
E. Executive Order 12898 (Environmental
Justice)
F. Federalism Implications
G. Unfunded Mandates Reform Act of 1995
H. Energy Impact
I. Tribal Consultation
I. Executive Summary
In Section 8102(a) of the SUPPORT
Act,1 Congress mandated FRA (as the
Secretary of Transportation’s delegate)
include ‘‘all employees of railroad
carriers who perform mechanical
activities’’ (MECH employee(s)) in its
alcohol and drug regulation, 49 CFR
part 219. In section 8102(b) of the Act,
Congress directed FRA to define
mechanical activities for purposes of
part 219 coverage. On January 8, 2021,
FRA published a Notice of Proposed
Rulemaking (NPRM) in response to this
mandate.2 FRA received comments on
the NPRM from four organizations
(including one joint filing) and 12
1 Public
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individuals. This final rule addresses
those comments and amends part 219,
as proposed, by defining a MECH
employee as any employee who, on
behalf of a railroad, performs
mechanical tests or inspections required
by the following FRA regulations:
Railroad Freight Car Safety Standards
(49 CFR part 215), Rear End Marking
Device—Passenger, Commuter and
Freight Trains (49 CFR part 221),
Railroad Locomotive Safety Standards
(49 CFR part 229), Steam Locomotive
Inspection and Maintenance Standards
(49 CFR part 230), Brake System Safety
Standards for Freight and Other NonPassenger Trains and Equipment; Endof-Train Devices (49 CFR part 232), and
Passenger Equipment Safety Standards
(49 CFR part 238). In addition, as
discussed in the Section-by-Section
Analysis, the definition also includes
any such employee who performs
mechanical tests or inspections required
by the Texas Central Railroad HighSpeed Rail Safety Standards (49 CFR
part 299). Defining a MECH employee as
one who performs these required tests
or inspections properly limits part 219
coverage to those mechanical
department employees who perform
functions that most directly affect
safety. An employee who conducts tests
or inspections provides the last safety
check on railroad rolling equipment
before its operation. Final tests or
inspections, if not performed or if
performed improperly, could lead to
single points of failure in the
mechanical safety process. An employee
who performs a Federally mandated
‘‘last look’’ at the equipment, whether or
not it has undergone any repair,
maintenance, or servicing work, is
responsible for ensuring that the
equipment is compliant with Federal
regulations and safe for use.
By amending the term ‘‘regulated
employee’’ to include MECH employees,
FRA is making them subject to all part
219 prohibitions and testing (preemployment, random, post-accident
toxicological (PAT), reasonable
suspicion, return-to-duty, and followup). Railroads, contractors, and
subcontractors must comply with the
same reporting, recordkeeping, and
referral requirements for MECH
employees, as for covered service and
MOW employees.
In addition to changes to part 219
directly related to the addition of MECH
employees, this final rule also makes
other changes to part 219, as proposed
in the NPRM.
FRA has analyzed the economic
impact of this final rule. FRA estimated
the costs associated with random
testing, reasonable cause/reasonable
suspicion testing, pre-employment drug
testing, and Government administrative
costs.3 As shown in the following table,
over the 10-year period of analysis, the
final rule will result in total costs of
approximately $10.7 million (Present
Value (PV) 7%).
TOTAL 10-YEAR COSTS 4
Total cost,
7 percent
($)
Category
Total cost,
3 percent
($)
Annualized
cost,
7 percent
($)
Annualized
cost,
3 percent
($)
Pre-Employment ..............................................................................................
Random Testing ..............................................................................................
Reasonable Cause and Reasonable Suspicion ..............................................
Government Administrative Cost .....................................................................
1,621,930
7,987,551
261,670
866,431
1,896,210
9,038,433
305,921
1,012,950
230,926
1,137,248
37,256
123,360
222,294
1,059,580
35,863
118,749
Total ..........................................................................................................
10,737,582
12,253,514
1,528,790
1,436,486
The benefits of the final rule will
come from reducing the number of
mechanical employees who have a
substance use disorder (SUD). FRA has
determined that testing programs
provide a deterrent effect to the misuse
of alcohol and use of illicit drugs. This
deterrence will reduce the number of
existing mechanical employees with an
SUD. Employee SUDs have an array of
associated costs, including lost
productivity, absenteeism, low morale,
increased illness, and accidents. The
deterrent effect of testing will induce
mechanical employees with an SUD to
modify their behavior with regard to the
misuse of alcohol and/or use of illicit
drugs. Pre-employment drug testing will
prevent individuals with SUDs from
being hired as mechanical employees.
Random testing and reasonable cause/
suspicion testing will allow railroads to
identify mechanical employees with
SUDs so that they can address those
safety issues through rehabilitation or
termination of employment.
As shown in the following table, over
a 10-year period of analysis, the final
rule will result in total benefits of $41.0
million (PV 7%).
TOTAL 10-YEAR BENEFITS
Total benefit,
7 percent
($)
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Category
Total benefit,
3 percent
($)
Annualized
benefit,
7 percent
($)
Annualized
benefit,
3 percent
($)
Deterrent Effect ................................................................................................
Pre-Employment ..............................................................................................
Random Testing ..............................................................................................
Reasonable Cause and Reasonable Suspicion ..............................................
37,732,478
1,759,972
1,251,224
209,520
44,113,296
2,096,798
1,432,169
249,619
5,372,256
250,580
178,146
29,831
5,171,424
245,809
167,894
29,263
Total ..........................................................................................................
40,953,195
47,891,881
5,830,814
5,614,390
3 The final rule will not create new costs
associated with PAT testing for mechanical
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employees as they are already subject to part 219
PAT requirements.
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may not add due to rounding.
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II. Discussion of General Comments
and Conclusions
FRA received comments from 12
individuals and 4 organizations in
response to the NPRM. While FRA has
considered all of the comments
submitted, FRA is not identifying
comments from individuals in the
discussion below as they were generally
supportive of the rule or raised
unrelated issues outside of its scope
such as the opioid epidemic and
marijuana legalization.
The American Public Transportation
Association (APTA), the National
Transportation Safety Board (NTSB),
and in a joint submission, the
Association of American Railroads
(AAR) and the American Short Line and
Regional Railroad Association
(ASLRRA), submitted comments on the
NPRM. Rail labor did not comment on
FRA’s proposal.
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A. FRA’s Proposed Mechanical
Employee Definition
1. Summary
A common thread among the railroad
commenters was that FRA should
expand its proposed MECH employee
definition to include all mechanical
department employees, without
qualifications or limitations on the
functions or duties these employees
perform. APTA supported the addition
of employees who repair, service, and
maintain railroad rolling equipment,
while the NTSB reiterated Safety
Recommendation R–08–7, which
advocates coverage of all employees
who perform safety-sensitive functions,
as defined in § 209.303. FRA will
address the APTA and NTSB comments
below.
AAR/ASLRRA asserted that FRA
should include all employees who
perform mechanical duties involving
railroad rolling equipment in the
definition of MECH employee, stating
that other FRA safety regulations, such
as training standards (49 CFR part 243)
and blue signal protection (49 CFR part
218), define mechanical employees to
include those who perform repair,
service, and maintenance functions.
AAR had submitted a petition for
rulemaking requesting part 219 coverage
of mechanical employees in 2018.5
AAR/ASLRRA also stated that
employees who perform repair, service,
and maintenance functions have the
same risk exposure as employees who
inspect and test rolling equipment, as
they also work on, under or between
rolling equipment. Moreover, employees
who fuel locomotives, replenish engine
oils and water, clean and/or supply
locomotives, check car lading, and load/
unload freight cars, perform work with
and around railroad rolling equipment.
According to AAR/ASLRRA, both
groups are subject to personal injury if
impaired while on-duty, and have the
potential to cause safety-related
accidents and incidents.
Finally, while laborers and hostlers
who operate locomotives are already
regulated employees under part 219,
AAR/ASLRRA suggested that FRA
consider them MECH employees even if
railroads later decide to remove their
locomotive operation duties, because
they would continue to be exposed to
the risks of working with and around
rolling stock.
FRA is not persuaded that this rule
should anticipate speculative railroad
work policies. And, as discussed further
below, although the purpose of part 219
in general, and random testing in
particular, is to encourage safety by
deterring workplace substance abuse, it
is not an employee safety rule.
Moreover, if FRA were to include
every employee who performs
mechanical activities without qualifying
distinctions, part 219 would cover
employees whose tasks are too
attenuated from rail safety to constitute
a direct risk, such as employees who
fuel, clean, and supply locomotives, or
retrieve and fulfill parts orders. As
discussed below, FRA has both 4th
Amendment and programmatic
concerns about subjecting these
employees to random testing.
2. Fourth Amendment Implications
In Skinner v. Railway Labor
Executives’ Association,6 the Supreme
Court held that the collection and
analysis of biological samples for FRA
mandated or authorized drug and
alcohol tests are 4th Amendment
searches. The Court, in upholding FRA
PAT and reasonable suspicion testing,
found both searches reasonable because
FRA’s compelling interest in rail safety
outweighed the privacy interests of
railroad employees performing safetysensitive tasks.
Although Skinner did not address the
Constitutionality of random testing,
several months later, a decision by the
U.S. District Court for the District of
Columbia reinforced that a direct safety
nexus was crucial to sustain the
workplace testing of employees. In
Transportation Institute, et al. v. United
States Coast Guard, et al.,7 the Court
enjoined implementation of the random
testing part of a U.S. Coast Guard final
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rule 8 that established its workplace
testing program. The Coast Guard had
required, with limited exceptions, all
crewmembers serving on board a
commercial vessel to be subject to
random testing, to include not only
those employees whose ordinary duties
directly affected the safety of vessel
navigation and operations, but also any
who could be assigned safety-critical
tasks in an emergency. In holding the
program was over-inclusive and
violative of the 4th Amendment, the
Court found that the Coast Guard had
impermissibly covered maintainers,
cooks, messmen, and other employees
whose tasks were insufficiently tied to
safety to justify their inclusion in
random testing. The Coast Guard, in lieu
of appealing the decision, suspended
implementation of its random testing
program and published another final
rule which narrowed the focus of its
random testing program to employees
who performed functions directly
affecting the safety of vessel operations
or the emergency safety of passengers.9
Similarly, the expansion of the MECH
employee definition to include all
employees who perform mechanical
activities would add mechanical
department employees who, as
examples, fuel, clean, and supply
locomotives, or retrieve and fulfill parts
orders, as noted above. The addition of
these employees, and others who
perform mechanical activities that do
not directly affect safety, would
impermissibly broaden the scope of part
219 beyond the workplace testing limits
set by these decisions.
3. Decrease in Random Testing
Deterrence
The inclusion of employees who
repair, service, or maintain rail rolling
stock would lessen the impact of
random testing, FRA’s strongest
deterrence tool against railroad
workplace substance abuse. The FRA
random drug positive rate has declined
from a high of 0.94% in 2004 to 0.51%
in 2020, even with the addition of
maintenance-of-way (MOW) activities to
regulated service in 2017 and synthetic
opioid pain medications to the testing
panel in 2018. FRA has consistently
refined its random testing pool design
requirements to improve the probability
of a railroad selecting and testing
employees who directly affect safety.
For example, a railroad must
periodically review its random testing
pools to detect and remove employees
who perform regulated service on a de
minimis (less than quarterly) basis. In
8 53
9 56
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FR 31034, July 8, 1991.
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its final rule adding MOW employees to
part 219 coverage,10 FRA specified pool
size minimums and other requirements
to improve the efficacy of random
testing.
Adoption of the commenters’
requested definition would add
thousands of mechanical department
employees, such as locomotive servicing
employees and shop laborers, who
perform functions only tangentially
related to rail safety. The inclusion of
these employees would ‘‘dilute’’
mechanical employee pools by adding
random testing selections that would
displace those of employees who
directly impact rail safety.
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4. Consistency With the SUPPORT Act
AAR/ASLRRA, APTA, and NTSB
asserted that FRA’s proposed definition,
by covering some, but not all,
mechanical department employees was
inconsistent with section 8102 of the
Act. FRA notes, however, that as a
corollary to section 8102(a)’s mandate to
cover MECH employees, section 8102(b)
authorized FRA to define mechanical
activities. Had Congress intended FRA
to cover mechanical department
employees without restrictions, the Act
would not have qualified section
8102(a)’s mandate with section
8102(b)’s direction for FRA to
determine, and thus limit, which
functions constitute mechanical
activities for purposes of part 219
coverage. Under the Act’s own terms,
the final rule complies with both
subsections of section 8102.
5. Consistency With the MOW
Employee Definition
APTA suggested an alternate
definition, under which a MECH
employee would be ‘‘[a]ny employee of
a railroad whose duties include
inspection, testing, maintenance or
repair of railroad rolling equipment or
its components.’’ As explanation, APTA
stated that: This language would make
FRA’s MECH and MOW employee
definitions more consistent; substituting
‘‘whose duties include’’ for ‘‘performs’’
would remove the need to track
employees who perform tests and
inspections for purposes of determining
random testing pool inclusion; and poor
performance of maintenance and
repairs, which it asserts are safetycritical tasks, could go undetected
during daily and periodic inspections
and tests. AAR/ASLRRA also
commented that FRA’s proposed
treatment of MECH employees differed
from its treatment of MOW employees
who, as ‘‘roadway workers,’’ are defined
10 81
FR 37894, June 10, 2016.
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in § 214.7 to include employees who
maintain or repair railroad track and
other structures.
Yet, the Act neither addresses, nor
requires, consistency between part 219’s
MECH employee and MOW employee
definitions. In its final rule
incorporating MOW employees,11 FRA
adopted the roadway worker definition
in § 214.7 of its Railroad Workplace
Safety regulation, Roadway Worker
Protection (subpart C of 49 CFR part
214). FRA adopted this longstanding
definition because the railroad industry
was already familiar with its meaning
and application. In contrast, there is no
pre-existing definition of MECH
employee, and FRA is authorized to
define the term as it deems appropriate.
As FRA states in § 219.1, the purpose
of its alcohol and drug regulation is to
prevent accidents and casualties related
to substance abuse in rail operations. In
§ 214.301, however, FRA states that the
purpose of its roadway worker
protection regulation is, as implied by
its subpart’s heading, to prevent moving
equipment-related accidents and
casualties to roadway workers. Part 219,
like all workplace testing rules, focuses
on deterrence and detection of on-duty
use and impairment, to improve the
safety of rail employees generally, while
part 214 focuses on operating rules to
improve the safety of roadway
employees specifically. FRA’s
mechanical regulations (e.g., part 215)
set minimum Federal safety standards
for rail equipment. While these rules
specify equipment requirements that
promote a safe working environment for
all employees, their stated purposes do
not specifically include MECH
employee safety.
FRA is expanding the scope of part
219, a workplace safety rule, to include
MECH employees who work with
railroad equipment subject to numerous
workplace safety rules. Subpart C of part
214’s stated purpose, to protect the
safety of an individual category of
employees, is unique to roadway
workers/MOW employees. Aside from
their consecutive incorporation as noncovered service employee categories,
there is no equivalency between MOW
and MECH employees, and no reason to
make their definitions consistent. In
addition, part 214 and FRA’s
mechanical regulations do not have the
burden of balancing 4th Amendment
rights and safety that must be
considered when defining a regulated
service function in part 219.
11 81
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6. Treatment of Employees Subject to
Part 209
While pleased that FRA was
proposing to expand the scope of part
219, the NTSB expressed
disappointment that FRA’s proposal
would not satisfy Safety
Recommendation R–08–7,12 which
recommends the inclusion not only of
employees who repair or maintain
railroad rolling equipment, but all
railroad employees and agents who
perform the training, testing, and
supervision roles described in § 209.303
(subpart D of 49 CFR part 209, Railroad
Safety Enforcement Procedures).
However, the NTSB acknowledged that
it may be appropriate, on a limited
basis, to exempt certain employees who
perform only specific minor repair or
maintenance tasks from the MECH
employee definition in the final rule,
following the example of paragraph
(1)(ii) of the proposed MECH employee
definition.
As further background, on April 10,
2008, the NTSB issued Safety
Recommendations R–08–5 through R–
08–7 to FRA.13 At that time, part 219
coverage extended only to covered
service employees. All three
recommendations stemmed from a
January 9, 2007, Massachusetts Bay
Transportation Authority accident,
which killed two MOW employees and
seriously injured two others. (FRA
discussed this accident and its
corresponding NTSB accident report
(NTSB RAR–08/01 14) in its MOW
rulemaking.15) The NTSB stated:
The FRA data from postaccident alcohol
and drug testing indicate that maintenanceof-way employees are about three times more
likely to have positive test results than are
covered employees (19.23 percent vs. 6.56
percent). This difference is attributable 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 Safety Board concludes that the
FRA’s random alcohol and drug testing
program has been a deterrent to alcohol and
drug use by covered employees, as evidenced
by their significantly lower positive rate in
postaccident tests than maintenance-of-way
employees who are not subject to random
testing. Limiting the applicability of alcohol
and drug testing to only ‘‘hours-of-service’’
employees restricts the potential
effectiveness of the FRA rule to control
alcohol and drug use. All employees and
agents in safety-sensitive positions should be
12 https://data.ntsb.gov/carol-main-public/srdetails/R-08-007.
13 https://www.ntsb.gov/safety/safety-recs/
recletters/R08_05_07.pdf.
14 https://www.ntsb.gov/investigations/
AccidentReports/Pages/RAR0801.aspx.
15 79 FR 43830 (July 28, 2014), 81 FR 37894 (June
10, 2016).
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subject to all the provisions of 49 Code of
Federal Regulations (CFR) Part 219.
Therefore, the Safety Board recommends that
the FRA revise the definition of ‘‘covered
employee’’ under 49 CFR part 219 for
purposes of Congressionally mandated
alcohol and controlled substances testing
programs to encompass all employees and
agents performing safety-sensitive functions,
as described in 49 CFR 209.301 and 209.303.
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In § 209.303, FRA identified the
individuals in the rail industry who
would be subject to disqualification by
specifying the functions these
individuals performed.16 While
§ 209.303 includes individuals who
train and test employees, individuals
who conduct FRA-mandated training
and testing may do so without
approaching railroad track, equipment,
or roadbed. Moreover, part 209 is a rule
of general applicability, which lists the
individuals subject to FRA’s individual
liability, disqualification, and subpoena
powers. The NTSB does not provide a
direct correlation between the functions
identified for purposes of
disqualification and individual liability
and the functions identified for
purposes of random alcohol or drug
testing. Without further justification
from the NTSB, it is unclear how the
performance of the excluded § 209.303
functions impacts rail safety, or why
FRA should include all employees
subject to § 209.303 under part 219.
APTA also recommended that FRA
include foremen, general foremen,
supervisors, general supervisors, and
others who directly supervise or oversee
employees performing mechanical
activities. Because FRA’s MECH
employee definition determines
coverage by function, not title, these
employees would be performing
regulated service if they sign-off on
inspections, or test safety-critical
systems or components.
B. Pre-Employment Testing
APTA requested that FRA exempt
MECH employees from the required
two-year retrospective alcohol and drug
records check for new and first-time
transfers in § 40.25 of DOT’s Procedures
for Transportation Workplace Drug and
Alcohol Testing Programs (49 CFR part
40, cross-referenced in part 219 in
§ 219.701(a)). Section 40.25 requires an
employer to check an employee’s
previous two years of DOT drug and
alcohol testing results within 30 days of
when the employee performs safetysensitive duties for that employer for the
first time. FRA cannot grant an
exemption from § 40.25 for MECH
16 54 FR 48924, Oct. 18, 1989, implementating in
part the Rail Safety Improvement Act of 1988,
Public Law 100–342 (June 22, 1988).
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employees, which APTA acknowledged
is a requirement set by DOT’s Office of
Drug and Alcohol Policy and
Compliance (ODAPC). Section 40.5
authorizes only ODAPC and the DOT
Office of General Counsel to issue
official interpretations of part 40.
FRA is, however, exempting current
MECH employees from pre-employment
drug testing. Only MECH employees
hired by a railroad, or a railroad
contractor or subcontractor, after the
effective date of this final rule will be
required to have a negative DOT preemployment drug test before performing
regulated service for the first time. As
with MOW employees, this exemption
applies only so long as the MECH
employee continues to perform work for
the same DOT-regulated employer. An
initially exempted MECH employee
must have a negative DOT preemployment drug test result before
performing regulated service for a
different or additional DOT-regulated
employer.
Moreover, consistent with part 219’s
treatment of MOW employees, FRA is
not requiring a contractor or
subcontractor employee who performs
MECH activities for multiple railroads
to have a negative Federal preemployment drug test result for each
railroad, provided that the contractor or
subcontractor employee has a negative
Federal pre-employment drug test result
on file with the contractor who is his or
her direct employer.
C. Initial Mechanical Employee Annual
Random Testing Rates
FRA is setting the initial minimum
annual random testing rates for MECH
employees at 50 percent for drugs and
25 percent for alcohol, as it did for
MOW and covered service employees
when they first became subject to FRA
testing. See § 219.625(c). FRA will
create an independent Management
Information System (MIS) database of
industry-wide MECH employee positive
and violation rates to set future
minimum annual random testing rates,
and will maintain its initial random
testing rates for MECH employees until
it has received two complete years of
MIS data for this new category. An
employer who is required to submit an
annual MIS report may place its MECH
employees in a commingled pool so
long as the employer reports its results
under the correct safety-sensitive
category.
D. Post-Accident Toxicological Testing
In 2019, FRA published on its website
a PAT testing application (app) which
can be downloaded for free in both iOS
and Android formats. The app contains
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5723
guidance, among other resources, for
determining whether an accident or
incident qualifies as a PAT testing event
and, if it does, which employees should
be tested. FRA had proposed to remove
appendix B, which designates its PAT
testing laboratory, and appendix C,
which contains its PAT specimen
collection procedures, from part 219, in
favor of making the information
contained in both appendices kept in
traditional hardcopy form in the actual
testing kits and available on its app,
where PAT guidance is already
available.
AAR/ASLRRA asserted that appendix
C should remain in part 219 because
railroads are responsible for compliance
with its instructions and procedures.
FRA notes that a railroad representative
is unlikely to consult appendix C until
a PAT testing event has occurred, and
PAT testing kits will, as always, contain
up-to-date and accurate reference copies
of information otherwise contained in
both appendices. Furthermore, an onsite supervisor conducting a preliminary
field accident investigation can readily
access the information contained in
(former) appendix C on FRA’s app,
which is intended to be a one-stop
resource for information on PAT
determinations and collections.
AAR/ASLRRA also asked how FRA
will notify railroads of future changes to
the information otherwise contained in
(former) appendices B and C. FRA will
announce these changes on its drug and
alcohol page, at https://
railroads.dot.gov/divisions/
partnerships-programs/drug-andalcohol, and in its app. In addition, FRA
maintains an individual inventory
number for each PAT testing box it has
issued, and will distribute updates to
box holders (primarily railroad DERs
(Designated Employee Representatives))
as necessary as it has done in the past.
For example, all box holders will
automatically receive new mailing
labels upon FRA’s selection of a
different contracted PAT testing
laboratory.
AAR/ASLRRA requested that FRA
add PAT testing protocols specifically to
address the PAT testing of MECH
employees, noting that unlike other
regulated employees who have real-time
involvement with railroad accidents,
MECH employees frequently perform
their functions well in advance of a
qualifying event. This is unnecessary.
FRA’s requirements for PAT drug
testing to be conducted within four
hours of an event, and no later than 24
hours after its occurrence, apply to all
PAT testing events. If a railroad is
unable to determine that a MECH
employee may have contributed to a
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PAT testing event’s cause or severity
within those time limits, the railroad is
prohibited from PAT testing the
employee involved. FRA is not revising
its PAT testing protocols. Further, as
discussed below, the tracing back of
repair and servicing records, beyond the
mechanical test or inspection point,
would make PAT testing of the
employees who performed these
functions unlikely.
E. Effective Date of Final Rule and
Timetable for Submitting Random
Testing Plans for MECH Employees
Noting that FRA had allowed 12
months for implementation of the MOW
rule, APTA requested a minimum
period of 18–24 months, asserting that
due to the coronavirus pandemic,
railroads need more time to meet the
hiring needs required to staff the
addition of MECH employees to random
testing. FRA is not persuaded by this
argument. Most railroads are required to
conduct random testing. A railroad that
does so will already have its selection
method, DERs, service agents, and other
program requirements and structures in
place, so that the addition of one or
more random testing pools should not
require extensive hiring.
AAR/ASLRRA requested a 90-day
implementation period, should FRA
require railroads to submit revised or
new random testing plans 30 days
before the rule’s effective date. FRA is
meeting this requested timetable by
making the rule effective 30 days after
its publication, and then requiring
random testing plan submissions to be
submitted to FRA within 60 days after
the rule becomes effective, instead of 30
days before, as proposed. Railroads may
also submit random testing plans to
FRA as soon as the rule becomes
effective.
III. Section-by-Section Analysis
Unless discussed below, FRA is
adopting, as proposed, each provision of
the NPRM for which it received no
comment.
Authority
FRA is amending the authority
citation for part 219 to add a reference
to section 8102 of the SUPPORT Act.
Subpart A—General
jspears on DSK121TN23PROD with RULES1
Section 219.3
Application
Paragraph (b)
FRA received no comments on its
proposal to remove and reserve
paragraph (b) in its entirety, and is
adopting this amendment as proposed.
Former paragraph (b)(1) is redundant
with § 219.800(a), and former
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Jkt 256001
paragraphs (b)(2) and (3) can now be
found in new paragraph (g) of § 219.800.
Paragraph (c)
FRA received no comments on its
proposal to except small railroads,
defined as railroads with 15 or fewer
covered employees with minimal joint
operations, from the reasonable cause,
random testing, and employee referral
requirements found respectively in
subparts E, G, and K. FRA will continue
to count only covered employees, and
not MECH or MOW employees, to
determine whether a railroad is a small
railroad for purposes of this exception.
FRA will also treat MECH employees
the same as MOW employees for
purposes of contractor compliance. As
with MOW employees, a contractor’s
level of part 219 compliance will be
determined by the size of the railroad(s)
for which it performs MECH activities,
not its size as a contractor. A contractor
who performs MECH activities
exclusively for small railroads (15 or
fewer covered employees) that are
excepted from full compliance with part
219 is also excepted from full
compliance. Whereas, a contractor who
performs MECH activities for at least
one railroad that is required to be in full
compliance with part 219 must also be
in full compliance with part 219.
Section 219.5
Definitions
Category of Regulated Employee
As amended, this definition includes
the categories of covered service, MOW,
and MECH employees (as defined in
this section). For the purposes of
determining random testing rates under
§ 219.625, if an individual performs
covered service, maintenance-of-way
activities, and/or mechanical activities,
he or she belongs in the category of
regulated employee that corresponds
with the majority of the employee’s
regulated service.
Employee
FRA is amending this definition to
include any individual who performs
activities for a subcontractor to a
railroad.
Mechanical or MECH Employee
For the reasons stated above, FRA is
adopting its proposal to define a MECH
employee as any employee who, on
behalf of a railroad, performs
mechanical tests or inspections required
by parts 215, 221, 229, 230, 232, or 238
of this chapter on railroad rolling
equipment, or its components. In
addition, the term would also include
any such employee who performs
mechanical tests or inspections required
by the Texas Central Railroad High-
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Fmt 4700
Sfmt 4700
Speed Rail Safety Standards (49 CFR
part 299). These employees working on
behalf of the Texas Central Railroad may
otherwise be inadvertently excluded
from the application of this rule because
part 299 is a rule of particular
applicability with its own requirements
for mechanical tests and inspections.17
No such exclusion was intended.
Regulated Employee
FRA is expanding this definition to
include a MECH employee (as defined
in this section) who performs regulated
service (as defined in this section).
Regulated Service
FRA is expanding this definition to
include activities performed by a MECH
employee (as defined in this section).
Rolling Equipment
FRA is defining rolling equipment as
locomotives, railroad cars, and one or
more locomotives coupled to one or
more cars, based on the definition of
rolling equipment provided in FRA’s
Railroad Operating Practices regulation
(49 CFR 218.5).
Side Collision
The term ‘‘side collision’’ was
formerly defined to mean ‘‘a collision at
a turnout where one consist strikes the
side of another consist.’’ FRA had
proposed to clarify this term to include
collisions at switches or ‘‘highway-rail
grade crossings.’’ In this final rule, FRA
is substituting ‘‘railroad crossings at
grade’’ for its proposed addition of
‘‘highway-rail grade crossings.’’ This
change more appropriately clarifies the
intent to address side collisions between
train consists, not those that occur at
highway-rail grade crossings between
trains and highway vehicles.
Section 219.10 Penalties
As proposed, FRA is substituting the
term ‘‘regulated employee’’ for
‘‘employee,’’ to clarify that the
requirements of this section apply to
MOW, MECH, and covered employees.
Section 219.11 General Conditions for
Chemical Tests
Paragraph (g)
FRA is removing references to
appendices B and C.
Section 219.23 Railroad Policies
This section sets forth requirements
for a railroad’s Federal alcohol and drug
testing policy, including requirements
for railroads to provide employees
educational materials explaining the
requirements of this part, as well as the
17 85
E:\FR\FM\02FER1.SGM
FR 69731 (Nov. 3, 2020).
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railroad’s policies and procedures with
respect to meeting those requirements.
made available both in FRA’s PAT
testing kits and in its PAT testing app.
Paragraph (a)
FRA is substituting the term
‘‘regulated employee’’ for ‘‘employee,’’
to clarify that the requirements of this
section apply to MOW, MECH, and
covered employees.
Section 219.203 Responsibilities of
Railroads and Employees
Paragraph (c)
FRA is revising paragraph (c)(2) to
require railroads to make hard copies of
the required educational materials in
this section available to each MECH
employee for a minimum of three years
after the effective date of the final rule.
When FRA added MOW employees to
the scope of part 219, it required
railroads to make the same hard copy
distribution to those employees for the
same three-year period to introduce
them to part 219. Because that threeyear period for MOW employees has
ended, existing paragraph (c)(2) has
become unnecessary. FRA is therefore
revising paragraph (c)(2) to address the
addition of MECH employees and
remove the reference to MOW
employees.
jspears on DSK121TN23PROD with RULES1
Paragraph (d)(2)
FRA is amending this paragraph to
specify that MECH employees as subject
to the provisions in this part.
Subpart C—Post-Accident Toxicological
Testing
As discussed above, MECH employees
are subject to the same PAT testing
requirements as covered service and
MOW employees. A MECH employee
must be PAT tested if a railroad
representative can immediately
determine, based on the best
information available at the time of the
decision, that the employee’s improper
or omitted mechanical test or inspection
may have contributed to the cause or
severity of a PAT-qualifying accident or
incident. FRA is not revising its PAT
testing protocols. The tracing back of
repair and servicing records, beyond the
mechanical test or inspection point,
would make PAT testing of the
employees who performed these
functions unlikely, since PAT drug
testing must be conducted within four
hours of an event, and no later than 24
hours after its occurrence. The on-duty
and recall provisions for MECH
employees are the same as for other
employee categories.
As proposed, FRA is removing
appendices B and C. The name and
mailing address of FRA’s designated
PAT laboratory (former appendix B) and
instructions for toxicological specimen
collection (former appendix C) will be
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Jkt 256001
Paragraph (a)
FRA is removing the reference to
appendix C in this paragraph, consistent
with the removal of appendix C from
this part.
Paragraph (d)
FRA is eliminating the requirement
for a railroad to submit a written
explanation if a specimen collection is
delayed for more than four hours after
the occurrence of a PAT event.
However, under § 219.209(b), a railroad
must still provide immediate telephonic
notification and submit a written
follow-up report via email when it is
unable to collect and provide PAT
specimens to FRA.
Section 219.205 Specimen Collection
and Handling
FRA is removing the references to
appendices B and C in this section,
consistent with the removal of these
appendices from this part.
Section 219.206 FRA Access to Breath
Test Results
FRA is removing the reference to
appendix C, consistent with the removal
of appendix C from this part.
Section 219.207 Fatality
This section contains the
requirements for PAT testing in the case
of an employee fatality in an accident or
incident described in § 219.101.
Paragraph (c)
FRA is removing ‘‘Aviation Medical
Examiners’’ (AMEs) from the list of
professionals authorized to collect postmortem body fluid and tissue samples
from a deceased employee for FRA PAT
testing.
Paragraph (d)
FRA is removing the reference to
appendix C, consistent with the removal
of appendix C from this part.
Section 219.211 Analysis and FollowUp
As proposed in the NPRM, FRA is
amending this section to simplify and
clarify its language. Additionally, FRA
is requiring the submission of reports
and requests under this section to be
sent to FRA solely by email. Although
FRA had proposed to continue to allow
such reports and requests to be
submitted in hard copy, while
additionally allowing the flexibility of
email submissions, the onset of the
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Fmt 4700
Sfmt 4700
5725
coronavirus disease 2019 (COVID–19)
pandemic has led both FRA and its
stakeholders to increasingly rely on
electronic communications and
submissions, which has become even
clearer since issuance of the NPRM.
Therefore, requiring all submissions to
be made electronically under this
section effectively codifies existing
practice. No substantive changes are
intended other than the amendments
discussed below.
Paragraph (a)
FRA is removing the reference to
appendix B, consistent with the removal
of appendix B from this part.
Paragraph (c)
As noted, FRA is requiring an MRO to
submit a report by email to an email box
specifically set up for receipt of MRO
reports (FRA-MROletters.email@
dot.gov).
Paragraph (e)
FRA is amending this paragraph to
adopt its proposed clarifications and to
require that an employee’s response to
the employee’s PAT results be sent by
email within 45 days of receipt to FRADrugAlcoholProgram.email@dot.gov.
Paragraph (i)
FRA is amending this paragraph to
adopt its proposed clarifications and
provide that an employee’s request for
a retest of PAT test specimens must be
submitted by email to FRADrugAlcoholProgram.email@dot.gov.
The employee’s request must still be
submitted within the 60-day time limit
and specify the railroad, accident date,
and location.
Subpart E—Reasonable Cause Testing
Section 219.403 Requirements for
Reasonable Cause Testing
FRA is revising the introductory
paragraph of this section to clarify that
a railroad that elects to conduct
reasonable cause testing under FRA
authority may only use the rule
violations listed in paragraph (b) as
bases for testing.
Paragraph (b)
FRA is removing ‘‘or other errors’’
from this paragraph to clarify that a
railroad that chooses to conduct
reasonable cause testing for rule
violations under FRA authority may do
so only for a rule violation specified in
paragraph (b). FRA is also clarifying the
intent of the proposed language of rule
violation § 219.403(b)(20), for ease of
understanding. No substantive changes
are intended.
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Federal Register / Vol. 87, No. 22 / Wednesday, February 2, 2022 / Rules and Regulations
As proposed, FRA is adding
reasonable cause testing bases
specifically applicable to MECH
employee functions. FRA authorizes,
but does not require, reasonable cause
testing, and received no comments in
response to these additional rule
violations, which involve common
mechanical activities such as setting
derails, performing brake tests, and
initiating appropriate blue flag
protection, as well as a rule violation for
positive train control (PTC) enforcement
to address PTC requirements that
became applicable after the publication
of the MOW rule.
would be exempted from FRA preemployment drug testing. To comply
with § 40.25, a railroad must conduct a
drug and alcohol records check of a
previously exempted MOW or MECH
employee’s previous two years of
employment within 30 days of when the
employee performs regulated service for
the first time.
Subpart F—Pre-Employment Tests
Similar to the revisions made to the
filing requirements of § 219.211, and to
effectively codify current practice, this
final rule revises this section to require
a railroad to submit its random testing
plan to FRA by email to FRADrugAlcoholProgram.email@dot.gov.
The plan must include the name of the
railroad or contractor in the subject line.
Section 219.501
Testing
Pre-employment Drug
jspears on DSK121TN23PROD with RULES1
Paragraph (e)
FRA is clarifying that: (1) Covered
employees performing regulated service
for small railroads are exempted from
pre-employment drug testing only if
they were performing regulated service
for the railroad before June 12, 2017;
and (2) MOW employees are exempted
from pre-employment drug testing only
if they were performing ‘‘regulated
service’’ for a railroad before June 12,
2017, and not just ‘‘duties’’ that may not
have qualified as ‘‘regulated service.’’
Both clarifying amendments are
consistent with discussion in the MOW
final rule preamble, which explained
that FRA was exempting employees
who, before June 12, 2017, were
performing MOW activities for a
railroad or covered service for a small
railroad.18
FRA is also exempting from preemployment drug testing MECH
employees who were performing
mechanical activities for a railroad, or
contractor or subcontractor of a railroad,
before March 4, 2022.
An exempted employee must have a
negative pre-employment drug test
before performing regulated service for
a new or additional employing railroad,
or contractor or subcontractor of a
railroad, on or after June 12, 2017, for
exempted covered employees and
maintenance-of-way employees, and on
or after March 4, 2022 for MECH
employees.
Paragraph (f)
To clarify how the proposed revisions
in this section fit with the existing
requirements of part 40, as discussed
above, this new paragraph specifies that
§ 40.25 of DOT’s Workplace Testing
Procedures (49 CFR part 40) applies to
a MOW or MECH employee who was or
18 81
FR 37911 (June 10, 2016).
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Subpart G—Random Alcohol and Drug
Testing Programs
Section 219.605 Submission and
Approval of Random Testing Plans
Paragraph (a)
Paragraph (e)
FRA is amending this paragraph to
subject an employee who performs
MECH activities to the same random
testing requirements as one who
performs covered service or MOW
activities. As discussed under section
II.E. above, AAR/ASLRRA requested a
90-day implementation period. FRA is
meeting this requested timetable by
making the rule effective 30 days after
its publication, and then requiring
random testing plan submissions to be
submitted to FRA within 60 days after
the rule becomes effective. Railroads
may submit random testing plans to
FRA as soon as the rule becomes
effective.
Each railroad or contractor or
subcontractor to a railroad must submit
for FRA approval or acceptance a
random testing plan ensuring that each
MECH employee reasonably anticipates
that he or she is subject to random
testing without advance warning each
time the employee is on-duty and
subject to performing MECH activities.
A railroad can comply with its
responsibility for ensuring that its
MECH contractor and subcontractor
employees are subject to random testing
by including these contractor and
subcontractor employees in its own
random testing plan, or by requiring
contractors and subcontractors to
submit their own random testing plans
to FRA for acceptance. FRA has
developed model random testing plans
for MOW employees and contractors
that could also serve as templates for
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Fmt 4700
Sfmt 4700
MECH employees and contractors.19 In
either case, contractors and
subcontractors are also responsible for
ensuring that their employees who
perform MECH activities comply with
the rule’s random testing requirements.
Section 219.607 Requirements for
Random Testing Plans
Paragraph (c)
FRA is revising paragraph (c) of this
section to reflect the application of
railroad random testing plans to MECH
employees, and to make other, minor
clarifications.
Section 219.615
Collections
Random Testing
Paragraph (e)
FRA is revising paragraph (e)(3) to
state that a railroad must inform ‘‘each
regulated employee’’ that he or she has
been selected for random testing at the
time the employee is notified—rather
than inform ‘‘an regulated employee.’’
FRA does not intend this as a
substantive change but merely as a
clarification and grammatical correction
of an existing requirement.
Section 219.617 Participation in
Random Alcohol and Drug Testing
Paragraph (a)
FRA is substituting the term
‘‘regulated employee’’ for ‘‘employee’’
in paragraph (a)(3), to clarify that the
requirements of this section apply to
MOW, MECH, and covered employees.
Section 219.625 FRA Administrator’s
Determination of Random Alcohol and
Drug Testing Rates
Paragraph (c)(1)
As stated above, an employee who
performs MECH activities is subject to
the same random testing requirements
as one who performs covered service.
Formerly, this paragraph authorized the
Administrator to amend the minimum
annual random testing rates, which are
initially set at 50 percent for drugs and
25 percent for alcohol, for a new
category of regulated employee after the
compilation of 18 months of
Management Information System (MIS)
data. To allow sufficient time for the
implementation of random testing by
MECH contractors, FRA is requiring two
consecutive, full calendar years of MIS
data before the minimum annual
random testing rates for this category
may be lowered, as it did with both
MOW and covered employees when
19 A Model Railroad Contractor Compliance Plan
is available on the FRA Drug and Alcohol Program
web page at https://railroads.dot.gov/divisions/
partnerships-programs/drug-and-alcohol.
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they first became subject to random
testing.
Subpart I—Annual Report
Section 219.800
Annual Reports
Paragraph (a)
FRA is clarifying that a railroad must
submit summary data for its alcohol
misuse and drug abuse programs in its
MIS report.
Paragraph (f)
FRA is requiring a railroad to submit
its annual MIS report in the appropriate
separate sections for its covered
employees (e.g., train, engine, signal,
dispatch), MOW employees, and MECH
employees.
Paragraph (g)
As proposed, FRA is moving
§ 219.3(b)’s annual MIS reporting
requirements for contractors to this
subpart to consolidate and clarify its
railroad and contractor MIS reporting
requirements.
Appendices B and C to Part 219
As discussed above, FRA is removing
appendices B and C to this part, because
these appendices duplicate information
that can be found in FRA’s PAT testing
kits and PAT testing app. Every PAT
testing kit includes the address of FRA’s
PAT testing laboratory and an address
for mailing. For ease of reference,
standard PAT testing kits contain
instructions for the collection of urine,
blood and breath specimens, while
fatality PAT testing shipping kits
contain instructions for the post-mortem
collection of body fluid and tissue
specimens.
IV. Regulatory Impact and Notices
A. Executive Order 12866 and DOT
Regulatory Policies and Procedures
This final rule is not a significant
regulatory action within the meaning of
Executive Order 12866 and DOT Order
2100.6A (Rulemaking and Guidance
Procedures).20 Details on the 10-year
estimated costs and benefits of this rule
5727
can be found in the rule’s Regulatory
Impact Analysis, which FRA has
prepared and placed in the docket
(docket number FRA–2019–0071).
FRA is expanding the definition of
regulated employee to include
mechanical employees in part 219, as
mandated by section 8102 of the
SUPPORT Act.21 The final rule will
subject mechanical employees to the
provisions of part 219. The final rule
will also include non-quantified
miscellaneous amendments that will
reduce reporting burdens, enhance a
railroad’s authority to conduct
reasonable cause testing, and add clarity
to part 219.
The final rule generates costs related
to provisions on pre-employment,
random testing, reasonable cause/
reasonable suspicion testing, and
Government administration. As shown
in the following table, over the 10-year
period of analysis, the final rule will
result in a total discounted cost of
approximately $10.7 million (PV 7%).
TOTAL 10-YEAR COSTS
Total cost,
7 percent
($)
Category
Total cost,
3 percent
($)
Annualized
cost,
7 percent
($)
Annualized
cost,
3 percent
($)
Pre-Employment ..............................................................................................
Random Testing ..............................................................................................
Reasonable Cause and Reasonable Suspicion ..............................................
Government Administrative Cost .....................................................................
1,621,930
7,987,551
261,670
866,431
1,896,210
9,038,433
305,921
1,012,950
230,926
1,137,248
37,256
123,360
222,294
1,059,580
35,863
118,749
Total ..........................................................................................................
10,737,582
12,253,514
1,528,790
1,436,486
The benefits of the final rule will
come from reducing the number of
mechanical employees who have an
SUD. FRA has determined that testing
programs provide a deterrent effect to
the misuse of alcohol and illicit drugs.
This deterrence will reduce the number
of existing mechanical employees with
an SUD. Employee SUDs have an array
of associated costs, including lost
productivity, absenteeism, low morale,
increased illness, and accidents. The
deterrent effect of testing will induce
mechanical employees with an SUD to
modify their behavior with regard to the
misuse of alcohol and/or use drugs. Preemployment drug testing will help
prevent individuals with SUDs from
being hired as mechanical employees.
Random testing and reasonable cause/
suspicion testing will help railroads
identify mechanical employees with
SUDs so that they can mitigate those
issues through rehabilitation or
termination of employment.
Over a 10-year period of analysis, this
analysis estimates the final rule’s
benefits by multiplying the reduction in
the number of employee work years that
mechanical employees with an SUD are
employed (17,036 employee work years)
by the annual cost of having a
mechanical employee with an SUD
($3,200) on the payroll. As shown in the
following table, over a 10-year period of
analysis, the final rule will result in
total benefits of approximately $41.0
million (PV 7%).
TOTAL 10-YEAR BENEFITS
Total
benefit,
7 percent
($)
jspears on DSK121TN23PROD with RULES1
Category
Deterrent Effect ................................................................................................
Pre-Employment ..............................................................................................
Random Testing ..............................................................................................
20 https://www.transportation.gov/sites/dot.gov/
files/2021-06/DOT-2100.6A-Rulemaking-andGuidance-%28003%29.pdf.
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21 Public
PO 00000
37,732,478
1,759,972
1,251,224
Total
benefit,
3 percent
($)
44,113,296
2,096,798
1,432,169
Law 115–271.
Frm 00073
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02FER1
Annualized
benefit,
7 percent
($)
5,372,256
250,580
178,146
Annualized
benefit,
3 percent
($)
5,171,424
245,809
167,894
5728
Federal Register / Vol. 87, No. 22 / Wednesday, February 2, 2022 / Rules and Regulations
TOTAL 10-YEAR BENEFITS—Continued
Total
benefit,
7 percent
($)
Category
Annualized
benefit,
7 percent
($)
Annualized
benefit,
3 percent
($)
Reasonable Cause and Reasonable Suspicion ..............................................
209,520
249,619
29,831
29,263
Total ..........................................................................................................
40,953,195
47,891,881
5,830,814
5,614,390
B. Regulatory Flexibility Act and
Executive Order 13272; Certification
The Regulatory Flexibility Act of 1980
((RFA) 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. When an
agency issues a rulemaking proposal,
the RFA requires the agency to ‘‘prepare
and make available for public comment
an initial regulatory flexibility analysis’’
which will ‘‘describe the impact of the
proposed rule on small entities.’’ 22
Section 605 of the RFA allows an
agency to certify a rule, in lieu of
preparing an analysis, if the proposed
rulemaking is not expected to have a
significant economic impact on a
substantial number of small entities.
Out of an abundance of caution, FRA
prepared an initial regulatory flexibility
analysis (IRFA) to accompany the
NPRM, which noted no expected
significant economic impact on a
substantial number of small entities; no
comments were received on this
analysis.
In this final rule, FRA is amending
part 219 to include mechanical
employees. Drug and alcohol testing
will become applicable to employees
who perform mechanical activities for
railroads, contractors, and
subcontractors. This will include preemployment drug, random, and
jspears on DSK121TN23PROD with RULES1
Total
benefit,
3 percent
($)
reasonable cause/reasonable suspicion
testing.
The final rule will apply to all
railroads, although not all requirements
will be relevant to all railroads. FRA
estimates there are 744 Class III
railroads, of which 704 operate on the
general system. These railroads are of
varying size, with some belonging to
larger holding companies.
Part 219 excepts small railroads,
defined as railroads with 15 or fewer
covered employees and having minimal
joint operations with other railroads,
from random testing. Small railroads are
also exempt from FRA reasonable cause
testing. FRA is not changing this small
railroad exception to account for
railroads’ mechanical employees.
The final rule will impose statutorily
required costs related to preemployment drug testing, random
testing, reasonable suspicion testing,
recordkeeping, and annual report
submission. The final rule will also
impose discretionary costs related to
reasonable cause testing, which FRA has
included in its economic analysis
supporting this rule. FRA expects that
the costs borne by a railroad will be
proportionate to the number of
employees. As such, FRA expects the
costs for small entities will be much less
than those borne by large entities.
As enumerated in the IRFA, the final
rule will result in an average annual
cost for a full compliance small railroad
of $449 in year 1 to year 3 and $242 in
year 4 to year 10. Partial compliance
small railroads will have an average
annual burden of approximately $41 as
they will only be subject to adding preemployment testing.
When developing the final rule, FRA
considered the impact that the final rule
would have on small entities. To add
clarity and narrow the scope of those
employees subject to the final rule, FRA
chose a definition for ‘‘mechanical
employees’’ that listed explicit
exclusions. This rule will benefit small
railroads by reducing the number of
employees with an SUD that remain on
the payroll. FRA estimates this final rule
will only minimally impact small
railroads and, overall, the net benefit
will be positive to small railroads.
Consistent with the findings in FRA’s
IRFA, and the lack of any comments
received on it, the Deputy Administrator
of FRA hereby certifies that this final
rule will not have a significant
economic impact on a substantial
number of small entities.
C. Paperwork Reduction Act
FRA is submitting the information
collection requirements in this final rule
to the Office of Management and Budget
(OMB) for approval under the
Paperwork Reduction Act of 1995.23
The sections that contain the new
information collection requirements are
duly designated and the estimated time
to fulfill each requirement is as follows:
CFR section 24
Respondent
universe
Total annual
responses
Average
time per
response
219.4—Petition for recognition of a foreign
railroad’s workplace testing program.
—Comments on petitions .....................
1 railroad ...............
1 petition ................
40 hours ................
40.00
$3,097.60
1 railroad ...............
77.44
734 railroads 26 ......
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
165,058 employees 27.
15 mins + 15 minutes.
90 minutes .............
30 minutes .............
1.00
219.7—Waivers ...........................................
219.12(d)—RR Documentation on need to
place employee on duty for follow-up
tests.
2 comments + 2
copies.
3 waiver letters ......
6 documents ..........
4.50
3.00
348.48
232.32
71,978 notices .......
3 seconds + 30
seconds.
194.94
15,096.15
219.23(a)—Notification to employees for
testing.
22 5
U.S.C. 603(a).
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Total annual
burden hours
U.S.C. 3501 et seq.
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02FER1
Total annual
dollar cost
equivalent 25
Federal Register / Vol. 87, No. 22 / Wednesday, February 2, 2022 / Rules and Regulations
CFR section 24
—(c) and (e)—Educational materials ...
—Copies of educational materials to
employees.
219.25(a)—Previous employer drug and alcohol checks—Employee testing records
from previous employers and employee
release of information (49 CFR 40.25(a)
and (f)).
219.104(b)—Removal of employee from
regulated service—Verbal notice + follow-up written letter.
219.105—RR’s duty to prevent violations—
Documents provided to FRA after agency request regarding RR’s alcohol and/or
drug use education/prevention program.
—RR Supervisor Rule G observations
and records of regulated employees.
219.201(a)—Events for which testing is required—List of event (Note: App on PAT
testing) 28.
—(c) Report by RR concerning decision by person other than RR representative about whether an accident/incident qualifies for testing.
219.203/207—Verbal notification and subsequent written report of failure to collect
urine/blood specimens within four hours
(revision to the current CFR, removal of
written notification reports).
—Recall of employees for testing and
Narrative Report Completion.
—RR reference to part 219 requirements and FRA’s post-accident toxicological kit instructions in seeking
to obtain facility cooperation.
—RR notification to National Response
Center of injured employee unconscious or otherwise unable to give
testing consent.
jspears on DSK121TN23PROD with RULES1
—RR notification to local authority .......
219.205 29—Post Accident Toxicological
Testing Forms—Completion of FRA F
6180.73.
—Specimen handling/collection—Completion of Form FRA F 6180.74 by
train crew members after accident.
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5729
Respondent
universe
Total annual
responses
Average
time per
response
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
165,058 employees
744 modified/revised educational
documents.
1 hour ....................
744.33
57,640.92
22,052 copies of
educational material documents.
7,623 reports .........
2 minutes ...............
735.07
56,923.82
8 minutes ...............
1,016.40
78,710.02
734 (railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
Supervisors of regulated employees.
530 verbal notices
+ 530 letters.
30 seconds + 2
minutes.
22.08
1,709.88
3 document copies
5 minutes ...............
.25
19.36
330,116 observation records.
2 seconds ..............
183.40
14,202.50
500 PAT testing
determinations.
5 minutes ...............
41.67
3,226.92
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
165,058 employees
2 reports ................
30 minutes .............
1.00
77.44
80 notifications ......
2 minutes ...............
2.67
206.76
4 reports ................
30 minutes .............
2.00
154.88
98 references ........
5 minutes ...............
8.17
632.68
2 phone calls .........
10 minutes .............
.33
25.56
5 phone calls .........
10 minutes .............
.83
64.28
103 forms ..............
10 minutes .............
17.17
1,329.64
219 forms ..............
15 minutes .............
54.75
4,239.84
19,058 MECH employees.
PO 00000
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Total annual
burden hours
02FER1
Total annual
dollar cost
equivalent 25
5730
Federal Register / Vol. 87, No. 22 / Wednesday, February 2, 2022 / Rules and Regulations
Respondent
universe
CFR section 24
—Completion of Form FRA 6180.75 ...
—Documentation of chain of custody
of sealed toxicology kit from medical
facility to lab delivery.
—RR/medical facility record of kit error
219.209(a)—Notification to NRC and FRA
of accident/incident where samples were
obtained.
219.211(b)—Results of post-accident toxicological testing to RR MRO and RR
employee.
—MRO report to FRA of positive test
for alcohol/drugs of surviving employee.
219.303—RR written documentation of observed signs/symptoms for reasonable
suspicion determination.
219.305—RR written record stating reasons test was not promptly administered.
219.405—RR documentation describing
basis of reasonable cause testing.
219.407(b)—Prompt specimen collection
time limitation exceeded—Record.
219.501—RR documentation of negative
pre-employment drug tests.
219.605(a)—Submission of random testing
plan: New RRs.
jspears on DSK121TN23PROD with RULES1
—Amendments to currently-approved
FRA random testing plan.
—Resubmitted random testing plans
after notice of FRA disapproval of
plan or amendment.
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Jkt 256001
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
PO 00000
Frm 00076
Total annual
responses
Average
time per
response
7 forms ..................
20 minutes .............
2.33
180.44
103 chain of custody documents.
2 minutes ...............
3.43
265.62
10 written records ..
2 minutes ...............
.33
25.56
103 phone reports
2 minutes ...............
3.43
265.62
7 reports ................
15 minutes .............
1.75
135.52
6 reports ................
15 minutes .............
1.50
116.16
33 written documents.
5 minutes ...............
2.75
212.96
11 records .............
2 minutes ...............
.37
28.65
2,314 written documents.
5 minutes ...............
192.81
14,931.21
17 records .............
15 minutes .............
4.25
329.12
6,400 lists ..............
30 seconds ............
53.33
4,129.88
12 plans .................
1 hour ....................
12.00
929.28
450 amendments ...
1 hour ....................
450.00
34,848.00
56 resubmitted
plans.
30 minutes .............
28.00
2,168.32
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Total annual
burden hours
02FER1
Total annual
dollar cost
equivalent 25
5731
Federal Register / Vol. 87, No. 22 / Wednesday, February 2, 2022 / Rules and Regulations
Total annual
responses
Average
time per
response
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
38 railroads + 17
contractors.
300 amendments ...
15 minutes .............
75.00
5,808.00
2,250 documents ...
30 seconds ............
18.75
1,452.00
6 documents ..........
1 hour ....................
6.00
464.64
48,977 records ......
1 minutes ...............
816.28
63,212.72
55 MIS reports .......
90 minutes .............
82.50
6,388.80
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
24 referrals ............
5 minutes ...............
2.00
154.88
734 railroads +
44,797 MOW +
(New) 19,058
MECH employees.
495,744 responses
N/A .........................
4,830
374,064
Respondent
universe
CFR section 24
—Non-substantive amendment to an
approved plan.
219.615—Incomplete random testing collections—Documentation.
219.617—Employee Exclusion from random alcohol/drug testing after providing
verifiable evidence from credible outside
professional.
219.623—Random testing records ..............
219.800—Annual reports—Management Information System (MIS) form for MECH
employees (49 CFR 40.26—MIS form
submission).
219–1001—Co-worker referral of employee
who is unsafe to work with/in violation of
part 219 or railroad’s drug/alcohol rules.
Total ......................................................
jspears on DSK121TN23PROD with RULES1
All estimates include the time for
reviewing instructions; searching
24 The burdens under §§ 219.25(a) and 219.800(b),
once approved by OMB, will fall under DOT’s part
40 information collection (OMB No. 2105–0529).
Additionally, the burdens under §§ 219.603,
219.607, 219.609, 219.611, 219.1001, 219.1003,
219.1005, and 219.1007 are included under
§ 219.605. Furthermore, the burdens under
§§ 219.12(c), 219.104(d), 219.105(a)(2)–(a)(3),
219.107(a)–(b), 219.203(a)(3)(ii), 219.300, 219.301,
219.302, 219.502, 219.503, 219.608, 219.615(g),
219.617(b)(2), 219.621, 219.701, and 219.903 are
covered under DOT’s Part 40 (OMB No. 2105–
0529).
25 The dollar equivalent cost is derived from the
2020 Surface Transportation Board’s Full Year
Wage A&B data series using the appropriate
employee group hourly wage rate that includes 75percent overhead charges. Also, totals may not add
due to rounding.
26 For purposes of this table, the respondent
universe of 734 railroads includes the estimated 30
contractor companies that will be newly subject to
part 219 because they perform MECH activities on
behalf of these railroads.
27 The respondent universe of 165,058 employees
includes an estimated 19,058 MECH employees
who will be newly subject to part 219. Note: The
number of employees changed from 171,410 to
165,058 due to a change in the estimated number
of MECH employees from 25,410 to 19,058.
28 FRA is adding the existing burden associated
with the usage of FRA’s PAT testing app.
29 A public comment from AAR/ASLRRA asked
FRA how it will notify railroads of future changes
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existing data sources; gathering or
maintaining the needed data; and
reviewing the information.
For information or a copy of the
paperwork package submitted to OMB,
contact Ms. Hodan Wells, Information
Collection Clearance Officer, Office of
Railroad Safety, Federal Railroad
Administration, at 202–493–0440.
Organizations and individuals
desiring to submit comments on the
collection of information requirements
should direct them via email to Ms.
Wells at Hodan.Wells@dot.gov.
OMB is required to make a decision
concerning the collection of information
requirements contained in this 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. FRA is not authorized to
to the information otherwise contained in (former)
appendices B and C. FRA will add any changes to
information from these former appendices on its
drug and alcohol page, at https://railroads.dot.gov/
divisions/partnerships-programs/drug-and-alcohol,
and in FRA’s PAT testing app, in addition to its
PAT testing kits, as appropriate. The burden
associated with the review of the updated
information is already covered under § 219.201(a).
PO 00000
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Total annual
burden hours
Total annual
dollar cost
equivalent 25
impose a penalty on persons for
violating information collection
requirements that do not display a
current OMB control number, if
required.
D. Environmental Impact
Consistent with the National
Environmental Policy Act 30 (NEPA), the
Council of Environmental Quality’s
NEPA implementing regulations at 40
CFR parts 1500–1508, and FRA’s NEPA
implementing regulations at 23 CFR part
771, FRA has evaluated this final rule
and determined that it is categorically
excluded from environmental review
and therefore does not require the
preparation of an environmental
assessment (EA) or environmental
impact statement (EIS). Categorical
exclusions (CEs) are actions identified
in an agency’s NEPA implementing
regulations that do not normally have a
significant impact on the environment
and therefore do not require either an
EA or EIS.31 Specifically, FRA has
determined that this final rule is
categorically excluded from detailed
30 42
31 40
E:\FR\FM\02FER1.SGM
U.S.C. 4321 et seq.
CFR 1508.4.
02FER1
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jspears on DSK121TN23PROD with RULES1
environmental review pursuant to 23
CFR 771.116(c)(15), ‘‘[p]romulgation of
rules, the issuance of policy statements,
the waiver or modification of existing
regulatory requirements, or
discretionary approvals that do not
result in significantly increased
emissions of air or water pollutants or
noise.’’
The purpose of this rulemaking is to
expand the scope of FRA’s alcohol and
drug regulation to cover MECH
employees who test or inspect railroad
rolling equipment. This rule will not
directly or indirectly impact any
environmental resources and will not
result in significantly increased
emissions of air or water pollutants or
noise. Instead, the rule will likely result
in safety benefits. In analyzing the
applicability of a CE, FRA must also
consider whether unusual
circumstances are present that would
warrant a more detailed environmental
review.32 FRA has concluded that no
such unusual circumstances exist with
respect to this final rule and it meets the
requirements for categorical exclusion
under 23 CFR 771.116(c)(15).
Pursuant to Section 106 of the
National Historic Preservation Act and
its implementing regulations, FRA has
determined this undertaking has no
potential to affect historic properties.33
FRA has also determined that this
rulemaking will not approve a project
resulting in a use of a resource protected
by Section 4(f).34
E. Executive Order 12898
(Environmental Justice)
Executive Order 12898, Federal
Actions to Address Environmental
Justice in Minority Populations and
Low-Income Populations, and DOT
Order 5610.2(a) 35 require DOT agencies
to achieve environmental justice as part
of their mission by identifying and
addressing, as appropriate,
disproportionately high and adverse
human health or environmental effects,
including interrelated social and
economic effects, of their programs,
policies, and activities on minority
populations and low-income
populations. The DOT Order instructs
DOT agencies to address compliance
with Executive Order 12898 and
requirements within the DOT Order in
rulemaking activities, as appropriate.
FRA has evaluated this final rule under
Executive Order 12898 and the DOT
Order and has determined it will not
32 23
CFR 771.116(b).
U.S.C. 470.
34 Department of Transportation Act of 1966, as
amended (Pub. L. 89–670, 80 Stat. 931); 49 U.S.C.
303.
35 91 FR 27534 (May 10, 2012).
33 16
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Jkt 256001
cause disproportionately high and
adverse human health and
environmental effects on minority
populations or low-income populations.
F. Federalism Implications
Executive Order 13132,
‘‘Federalism,’’ 36 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, an 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.
FRA has analyzed this final rule
under the principles and criteria
contained in Executive Order 13132.
This rule, issued under a statutory
mandate, 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. FRA has
determined that the rule will not impose
substantial direct compliance costs on
State and local governments, and that
the consultation and funding
requirements of Executive Order 13132
do not apply. However, this rule could
have preemptive effect by operation of
law under certain provisions of the
Federal railroad safety statutes,
specifically the former Federal Railroad
Safety Act of 1970, repealed and
recodified at 49 U.S.C. 20106. Section
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
section 20106.
In sum, FRA has analyzed this rule
under the principles and criteria in
Executive Order 13132, and determined
that it has no federalism implications,
other than the possible preemption of
State laws under Federal railroad safety
statutes, specifically 49 U.S.C. 20106.
Therefore, preparation of a federalism
summary impact statement is not
required.
G. Unfunded Mandates Reform Act of
1995
Pursuant to section 201 of the
Unfunded Mandates Reform Act of
1995,37 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 38 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
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 rule will not result in such
an expenditure, 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.’’ 39 FRA has evaluated
this rule in accordance with Executive
Order 13211 and determined that this
regulatory action is not a ‘‘significant
energy action’’ within the meaning of
the Executive Order.
Executive Order 13783, ‘‘Promoting
Energy Independence and Economic
Growth,’’ requires Federal agencies to
37 Public
Law 104–4, 2 U.S.C. 1531.
U.S.C. 1532.
39 66 FR 28355 (May 22, 2001).
38 2
36 64
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review regulations to determine whether
they potentially burden the
development or use of domestically
produced energy resources, with
particular attention to oil, natural gas,
coal, and nuclear energy resources.40
FRA has determined that this rule will
not burden the development or use of
domestically produced energy
resources.
I. Tribal Consultation
FRA has evaluated this rule under the
principles and criteria in Executive
Order 13175, Consultation and
Coordination with Indian Tribal
Governments, dated November 6, 2000.
The rule will not have a substantial
direct effect on one or more Indian
tribes, impose substantial direct
compliance costs on Indian tribal
governments, or preempt tribal laws,
and a tribal summary impact statement
is not required.
List of Subjects in 49 CFR Part 219
Alcohol abuse, Drug abuse, Drug
testing, Penalties, Railroad safety,
Reporting and recordkeeping
requirements, Safety, Transportation.
The Final Rule
For the reasons stated above, FRA
amends part 219 of chapter II, subtitle
B of title 49, Code of Federal
Regulations as follows:
PART 219—CONTROL OF ALCOHOL
AND DRUG USE
1. Revise the authority citation for part
219 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;
Sec. 8108, Div. A; Sec. 8102, Pub. L. 115–
271; 132 Stat. 3894; and 49 CFR 1.89.
Subpart A—General
2. In § 219.3, remove and reserve
paragraph (b) and revise and republish
paragraph (c).
The revision reads as follows:
■
§ 219.3
Application.
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*
*
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*
(c) Small railroad exception. (1)
Subparts E, G, and K do not apply to
small railroads, and a small railroad
may not perform the Federal
requirements authorized by those
subparts. 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
40 82
FR 16093 (Mar. 31, 2017).
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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 § 219.5, with another railroad
that operates in the United States,
except as necessary for purposes of
interchange.
(2) An employee performing only
MOW or MECH activities, as defined in
§ 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 or
MECH 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). A contractor is not
excepted if it performs MOW or MECH
activities for at least one railroad that is
required to be in full compliance with
this part.
(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 and G of this part is
shared between the contractor and any
railroad using the contractor that does
not qualify for the small railroad
exception.
*
*
*
*
*
■ 3. In § 219.5:
■ a. Revise the definitions of ‘‘Category
of regulated employee’’ and ‘‘Employee’’
■ b. Add in alphabetical order a
definition for ‘‘Mechanical employee’’;
■ c. Revise the definitions of ‘‘Regulated
employee’’ and ‘‘Regulated service’’;
■ d. Add in alphabetical order a
definition for ‘‘Rolling equipment’’; and
■ e. Revise the definition of and ‘‘Side
collision’’.
The revisions and additions read as
follows:
§ 219.5
Definitions.
*
*
*
*
*
Category of regulated employee means
a broad class of covered service,
maintenance-of-way, or mechanical
employees (as defined in this section).
For the purposes of determining random
testing rates under § 219.625, if an
individual performs both covered
service and maintenance-of-way
activities, or covered service and
mechanical activities, he or she belongs
in the category of regulated employee
that corresponds with the type of
regulated service comprising the
majority of his or her regulated service.
*
*
*
*
*
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Employee means any individual,
(including a volunteer or a probationary
employee) performing activities for a
railroad, a contractor to a railroad, or a
subcontractor to a railroad.
*
*
*
*
*
Mechanical employee or MECH
employee means—
(1) Any employee who, on behalf of
a railroad, performs mechanical tests or
inspections required by part 215, 221,
229, 230, 232, 238, or 299 of this chapter
on railroad rolling equipment, or its
components, except for:
(i) An employee who is a member of
a train crew assigned to test or inspect
railroad rolling equipment that is part of
a train or yard movement the employee
has been called to operate; or
(ii) An employee who only performs
one or more of the following duties:
(A) Cleaning and/or supplying
cabooses, locomotives, or passenger cars
with ice, food concession items,
drinking water, tools, sanitary supplies,
or flagging equipment;
(B) Servicing activities on locomotives
such as fueling, replenishing engine oils
and engine water, sanding, and toilet
discharge and recharge;
(C) Checking lading for pilferage or
vandalism; or
(D) Loading, unloading, or shifting car
loads.
(2) An employee who only performs
work related to the original
manufacturing, testing, or inspection of
railroad rolling equipment, or its
components, on the manufacturer’s
behalf, is not a mechanical employee or
MECH employee.
*
*
*
*
*
Regulated employee means a covered
employee, maintenance-of-way
employee, or mechanical employee (as
defined in this section) who performs
regulated service for a railroad subject to
the requirements of this part.
Regulated service means activities a
covered employee, maintenance-of-way
employee, or mechanical employee (as
defined in this section) performs that
makes such an employee subject to this
part.
*
*
*
*
*
Rolling equipment means
locomotives, railroad cars, and one or
more locomotives coupled to one or
more railroad cars.
Side collision means a collision when
one consist strikes the side of another
consist at a turnout, including a
collision at a switch or at a railroad
crossing at grade.
*
*
*
*
*
■ 4. Revise and republish § 219.10 to
read as follows:
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Penalties.
Any person, as defined by § 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 $919 and not more than
$30,058 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 $120,231 per
violation may be assessed; and the
standard of liability for a railroad will
vary depending upon the requirement
involved. See, e.g., § 219.105, which is
construed to qualify the responsibility
of a railroad for the unauthorized
conduct of a regulated employee that
violates § 219.101 or § 219.102 (while
imposing a duty of due diligence to
prevent such conduct). Each day a
violation continues constitutes a
separate offense. See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
■ 5. In § 219.11, revise paragraph (g) to
read as follows:
§ 219.11
tests.
General conditions for chemical
*
*
*
*
(g) Each supervisor responsible for
regulated employees (except a working
supervisor who is a co-worker as
defined in § 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.
*
*
*
*
*
■ 6. In § 219.23, revise the first sentence
of paragraph (a) introductory text and
revise paragraphs (c)(2) and (d)(2) to
read as follows:
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*
§ 219.23
Railroad policies.
(a) Whenever a breath or body fluid
test is required of a regulated employee
under this part, the railroad (either
through a railroad employee or a
designated agent, such as a contracted
collector) must provide clear and
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unequivocal written notice to the
employee that the test is being required
under FRA regulations and is being
conducted under Federal authority.
* * *
*
*
*
*
*
(c) * * *
(2) For a minimum of three years after
March 4, 2022, also ensuring that a hard
copy of these materials is provided to
each mechanical employee.
(d) * * *
(2) The specific classes or crafts of
employee who are subject to the
provisions of this part, such as
engineers, conductors, MOW
employees, MECH employees, signal
maintainers, or train dispatchers;
*
*
*
*
*
Subpart C—Post-Accident
Toxicological Testing
7. In § 219.203, revise paragraphs (a)
introductory text and (d)(1) to read as
follows:
■
§ 219.203 Responsibilities of railroads and
employees.
(a) Employees tested. A regulated
employee subject to post-accident
toxicological testing under this subpart
must cooperate in the provision of
specimens as described in this part.
*
*
*
*
*
(d) * * *
(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
that are 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 in
conversation or via a voicemail).
*
*
*
*
*
■ 8. In § 219.205, revise paragraphs (a)
and (c)(1), the first sentence of
paragraph (c)(2), paragraph (d), and the
first sentence of paragraph (e) to read as
follows:
§ 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 and the instructions
provided inside the FRA post-accident
toxicological shipping kit.
*
*
*
*
*
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(c) * * *
(1) FRA makes 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.
(2) Standard shipping kits may be
ordered by requesting an order form
from FRA’s Drug and Alcohol Program
Manager at 202–493–6313. * * *
(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 FRA’s postaccident toxicological testing laboratory.
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 ask 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 a secure chain of custody of
the kit(s) from its release by the medical
facility to its delivery for transportation.
(e) Specimen security. After a
specimen kit or transportation box has
been sealed, no entity other than FRA’s
post-accident toxicological testing
laboratory may open it. * * *
■ 9. Revise § 219.206 to read as follows:
§ 219.206
results.
FRA access to breath test
Documentation of breath test results
must be made available to FRA
consistent with the requirements of this
subpart.
■ 10. In § 219.207, revise paragraphs (c)
and (d) to read as follows:
§ 219.207
Fatality.
*
*
*
*
*
(c) A coroner, medical examiner,
pathologist, or other qualified
professional is authorized to remove the
required body fluid and tissue
specimens from the remains on request
of the railroad or FRA pursuant to this
part; and in so acting, such person is the
delegate of the FRA Administrator
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under sections 20107 and 20108 of title
49, United States Code (but not the
agent of the Secretary for purposes of
the Federal Tort Claims Act (chapter 71
of Title 28, United States Code). A
qualified professional may rely upon the
representations of the railroad or FRA
representative with respect to the
occurrence of the event requiring that
toxicological tests be conducted and the
coverage of the deceased employee
under this part.
(d) The instructions included inside
the shipping kits specify body fluid and
tissue specimens required for
toxicological analysis in the case of a
fatality.
■ 11. In § 219.211, revise paragraphs (a),
(c), (e), and (i) to read as follows:
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§ 219.211
Analysis and follow-up.
(a) Specimens are analyzed for
alcohol, controlled substances, and noncontrolled substances specified by FRA
under protocols specified by FRA.
These substances may be tested for in
any form, whether naturally or
synthetically derived. Specimens may
be analyzed for other impairing
substances specified by FRA as
necessary to the particular accident
investigation.
*
*
*
*
*
(c) With respect to a surviving
employee, a test reported as positive for
alcohol or a controlled substance must
be reviewed by the railroad’s Medical
Review Officer (MRO) with respect to
any claim of use or administration of
medications (consistent with § 219.103)
that could account for the laboratory
findings. The MRO must promptly
report the results of each review by
email to FRA-MROletters.email@
dot.gov. The report must reference the
employing railroad, accident/incident
date, and location; and state whether the
MRO reported the test result to the
employing railroad as positive or
negative and the basis of any
determination that analytes detected by
the laboratory derived from authorized
use (including a statement of the
compound prescribed, dosage/
frequency, and any restrictions imposed
by the authorized medical practitioner).
Unless specifically requested by FRA in
writing, the MRO may not disclose to
FRA the underlying physical condition
for which any medication was
authorized or administered. The FRA is
not bound by the MRO’s determination,
but that determination will be
considered by FRA in relation to the
accident/incident investigation and
with respect to any enforcement action
under consideration.
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(e) An employee may respond within
45 days of receipt of his or her test
results prior to the preparation of any
final investigative report concerning the
accident or incident by email to FRADrugAlcoholProgram.email@dot.gov.
The employee’s response must state the
accident date, railroad, and location; the
position the employee held on the date
of the accident/incident; and any
information the employee requests be
withheld from public disclosure. FRA
will decide whether to honor the
employee’s request to withhold
information.
*
*
*
*
*
(i) An employee may, within 60 days
of receipt of the toxicology report,
request a retest of his or her PAT testing
specimen. A request for retest must be
emailed to FRADrugAlcoholProgram.email@dot.gov.
The employee’s request must specify the
railroad, accident date, and location.
Upon receipt of the employee’s request,
FRA will identify and select a qualified
referee laboratory that has available an
appropriate, validated assay for the
specimen type and analyte(s) declared
positive. Because some analytes may
deteriorate during storage, if the referee
laboratory detects levels above its Limit
of Detection (as defined in 49 CFR 40.3),
FRA will report the retest result as
corroborative of the original PAT test
result.
Subpart E—Reasonable Cause Testing
12. In § 219.403, revise the
introductory text, revise and republish
paragraph (b)(1), revise paragraphs
(b)(17) and (18), and add paragraphs
(b)(19) through (22) to read as follows:
■
§ 219.403 Requirements for reasonable
cause testing.
Each 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 § 219.405. The
following circumstances constitute
reasonable cause for the administration
of alcohol and/or drug tests under the
authority of this subpart. For reasonable
cause testing based on a rule violation
as authorized in paragraph (b) of this
section, a railroad that elects to test
under FRA authority may only use the
rule violations listed in paragraph (b) of
this section as bases for reasonable
cause testing.
*
*
*
*
*
(b) * * *
(1) Noncompliance with a train order,
track warrant, track bulletin, track
permit, stop and flag order, timetable,
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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;
(iv) Passing an absolute restrictive
signal or passing a restrictive signal
without stopping (if required); or
(v) Failure to take appropriate action,
resulting in the enforcement of a
positive train control system.
*
*
*
*
*
(17) Improper use of individual train
detection in a manual interlocking or
control point;
(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;
(19) Failure to display blue signals in
accordance with § 218.25 through
§ 218.30 of this chapter;
(20) Failure to perform a required
brake test, or having knowledge that a
required brake test was not performed,
pursuant to the Class I, Class IA, Class
II, or Class III, or transfer train brake test
provisions of part 232, or the running
brake test provisions of part 238, of this
chapter;
(21) Failure to comply with
prohibitions against tampering with
locomotive mounted safety devices, or
permitting a train to be operated with an
unauthorized disabled safety device in
the controlling locomotive; or
(22) Failure to have a derailing device
in proper position and locked if
required in accordance with § 218.109
of this chapter.
Subpart F—Pre-Employment Tests
13. In § 219.501, revise paragraph (e)
and add paragraph (f) to read as follows:
■
§ 219.501
Pre-employment drug testing.
*
*
*
*
*
(e)(1) The pre-employment drug
testing requirements of this section do
not apply to:
(i) Covered employees of railroads
qualifying for the small railroad
exception (see § 219.3(c)) who were
performing regulated service for the
qualifying railroad, or a contractor or
subcontractor of a qualifying railroad,
before June 12, 2017;
(ii) Maintenance-of-way employees
who were performing regulated service
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for a railroad, or a contractor or
subcontractor of a railroad, before June
12, 2017; or
(iii) MECH employees who were
performing regulated service for a
railroad, or contractor or subcontractor
of a railroad, before March 4, 2022.
(2) An exempted employee under
paragraph (e)(1) of this section must
have a negative pre-employment drug
test before performing regulated service
for a new or additional employing
railroad, or contractor or subcontractor
of a railroad:
(i) On or after June 12, 2017, for
exempted covered employees and
maintenance-of-way employees, and
(ii) On or after March 4, 2022 for
MECH employees.
(f) A railroad, or contractor or
subcontractor of a railroad, must comply
with 49 CFR 40.25 by performing a
records check on any of its MOW or
MECH employees who have been
exempted from pre-employment testing
before the employee first performs
regulated service. An employee may not
perform regulated service after 30 days
from the date on which the employee
first performed regulated service, unless
this information has been obtained or a
good faith effort to obtain this
information has been made and
documented.
Subpart G—Random Alcohol and Drug
Testing Programs
14. In § 219.605, revise and republish
paragraphs (a) and (e) to read as follows:
■
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§ 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 §§ 219.607 and 219.609
by email to FRADrugAlcoholProgram.email@dot.gov.
The submission must include the name
of the railroad or contractor in the
subject line. A railroad commencing
start-up operations must submit its plan
no later than 30 days before its date of
commencing operations. A railroad that
must comply with this subpart because
it no longer qualifies for the small
railroad exception under § 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 before FRA approval.
(2) A railroad may submit separate
random testing plans for each category
of regulated employees (as defined in
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§ 219.5), combine all categories into a
single plan, or amend its current FRAapproved plan to add additional
categories of regulated employees, as
defined by this part.
*
*
*
*
*
(e) Previously approved plans. A
railroad is not required to resubmit a
random testing plan that FRA had
approved before March 4, 2022, unless
the railroad must amend the plan to
comply with the requirements of this
subpart. A railroad must submit new
plans, combined plans, or amended
plans incorporating new categories of
regulated employees (i.e., mechanical
employees) for FRA approval at least 60
days after March 4, 2022.
■ 15. Revise § 219.607 by redesignating
paragraphs (c)(3) through (14) as (c)(4)
through (15), adding new paragraph
(c)(3), and revising newly redesignated
paragraphs (c)(7), (9), and (14) to read as
follows:
(3) A railroad must inform each
regulated employee that he or she has
been selected for random testing at the
time the employee is notified. * * *
*
*
*
*
*
■ 17. In § 219.617, revise the first
sentence of paragraph (a)(3) to read as
follows:
§ 219.607 Requirements for random
testing plans.
§ 219.625 FRA Administrator’s
determination of random alcohol and drug
testing rates.
*
*
*
*
*
(c) * * *
(3) Total number of mechanical
employees, including mechanical
contractor employees and volunteers;
*
*
*
*
*
(7) Name, address, and contact
information for any service providers,
including the railroad’s Medical Review
Officers (MROs), Substance Abuse and
Mental Health Services Administration
(SAMHSA) certified drug testing
laboratory(ies), Drug and Alcohol
Counselors (DACs), Substance Abuse
Professionals (SAPs), and Consortium/
Third Party Administrators (C/TPAs) or
collection site management companies.
Individual collection sites do not have
to be identified;
*
*
*
*
*
(9) Target random testing rates
meeting or exceeding the minimum
annual random testing rates;
*
*
*
*
*
(14) Designated testing window. A
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 § 219.603), after which time
any individual selections for that
designated testing window that have not
been collected are no longer active; and
*
*
*
*
*
■ 16. In § 219.615, revise the first
sentence of paragraph (e)(3) to read as
follows:
§ 219.615
*
Random testing collections.
*
*
(e) * * *
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*
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§ 219.617 Participation in random alcohol
and drug testing.
(a) * * *
(3) A railroad may excuse a regulated
employee who has been notified of his
or her selection for random testing only
if the employee can substantiate that a
medical emergency involving the
employee or an immediate family
member (e.g., birth, death, or medical
emergency) supersedes the requirement
to complete the test. * * *
*
*
*
*
*
■ 18. In § 219.625, revise paragraph
(c)(1) to read as follows:
*
*
*
*
*
(c) * * *
(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 two consecutive calendar
years of MIS data have been compiled
for the category of regulated employee.
*
*
*
*
*
Subpart I—Annual Report
19. In § 219.800, revise the first
sentence of paragraph (a), revise
paragraph (f), and add paragraph (g) to
read as follows:
■
§ 219.800
Annual reports.
(a) Each railroad that has a total of
400,000 or more 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), must submit to FRA by
March 15 of each year a report covering
the previous calendar year (January 1–
December 31), summarizing the results
of its alcohol misuse and drug abuse
prevention program. * * *
*
*
*
*
*
(f) A railroad required to submit an
MIS report under this section must
submit separate reports for covered
employees, MOW employees, and
MECH employees.
(g)(1) This subpart does not apply to
any contractor that performs regulated
service exclusively for railroads with
fewer than 400,000 total employee
E:\FR\FM\02FER1.SGM
02FER1
Federal Register / Vol. 87, No. 22 / Wednesday, February 2, 2022 / Rules and Regulations
annual 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) When a contractor performs
regulated service for at least one railroad
with 400,000 or more 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, this subpart
applies as follows:
(i) A railroad with 400,000 or more
total employee annual work hours must
comply with this subpart regarding any
contractor employees it integrates into
its own alcohol and drug program under
this part; and
(ii) If a contractor establishes an
independent alcohol and drug testing
program that meets the requirements of
this part and is acceptable to the
railroad, the contractor must comply
with this subpart if it has 200 or more
regulated employees.
Appendix B to Part 219—[Removed]
■
20. Remove appendix B to part 219.
Appendix C to Part 219—[Removed]
■
21. Remove appendix C to part 219.
Issued in Washington, DC.
Amitabha Bose,
Administrator.
[FR Doc. 2022–01985 Filed 2–1–22; 8:45 am]
BILLING CODE 4910–06–P
DEPARTMENT OF THE INTERIOR
Fish and Wildlife Service
50 CFR Part 17
[Docket No. FWS–R2–ES–2012–0042;
FF09E21000 FXES1111090FEDR 223]
RIN 1018–AX13
Endangered and Threatened Wildlife
and Plants; Revision of the Critical
Habitat Designation for the Jaguar in
Compliance With a Court Order;
Correction
Fish and Wildlife Service,
Interior.
ACTION: Final rule; correction.
AGENCY:
We, the U.S. Fish and
Wildlife Service, are correcting an
erroneous acreage amount presented
twice in the preamble of our July 22,
2021, final rule that was issued to
comply with a court order concerning
the critical habitat designation for the
jaguar (Panthera onca) under the
jspears on DSK121TN23PROD with RULES1
SUMMARY:
VerDate Sep<11>2014
18:06 Feb 01, 2022
Jkt 256001
Endangered Species Act of 1973, as
amended (Act).
DATES: This correction is effective
February 2, 2022.
FOR FURTHER INFORMATION CONTACT: U.S.
Fish and Wildlife Service, Attn: Jeff
Humphrey, at 9828 North 31st Avenue
#C3, Phoenix, AZ 85051; by telephone
at 602–242–0210; or by email at
incomingazcorr@fws.gov. Persons who
use a telecommunications device for the
deaf (TDD) may call the Federal Relay
Service at 800–877–8339.
SUPPLEMENTARY INFORMATION:
Correction
On July 22, 2021, we published in the
Federal Register (86 FR 38570) a final
rule that was issued to comply with a
court order to vacate Unit 6 and the
New Mexico portion of Unit 5 from the
March 5, 2014, final rule designating
approximately 764,207 acres (309,263
hectares) of land in New Mexico and
Arizona as critical habitat for the jaguar
under the Act (16 U.S.C. 1531 et seq.).
In two places in the preamble of the July
22, 2021, final rule, we erroneously
stated that the final rule removes
approximately 110,438 acres (44,693
hectares) of land within New Mexico
from the designation of critical habitat
for the jaguar. This document corrects
the preamble to state that the July 22,
2021, final rule removes approximately
59,286 acres (23,993 hectares) of land
within New Mexico from the
designation of critical habitat for the
jaguar. We are not making any
corrections to the maps we codified in
the July 22, 2021, final rule; they are
correct as published (86 FR 38570, July
22, 2021, pp. 86 FR 38571–38572).
Therefore, in the final rule published
at 86 FR 38570, in the July 22, 2021,
issue of the Federal Register, we make
the following corrections to the
preamble:
1. On page 38570 in the third column,
second line, we remove the words
‘‘110,438 acres (44,693 hectares)’’ and
add in their place the words ‘‘59,286
acres (23,993 hectares)’’.
2. On page 38571 in the first column,
in the first sentence under Effects of the
Rule, we remove the words ‘‘110,438
acres (44,693 hectares)’’ and add in their
place the words ‘‘59,286 acres (23,993
hectares)’’.
Administrative Procedure
We have determined, pursuant to 5
U.S.C. 553(b)(3)(B), that prior notice and
opportunity for public comment are
impractical and unnecessary. Public
comment could not inform this
correction process in any meaningful
way. We have further determined that,
PO 00000
Frm 00083
Fmt 4700
Sfmt 4700
5737
under 5 U.S.C. 553(d)(3), the agency has
good cause to make this rule effective
upon publication, as it is important for
the proper administration of our
programs for our rulemaking documents
published in the Federal Register to be
complete and accurate.
Authority
The authority for this action is the
Endangered Species Act (16 U.S.C. 1531
et seq.)
Martha Williams,
Principal Deputy Director, Exercising the
Delegated Authority of the Director, U.S. Fish
and Wildlife Service.
[FR Doc. 2022–02054 Filed 2–1–22; 8:45 am]
BILLING CODE 4333–15–P
DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric
Administration
50 CFR Part 635
[Docket No. 180117042–8884–02; RTID
0648–XB751]
Atlantic Highly Migratory Species;
Atlantic Bluefin Tuna Fisheries
National Marine Fisheries
Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA),
Commerce.
ACTION: Temporary rule; Purse Seine
category annual quota adjustment;
inseason quota transfer.
AGENCY:
NMFS is adjusting the
Atlantic bluefin tuna (BFT) Purse Seine
and Reserve category quotas for 2022.
NMFS also is transferring 26 metric tons
(mt) of BFT quota from the Reserve
category to the General category January
through March 2022 subquota period.
The transfer to the General category is
based on consideration of the regulatory
determination criteria regarding
inseason adjustments and applies to
Atlantic Tunas General category
(commercial) permitted vessels and
Highly Migratory Species (HMS)
Charter/Headboat permitted vessels
with a commercial sale endorsement
when fishing commercially for BFT.
DATES: Effective January 28, 2022
through December 31, 2022.
FOR FURTHER INFORMATION CONTACT:
Larry Redd, Jr., larry.redd@noaa.gov,
301–427–8503, Nicholas Velseboer,
nicholas.velsboer@noaa.gov, 978–281–
9260, or Thomas Warren,
thomas.warren@noaa.gov, 978–281–
9347.
SUMMARY:
E:\FR\FM\02FER1.SGM
02FER1
Agencies
[Federal Register Volume 87, Number 22 (Wednesday, February 2, 2022)]
[Rules and Regulations]
[Pages 5719-5737]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-01985]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
49 CFR Part 219
[Docket No. FRA-2019-0071, Notice No. 2]
RIN 2130-AC80
Control of Alcohol and Drug Use: Coverage of Mechanical Employees
and Miscellaneous Amendments
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: As mandated by the Substance Use-Disorder Prevention that
Promotes Opioid Recovery and Treatment for Patients and Communities Act
(SUPPORT Act or Act), FRA is expanding the scope of its alcohol and
drug regulation to cover mechanical employees. This rule clarifies who
FRA considers a mechanical employee for regulatory purposes, and adopts
proposed technical amendments.
DATES: This rule is effective March 4, 2022.
ADDRESSES: Docket: For access to the docket to read background
documents or comments received, go to https://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: Gerald Powers, Drug and Alcohol
Program Manager, Office of Railroad Safety--Office of Technical
Oversight, telephone: 202-493-6313, email: [email protected]; Sam
Noe, Drug and Alcohol Specialist, Office of Railroad Safety--Office of
Technical Oversight, telephone: 615-719-2951, email: [email protected];
or Patricia V. Sun, Attorney Adviser, Office of Safety Law, telephone:
202-493-6060, email: [email protected].
SUPPLEMENTARY INFORMATION:
Table of Contents for Supplementary Information
I. Executive Summary
II. Discussion of General Comments and Conclusions
A. FRA's Proposed Mechanical Employee Definition
1. Summary
2. Fourth Amendment Implications
3. Decrease in Random Testing Deterrence
4. Consistency With the SUPPORT Act
5. Consistency With the MOW Employee Definition
6. Treatment of Employees Subject to Part 209
B. Pre-Employment Testing
C. Initial Mechanical Employee Annual Random Testing Rates
D. Post-Accident Toxicological Testing
E. Effective Date of Final Rule and Timetable for Submitting
Random Testing Plans for MECH Employees
III. Section-by-Section Analysis
IV. Regulatory Impact and Notices
A. Executive Order 12866 and DOT Regulatory Policies and
Procedures
B. Regulatory Flexibility Act and Executive Order 13272;
Certification
C. Paperwork Reduction Act
D. Environmental Impact
E. Executive Order 12898 (Environmental Justice)
F. Federalism Implications
G. Unfunded Mandates Reform Act of 1995
H. Energy Impact
I. Tribal Consultation
I. Executive Summary
In Section 8102(a) of the SUPPORT Act,\1\ Congress mandated FRA (as
the Secretary of Transportation's delegate) include ``all employees of
railroad carriers who perform mechanical activities'' (MECH
employee(s)) in its alcohol and drug regulation, 49 CFR part 219. In
section 8102(b) of the Act, Congress directed FRA to define mechanical
activities for purposes of part 219 coverage. On January 8, 2021, FRA
published a Notice of Proposed Rulemaking (NPRM) in response to this
mandate.\2\ FRA received comments on the NPRM from four organizations
(including one joint filing) and 12
[[Page 5720]]
individuals. This final rule addresses those comments and amends part
219, as proposed, by defining a MECH employee as any employee who, on
behalf of a railroad, performs mechanical tests or inspections required
by the following FRA regulations: Railroad Freight Car Safety Standards
(49 CFR part 215), Rear End Marking Device--Passenger, Commuter and
Freight Trains (49 CFR part 221), Railroad Locomotive Safety Standards
(49 CFR part 229), Steam Locomotive Inspection and Maintenance
Standards (49 CFR part 230), Brake System Safety Standards for Freight
and Other Non-Passenger Trains and Equipment; End-of-Train Devices (49
CFR part 232), and Passenger Equipment Safety Standards (49 CFR part
238). In addition, as discussed in the Section-by-Section Analysis, the
definition also includes any such employee who performs mechanical
tests or inspections required by the Texas Central Railroad High-Speed
Rail Safety Standards (49 CFR part 299). Defining a MECH employee as
one who performs these required tests or inspections properly limits
part 219 coverage to those mechanical department employees who perform
functions that most directly affect safety. An employee who conducts
tests or inspections provides the last safety check on railroad rolling
equipment before its operation. Final tests or inspections, if not
performed or if performed improperly, could lead to single points of
failure in the mechanical safety process. An employee who performs a
Federally mandated ``last look'' at the equipment, whether or not it
has undergone any repair, maintenance, or servicing work, is
responsible for ensuring that the equipment is compliant with Federal
regulations and safe for use.
---------------------------------------------------------------------------
\1\ Public Law 115-271, Oct. 24, 2018.
\2\ 86 FR 1418.
---------------------------------------------------------------------------
By amending the term ``regulated employee'' to include MECH
employees, FRA is making them subject to all part 219 prohibitions and
testing (pre-employment, random, post-accident toxicological (PAT),
reasonable suspicion, return-to-duty, and follow-up). Railroads,
contractors, and subcontractors must comply with the same reporting,
recordkeeping, and referral requirements for MECH employees, as for
covered service and MOW employees.
In addition to changes to part 219 directly related to the addition
of MECH employees, this final rule also makes other changes to part
219, as proposed in the NPRM.
FRA has analyzed the economic impact of this final rule. FRA
estimated the costs associated with random testing, reasonable cause/
reasonable suspicion testing, pre-employment drug testing, and
Government administrative costs.\3\ As shown in the following table,
over the 10-year period of analysis, the final rule will result in
total costs of approximately $10.7 million (Present Value (PV) 7%).
---------------------------------------------------------------------------
\3\ The final rule will not create new costs associated with PAT
testing for mechanical employees as they are already subject to part
219 PAT requirements.
Total 10-Year Costs \4\
----------------------------------------------------------------------------------------------------------------
Annualized Annualized
Category Total cost, 7 Total cost, 3 cost, 7 cost, 3
percent ($) percent ($) percent ($) percent ($)
----------------------------------------------------------------------------------------------------------------
Pre-Employment.................................. 1,621,930 1,896,210 230,926 222,294
Random Testing.................................. 7,987,551 9,038,433 1,137,248 1,059,580
Reasonable Cause and Reasonable Suspicion....... 261,670 305,921 37,256 35,863
Government Administrative Cost.................. 866,431 1,012,950 123,360 118,749
---------------------------------------------------------------
Total....................................... 10,737,582 12,253,514 1,528,790 1,436,486
----------------------------------------------------------------------------------------------------------------
The benefits of the final rule will come from reducing the number
of mechanical employees who have a substance use disorder (SUD). FRA
has determined that testing programs provide a deterrent effect to the
misuse of alcohol and use of illicit drugs. This deterrence will reduce
the number of existing mechanical employees with an SUD. Employee SUDs
have an array of associated costs, including lost productivity,
absenteeism, low morale, increased illness, and accidents. The
deterrent effect of testing will induce mechanical employees with an
SUD to modify their behavior with regard to the misuse of alcohol and/
or use of illicit drugs. Pre-employment drug testing will prevent
individuals with SUDs from being hired as mechanical employees. Random
testing and reasonable cause/suspicion testing will allow railroads to
identify mechanical employees with SUDs so that they can address those
safety issues through rehabilitation or termination of employment.
---------------------------------------------------------------------------
\4\ Note: In this and subsequent tables, numbers may not add due
to rounding.
---------------------------------------------------------------------------
As shown in the following table, over a 10-year period of analysis,
the final rule will result in total benefits of $41.0 million (PV 7%).
Total 10-Year Benefits
----------------------------------------------------------------------------------------------------------------
Annualized Annualized
Category Total benefit, Total benefit, benefit, 7 benefit, 3
7 percent ($) 3 percent ($) percent ($) percent ($)
----------------------------------------------------------------------------------------------------------------
Deterrent Effect................................ 37,732,478 44,113,296 5,372,256 5,171,424
Pre-Employment.................................. 1,759,972 2,096,798 250,580 245,809
Random Testing.................................. 1,251,224 1,432,169 178,146 167,894
Reasonable Cause and Reasonable Suspicion....... 209,520 249,619 29,831 29,263
---------------------------------------------------------------
Total....................................... 40,953,195 47,891,881 5,830,814 5,614,390
----------------------------------------------------------------------------------------------------------------
[[Page 5721]]
II. Discussion of General Comments and Conclusions
FRA received comments from 12 individuals and 4 organizations in
response to the NPRM. While FRA has considered all of the comments
submitted, FRA is not identifying comments from individuals in the
discussion below as they were generally supportive of the rule or
raised unrelated issues outside of its scope such as the opioid
epidemic and marijuana legalization.
The American Public Transportation Association (APTA), the National
Transportation Safety Board (NTSB), and in a joint submission, the
Association of American Railroads (AAR) and the American Short Line and
Regional Railroad Association (ASLRRA), submitted comments on the NPRM.
Rail labor did not comment on FRA's proposal.
A. FRA's Proposed Mechanical Employee Definition
1. Summary
A common thread among the railroad commenters was that FRA should
expand its proposed MECH employee definition to include all mechanical
department employees, without qualifications or limitations on the
functions or duties these employees perform. APTA supported the
addition of employees who repair, service, and maintain railroad
rolling equipment, while the NTSB reiterated Safety Recommendation R-
08-7, which advocates coverage of all employees who perform safety-
sensitive functions, as defined in Sec. 209.303. FRA will address the
APTA and NTSB comments below.
AAR/ASLRRA asserted that FRA should include all employees who
perform mechanical duties involving railroad rolling equipment in the
definition of MECH employee, stating that other FRA safety regulations,
such as training standards (49 CFR part 243) and blue signal protection
(49 CFR part 218), define mechanical employees to include those who
perform repair, service, and maintenance functions. AAR had submitted a
petition for rulemaking requesting part 219 coverage of mechanical
employees in 2018.\5\
---------------------------------------------------------------------------
\5\ 86 FR 1419.
---------------------------------------------------------------------------
AAR/ASLRRA also stated that employees who perform repair, service,
and maintenance functions have the same risk exposure as employees who
inspect and test rolling equipment, as they also work on, under or
between rolling equipment. Moreover, employees who fuel locomotives,
replenish engine oils and water, clean and/or supply locomotives, check
car lading, and load/unload freight cars, perform work with and around
railroad rolling equipment. According to AAR/ASLRRA, both groups are
subject to personal injury if impaired while on-duty, and have the
potential to cause safety-related accidents and incidents.
Finally, while laborers and hostlers who operate locomotives are
already regulated employees under part 219, AAR/ASLRRA suggested that
FRA consider them MECH employees even if railroads later decide to
remove their locomotive operation duties, because they would continue
to be exposed to the risks of working with and around rolling stock.
FRA is not persuaded that this rule should anticipate speculative
railroad work policies. And, as discussed further below, although the
purpose of part 219 in general, and random testing in particular, is to
encourage safety by deterring workplace substance abuse, it is not an
employee safety rule.
Moreover, if FRA were to include every employee who performs
mechanical activities without qualifying distinctions, part 219 would
cover employees whose tasks are too attenuated from rail safety to
constitute a direct risk, such as employees who fuel, clean, and supply
locomotives, or retrieve and fulfill parts orders. As discussed below,
FRA has both 4th Amendment and programmatic concerns about subjecting
these employees to random testing.
2. Fourth Amendment Implications
In Skinner v. Railway Labor Executives' Association,\6\ the Supreme
Court held that the collection and analysis of biological samples for
FRA mandated or authorized drug and alcohol tests are 4th Amendment
searches. The Court, in upholding FRA PAT and reasonable suspicion
testing, found both searches reasonable because FRA's compelling
interest in rail safety outweighed the privacy interests of railroad
employees performing safety-sensitive tasks.
---------------------------------------------------------------------------
\6\ 489 U.S. 602 (1989).
---------------------------------------------------------------------------
Although Skinner did not address the Constitutionality of random
testing, several months later, a decision by the U.S. District Court
for the District of Columbia reinforced that a direct safety nexus was
crucial to sustain the workplace testing of employees. In
Transportation Institute, et al. v. United States Coast Guard, et
al.,\7\ the Court enjoined implementation of the random testing part of
a U.S. Coast Guard final rule \8\ that established its workplace
testing program. The Coast Guard had required, with limited exceptions,
all crewmembers serving on board a commercial vessel to be subject to
random testing, to include not only those employees whose ordinary
duties directly affected the safety of vessel navigation and
operations, but also any who could be assigned safety-critical tasks in
an emergency. In holding the program was over-inclusive and violative
of the 4th Amendment, the Court found that the Coast Guard had
impermissibly covered maintainers, cooks, messmen, and other employees
whose tasks were insufficiently tied to safety to justify their
inclusion in random testing. The Coast Guard, in lieu of appealing the
decision, suspended implementation of its random testing program and
published another final rule which narrowed the focus of its random
testing program to employees who performed functions directly affecting
the safety of vessel operations or the emergency safety of
passengers.\9\
---------------------------------------------------------------------------
\7\ 727 F. Supp. 648 (D.D.C. 1989).
\8\ 53 FR 47064, Nov. 21, 1988.
\9\ 56 FR 31034, July 8, 1991.
---------------------------------------------------------------------------
Similarly, the expansion of the MECH employee definition to include
all employees who perform mechanical activities would add mechanical
department employees who, as examples, fuel, clean, and supply
locomotives, or retrieve and fulfill parts orders, as noted above. The
addition of these employees, and others who perform mechanical
activities that do not directly affect safety, would impermissibly
broaden the scope of part 219 beyond the workplace testing limits set
by these decisions.
3. Decrease in Random Testing Deterrence
The inclusion of employees who repair, service, or maintain rail
rolling stock would lessen the impact of random testing, FRA's
strongest deterrence tool against railroad workplace substance abuse.
The FRA random drug positive rate has declined from a high of 0.94% in
2004 to 0.51% in 2020, even with the addition of maintenance-of-way
(MOW) activities to regulated service in 2017 and synthetic opioid pain
medications to the testing panel in 2018. FRA has consistently refined
its random testing pool design requirements to improve the probability
of a railroad selecting and testing employees who directly affect
safety. For example, a railroad must periodically review its random
testing pools to detect and remove employees who perform regulated
service on a de minimis (less than quarterly) basis. In
[[Page 5722]]
its final rule adding MOW employees to part 219 coverage,\10\ FRA
specified pool size minimums and other requirements to improve the
efficacy of random testing.
---------------------------------------------------------------------------
\10\ 81 FR 37894, June 10, 2016.
---------------------------------------------------------------------------
Adoption of the commenters' requested definition would add
thousands of mechanical department employees, such as locomotive
servicing employees and shop laborers, who perform functions only
tangentially related to rail safety. The inclusion of these employees
would ``dilute'' mechanical employee pools by adding random testing
selections that would displace those of employees who directly impact
rail safety.
4. Consistency With the SUPPORT Act
AAR/ASLRRA, APTA, and NTSB asserted that FRA's proposed definition,
by covering some, but not all, mechanical department employees was
inconsistent with section 8102 of the Act. FRA notes, however, that as
a corollary to section 8102(a)'s mandate to cover MECH employees,
section 8102(b) authorized FRA to define mechanical activities. Had
Congress intended FRA to cover mechanical department employees without
restrictions, the Act would not have qualified section 8102(a)'s
mandate with section 8102(b)'s direction for FRA to determine, and thus
limit, which functions constitute mechanical activities for purposes of
part 219 coverage. Under the Act's own terms, the final rule complies
with both subsections of section 8102.
5. Consistency With the MOW Employee Definition
APTA suggested an alternate definition, under which a MECH employee
would be ``[a]ny employee of a railroad whose duties include
inspection, testing, maintenance or repair of railroad rolling
equipment or its components.'' As explanation, APTA stated that: This
language would make FRA's MECH and MOW employee definitions more
consistent; substituting ``whose duties include'' for ``performs''
would remove the need to track employees who perform tests and
inspections for purposes of determining random testing pool inclusion;
and poor performance of maintenance and repairs, which it asserts are
safety-critical tasks, could go undetected during daily and periodic
inspections and tests. AAR/ASLRRA also commented that FRA's proposed
treatment of MECH employees differed from its treatment of MOW
employees who, as ``roadway workers,'' are defined in Sec. 214.7 to
include employees who maintain or repair railroad track and other
structures.
Yet, the Act neither addresses, nor requires, consistency between
part 219's MECH employee and MOW employee definitions. In its final
rule incorporating MOW employees,\11\ FRA adopted the roadway worker
definition in Sec. 214.7 of its Railroad Workplace Safety regulation,
Roadway Worker Protection (subpart C of 49 CFR part 214). FRA adopted
this longstanding definition because the railroad industry was already
familiar with its meaning and application. In contrast, there is no
pre-existing definition of MECH employee, and FRA is authorized to
define the term as it deems appropriate.
---------------------------------------------------------------------------
\11\ 81 FR 47894.
---------------------------------------------------------------------------
As FRA states in Sec. 219.1, the purpose of its alcohol and drug
regulation is to prevent accidents and casualties related to substance
abuse in rail operations. In Sec. 214.301, however, FRA states that
the purpose of its roadway worker protection regulation is, as implied
by its subpart's heading, to prevent moving equipment-related accidents
and casualties to roadway workers. Part 219, like all workplace testing
rules, focuses on deterrence and detection of on-duty use and
impairment, to improve the safety of rail employees generally, while
part 214 focuses on operating rules to improve the safety of roadway
employees specifically. FRA's mechanical regulations (e.g., part 215)
set minimum Federal safety standards for rail equipment. While these
rules specify equipment requirements that promote a safe working
environment for all employees, their stated purposes do not
specifically include MECH employee safety.
FRA is expanding the scope of part 219, a workplace safety rule, to
include MECH employees who work with railroad equipment subject to
numerous workplace safety rules. Subpart C of part 214's stated
purpose, to protect the safety of an individual category of employees,
is unique to roadway workers/MOW employees. Aside from their
consecutive incorporation as non-covered service employee categories,
there is no equivalency between MOW and MECH employees, and no reason
to make their definitions consistent. In addition, part 214 and FRA's
mechanical regulations do not have the burden of balancing 4th
Amendment rights and safety that must be considered when defining a
regulated service function in part 219.
6. Treatment of Employees Subject to Part 209
While pleased that FRA was proposing to expand the scope of part
219, the NTSB expressed disappointment that FRA's proposal would not
satisfy Safety Recommendation R-08-7,\12\ which recommends the
inclusion not only of employees who repair or maintain railroad rolling
equipment, but all railroad employees and agents who perform the
training, testing, and supervision roles described in Sec. 209.303
(subpart D of 49 CFR part 209, Railroad Safety Enforcement Procedures).
However, the NTSB acknowledged that it may be appropriate, on a limited
basis, to exempt certain employees who perform only specific minor
repair or maintenance tasks from the MECH employee definition in the
final rule, following the example of paragraph (1)(ii) of the proposed
MECH employee definition.
---------------------------------------------------------------------------
\12\ https://data.ntsb.gov/carol-main-public/sr-details/R-08-007.
---------------------------------------------------------------------------
As further background, on April 10, 2008, the NTSB issued Safety
Recommendations R-08-5 through R-08-7 to FRA.\13\ At that time, part
219 coverage extended only to covered service employees. All three
recommendations stemmed from a January 9, 2007, Massachusetts Bay
Transportation Authority accident, which killed two MOW employees and
seriously injured two others. (FRA discussed this accident and its
corresponding NTSB accident report (NTSB RAR-08/01 \14\) in its MOW
rulemaking.\15\) The NTSB stated:
---------------------------------------------------------------------------
\13\ https://www.ntsb.gov/safety/safety-recs/recletters/R08_05_07.pdf.
\14\ https://www.ntsb.gov/investigations/AccidentReports/Pages/RAR0801.aspx.
\15\ 79 FR 43830 (July 28, 2014), 81 FR 37894 (June 10, 2016).
The FRA data from postaccident alcohol and drug testing indicate
that maintenance-of-way employees are about three times more likely
to have positive test results than are covered employees (19.23
percent vs. 6.56 percent). This difference is attributable 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
Safety Board concludes that the FRA's random alcohol and drug
testing program has been a deterrent to alcohol and drug use by
covered employees, as evidenced by their significantly lower
positive rate in postaccident tests than maintenance-of-way
employees who are not subject to random testing. Limiting the
applicability of alcohol and drug testing to only ``hours-of-
service'' employees restricts the potential effectiveness of the FRA
rule to control alcohol and drug use. All employees and agents in
safety-sensitive positions should be
[[Page 5723]]
subject to all the provisions of 49 Code of Federal Regulations
(CFR) Part 219. Therefore, the Safety Board recommends that the FRA
revise the definition of ``covered employee'' under 49 CFR part 219
for purposes of Congressionally mandated alcohol and controlled
substances testing programs to encompass all employees and agents
performing safety-sensitive functions, as described in 49 CFR
---------------------------------------------------------------------------
209.301 and 209.303.
In Sec. 209.303, FRA identified the individuals in the rail
industry who would be subject to disqualification by specifying the
functions these individuals performed.\16\ While Sec. 209.303 includes
individuals who train and test employees, individuals who conduct FRA-
mandated training and testing may do so without approaching railroad
track, equipment, or roadbed. Moreover, part 209 is a rule of general
applicability, which lists the individuals subject to FRA's individual
liability, disqualification, and subpoena powers. The NTSB does not
provide a direct correlation between the functions identified for
purposes of disqualification and individual liability and the functions
identified for purposes of random alcohol or drug testing. Without
further justification from the NTSB, it is unclear how the performance
of the excluded Sec. 209.303 functions impacts rail safety, or why FRA
should include all employees subject to Sec. 209.303 under part 219.
---------------------------------------------------------------------------
\16\ 54 FR 48924, Oct. 18, 1989, implementating in part the Rail
Safety Improvement Act of 1988, Public Law 100-342 (June 22, 1988).
---------------------------------------------------------------------------
APTA also recommended that FRA include foremen, general foremen,
supervisors, general supervisors, and others who directly supervise or
oversee employees performing mechanical activities. Because FRA's MECH
employee definition determines coverage by function, not title, these
employees would be performing regulated service if they sign-off on
inspections, or test safety-critical systems or components.
B. Pre-Employment Testing
APTA requested that FRA exempt MECH employees from the required
two-year retrospective alcohol and drug records check for new and
first-time transfers in Sec. 40.25 of DOT's Procedures for
Transportation Workplace Drug and Alcohol Testing Programs (49 CFR part
40, cross-referenced in part 219 in Sec. 219.701(a)). Section 40.25
requires an employer to check an employee's previous two years of DOT
drug and alcohol testing results within 30 days of when the employee
performs safety-sensitive duties for that employer for the first time.
FRA cannot grant an exemption from Sec. 40.25 for MECH employees,
which APTA acknowledged is a requirement set by DOT's Office of Drug
and Alcohol Policy and Compliance (ODAPC). Section 40.5 authorizes only
ODAPC and the DOT Office of General Counsel to issue official
interpretations of part 40.
FRA is, however, exempting current MECH employees from pre-
employment drug testing. Only MECH employees hired by a railroad, or a
railroad contractor or subcontractor, after the effective date of this
final rule will be required to have a negative DOT pre-employment drug
test before performing regulated service for the first time. As with
MOW employees, this exemption applies only so long as the MECH employee
continues to perform work for the same DOT-regulated employer. An
initially exempted MECH employee must have a negative DOT pre-
employment drug test result before performing regulated service for a
different or additional DOT-regulated employer.
Moreover, consistent with part 219's treatment of MOW employees,
FRA is not requiring a contractor or subcontractor employee who
performs MECH activities for multiple railroads to have a negative
Federal pre-employment drug test result for each railroad, provided
that the contractor or subcontractor employee has a negative Federal
pre-employment drug test result on file with the contractor who is his
or her direct employer.
C. Initial Mechanical Employee Annual Random Testing Rates
FRA is setting the initial minimum annual random testing rates for
MECH employees at 50 percent for drugs and 25 percent for alcohol, as
it did for MOW and covered service employees when they first became
subject to FRA testing. See Sec. 219.625(c). FRA will create an
independent Management Information System (MIS) database of industry-
wide MECH employee positive and violation rates to set future minimum
annual random testing rates, and will maintain its initial random
testing rates for MECH employees until it has received two complete
years of MIS data for this new category. An employer who is required to
submit an annual MIS report may place its MECH employees in a
commingled pool so long as the employer reports its results under the
correct safety-sensitive category.
D. Post-Accident Toxicological Testing
In 2019, FRA published on its website a PAT testing application
(app) which can be downloaded for free in both iOS and Android formats.
The app contains guidance, among other resources, for determining
whether an accident or incident qualifies as a PAT testing event and,
if it does, which employees should be tested. FRA had proposed to
remove appendix B, which designates its PAT testing laboratory, and
appendix C, which contains its PAT specimen collection procedures, from
part 219, in favor of making the information contained in both
appendices kept in traditional hardcopy form in the actual testing kits
and available on its app, where PAT guidance is already available.
AAR/ASLRRA asserted that appendix C should remain in part 219
because railroads are responsible for compliance with its instructions
and procedures. FRA notes that a railroad representative is unlikely to
consult appendix C until a PAT testing event has occurred, and PAT
testing kits will, as always, contain up-to-date and accurate reference
copies of information otherwise contained in both appendices.
Furthermore, an on-site supervisor conducting a preliminary field
accident investigation can readily access the information contained in
(former) appendix C on FRA's app, which is intended to be a one-stop
resource for information on PAT determinations and collections.
AAR/ASLRRA also asked how FRA will notify railroads of future
changes to the information otherwise contained in (former) appendices B
and C. FRA will announce these changes on its drug and alcohol page, at
https://railroads.dot.gov/divisions/partnerships-programs/drug-and-alcohol, and in its app. In addition, FRA maintains an individual
inventory number for each PAT testing box it has issued, and will
distribute updates to box holders (primarily railroad DERs (Designated
Employee Representatives)) as necessary as it has done in the past. For
example, all box holders will automatically receive new mailing labels
upon FRA's selection of a different contracted PAT testing laboratory.
AAR/ASLRRA requested that FRA add PAT testing protocols
specifically to address the PAT testing of MECH employees, noting that
unlike other regulated employees who have real-time involvement with
railroad accidents, MECH employees frequently perform their functions
well in advance of a qualifying event. This is unnecessary. FRA's
requirements for PAT drug testing to be conducted within four hours of
an event, and no later than 24 hours after its occurrence, apply to all
PAT testing events. If a railroad is unable to determine that a MECH
employee may have contributed to a
[[Page 5724]]
PAT testing event's cause or severity within those time limits, the
railroad is prohibited from PAT testing the employee involved. FRA is
not revising its PAT testing protocols. Further, as discussed below,
the tracing back of repair and servicing records, beyond the mechanical
test or inspection point, would make PAT testing of the employees who
performed these functions unlikely.
E. Effective Date of Final Rule and Timetable for Submitting Random
Testing Plans for MECH Employees
Noting that FRA had allowed 12 months for implementation of the MOW
rule, APTA requested a minimum period of 18-24 months, asserting that
due to the coronavirus pandemic, railroads need more time to meet the
hiring needs required to staff the addition of MECH employees to random
testing. FRA is not persuaded by this argument. Most railroads are
required to conduct random testing. A railroad that does so will
already have its selection method, DERs, service agents, and other
program requirements and structures in place, so that the addition of
one or more random testing pools should not require extensive hiring.
AAR/ASLRRA requested a 90-day implementation period, should FRA
require railroads to submit revised or new random testing plans 30 days
before the rule's effective date. FRA is meeting this requested
timetable by making the rule effective 30 days after its publication,
and then requiring random testing plan submissions to be submitted to
FRA within 60 days after the rule becomes effective, instead of 30 days
before, as proposed. Railroads may also submit random testing plans to
FRA as soon as the rule becomes effective.
III. Section-by-Section Analysis
Unless discussed below, FRA is adopting, as proposed, each
provision of the NPRM for which it received no comment.
Authority
FRA is amending the authority citation for part 219 to add a
reference to section 8102 of the SUPPORT Act.
Subpart A--General
Section 219.3 Application
Paragraph (b)
FRA received no comments on its proposal to remove and reserve
paragraph (b) in its entirety, and is adopting this amendment as
proposed. Former paragraph (b)(1) is redundant with Sec. 219.800(a),
and former paragraphs (b)(2) and (3) can now be found in new paragraph
(g) of Sec. 219.800.
Paragraph (c)
FRA received no comments on its proposal to except small railroads,
defined as railroads with 15 or fewer covered employees with minimal
joint operations, from the reasonable cause, random testing, and
employee referral requirements found respectively in subparts E, G, and
K. FRA will continue to count only covered employees, and not MECH or
MOW employees, to determine whether a railroad is a small railroad for
purposes of this exception. FRA will also treat MECH employees the same
as MOW employees for purposes of contractor compliance. As with MOW
employees, a contractor's level of part 219 compliance will be
determined by the size of the railroad(s) for which it performs MECH
activities, not its size as a contractor. A contractor who performs
MECH activities exclusively for small railroads (15 or fewer covered
employees) that are excepted from full compliance with part 219 is also
excepted from full compliance. Whereas, a contractor who performs MECH
activities for at least one railroad that is required to be in full
compliance with part 219 must also be in full compliance with part 219.
Section 219.5 Definitions
Category of Regulated Employee
As amended, this definition includes the categories of covered
service, MOW, and MECH employees (as defined in this section). For the
purposes of determining random testing rates under Sec. 219.625, if an
individual performs covered service, maintenance-of-way activities,
and/or mechanical activities, he or she belongs in the category of
regulated employee that corresponds with the majority of the employee's
regulated service.
Employee
FRA is amending this definition to include any individual who
performs activities for a subcontractor to a railroad.
Mechanical or MECH Employee
For the reasons stated above, FRA is adopting its proposal to
define a MECH employee as any employee who, on behalf of a railroad,
performs mechanical tests or inspections required by parts 215, 221,
229, 230, 232, or 238 of this chapter on railroad rolling equipment, or
its components. In addition, the term would also include any such
employee who performs mechanical tests or inspections required by the
Texas Central Railroad High-Speed Rail Safety Standards (49 CFR part
299). These employees working on behalf of the Texas Central Railroad
may otherwise be inadvertently excluded from the application of this
rule because part 299 is a rule of particular applicability with its
own requirements for mechanical tests and inspections.\17\ No such
exclusion was intended.
---------------------------------------------------------------------------
\17\ 85 FR 69731 (Nov. 3, 2020).
---------------------------------------------------------------------------
Regulated Employee
FRA is expanding this definition to include a MECH employee (as
defined in this section) who performs regulated service (as defined in
this section).
Regulated Service
FRA is expanding this definition to include activities performed by
a MECH employee (as defined in this section).
Rolling Equipment
FRA is defining rolling equipment as locomotives, railroad cars,
and one or more locomotives coupled to one or more cars, based on the
definition of rolling equipment provided in FRA's Railroad Operating
Practices regulation (49 CFR 218.5).
Side Collision
The term ``side collision'' was formerly defined to mean ``a
collision at a turnout where one consist strikes the side of another
consist.'' FRA had proposed to clarify this term to include collisions
at switches or ``highway-rail grade crossings.'' In this final rule,
FRA is substituting ``railroad crossings at grade'' for its proposed
addition of ``highway-rail grade crossings.'' This change more
appropriately clarifies the intent to address side collisions between
train consists, not those that occur at highway-rail grade crossings
between trains and highway vehicles.
Section 219.10 Penalties
As proposed, FRA is substituting the term ``regulated employee''
for ``employee,'' to clarify that the requirements of this section
apply to MOW, MECH, and covered employees.
Section 219.11 General Conditions for Chemical Tests
Paragraph (g)
FRA is removing references to appendices B and C.
Section 219.23 Railroad Policies
This section sets forth requirements for a railroad's Federal
alcohol and drug testing policy, including requirements for railroads
to provide employees educational materials explaining the requirements
of this part, as well as the
[[Page 5725]]
railroad's policies and procedures with respect to meeting those
requirements.
Paragraph (a)
FRA is substituting the term ``regulated employee'' for
``employee,'' to clarify that the requirements of this section apply to
MOW, MECH, and covered employees.
Paragraph (c)
FRA is revising paragraph (c)(2) to require railroads to make hard
copies of the required educational materials in this section available
to each MECH employee for a minimum of three years after the effective
date of the final rule. When FRA added MOW employees to the scope of
part 219, it required railroads to make the same hard copy distribution
to those employees for the same three-year period to introduce them to
part 219. Because that three-year period for MOW employees has ended,
existing paragraph (c)(2) has become unnecessary. FRA is therefore
revising paragraph (c)(2) to address the addition of MECH employees and
remove the reference to MOW employees.
Paragraph (d)(2)
FRA is amending this paragraph to specify that MECH employees as
subject to the provisions in this part.
Subpart C--Post-Accident Toxicological Testing
As discussed above, MECH employees are subject to the same PAT
testing requirements as covered service and MOW employees. A MECH
employee must be PAT tested if a railroad representative can
immediately determine, based on the best information available at the
time of the decision, that the employee's improper or omitted
mechanical test or inspection may have contributed to the cause or
severity of a PAT-qualifying accident or incident. FRA is not revising
its PAT testing protocols. The tracing back of repair and servicing
records, beyond the mechanical test or inspection point, would make PAT
testing of the employees who performed these functions unlikely, since
PAT drug testing must be conducted within four hours of an event, and
no later than 24 hours after its occurrence. The on-duty and recall
provisions for MECH employees are the same as for other employee
categories.
As proposed, FRA is removing appendices B and C. The name and
mailing address of FRA's designated PAT laboratory (former appendix B)
and instructions for toxicological specimen collection (former appendix
C) will be made available both in FRA's PAT testing kits and in its PAT
testing app.
Section 219.203 Responsibilities of Railroads and Employees
Paragraph (a)
FRA is removing the reference to appendix C in this paragraph,
consistent with the removal of appendix C from this part.
Paragraph (d)
FRA is eliminating the requirement for a railroad to submit a
written explanation if a specimen collection is delayed for more than
four hours after the occurrence of a PAT event. However, under Sec.
219.209(b), a railroad must still provide immediate telephonic
notification and submit a written follow-up report via email when it is
unable to collect and provide PAT specimens to FRA.
Section 219.205 Specimen Collection and Handling
FRA is removing the references to appendices B and C in this
section, consistent with the removal of these appendices from this
part.
Section 219.206 FRA Access to Breath Test Results
FRA is removing the reference to appendix C, consistent with the
removal of appendix C from this part.
Section 219.207 Fatality
This section contains the requirements for PAT testing in the case
of an employee fatality in an accident or incident described in Sec.
219.101.
Paragraph (c)
FRA is removing ``Aviation Medical Examiners'' (AMEs) from the list
of professionals authorized to collect post-mortem body fluid and
tissue samples from a deceased employee for FRA PAT testing.
Paragraph (d)
FRA is removing the reference to appendix C, consistent with the
removal of appendix C from this part.
Section 219.211 Analysis and Follow-Up
As proposed in the NPRM, FRA is amending this section to simplify
and clarify its language. Additionally, FRA is requiring the submission
of reports and requests under this section to be sent to FRA solely by
email. Although FRA had proposed to continue to allow such reports and
requests to be submitted in hard copy, while additionally allowing the
flexibility of email submissions, the onset of the coronavirus disease
2019 (COVID-19) pandemic has led both FRA and its stakeholders to
increasingly rely on electronic communications and submissions, which
has become even clearer since issuance of the NPRM. Therefore,
requiring all submissions to be made electronically under this section
effectively codifies existing practice. No substantive changes are
intended other than the amendments discussed below.
Paragraph (a)
FRA is removing the reference to appendix B, consistent with the
removal of appendix B from this part.
Paragraph (c)
As noted, FRA is requiring an MRO to submit a report by email to an
email box specifically set up for receipt of MRO reports ([email protected]).
Paragraph (e)
FRA is amending this paragraph to adopt its proposed clarifications
and to require that an employee's response to the employee's PAT
results be sent by email within 45 days of receipt to [email protected].
Paragraph (i)
FRA is amending this paragraph to adopt its proposed clarifications
and provide that an employee's request for a retest of PAT test
specimens must be submitted by email to [email protected]. The employee's request must still be
submitted within the 60-day time limit and specify the railroad,
accident date, and location.
Subpart E--Reasonable Cause Testing
Section 219.403 Requirements for Reasonable Cause Testing
FRA is revising the introductory paragraph of this section to
clarify that a railroad that elects to conduct reasonable cause testing
under FRA authority may only use the rule violations listed in
paragraph (b) as bases for testing.
Paragraph (b)
FRA is removing ``or other errors'' from this paragraph to clarify
that a railroad that chooses to conduct reasonable cause testing for
rule violations under FRA authority may do so only for a rule violation
specified in paragraph (b). FRA is also clarifying the intent of the
proposed language of rule violation Sec. 219.403(b)(20), for ease of
understanding. No substantive changes are intended.
[[Page 5726]]
As proposed, FRA is adding reasonable cause testing bases
specifically applicable to MECH employee functions. FRA authorizes, but
does not require, reasonable cause testing, and received no comments in
response to these additional rule violations, which involve common
mechanical activities such as setting derails, performing brake tests,
and initiating appropriate blue flag protection, as well as a rule
violation for positive train control (PTC) enforcement to address PTC
requirements that became applicable after the publication of the MOW
rule.
Subpart F--Pre-Employment Tests
Section 219.501 Pre-employment Drug Testing
Paragraph (e)
FRA is clarifying that: (1) Covered employees performing regulated
service for small railroads are exempted from pre-employment drug
testing only if they were performing regulated service for the railroad
before June 12, 2017; and (2) MOW employees are exempted from pre-
employment drug testing only if they were performing ``regulated
service'' for a railroad before June 12, 2017, and not just ``duties''
that may not have qualified as ``regulated service.'' Both clarifying
amendments are consistent with discussion in the MOW final rule
preamble, which explained that FRA was exempting employees who, before
June 12, 2017, were performing MOW activities for a railroad or covered
service for a small railroad.\18\
---------------------------------------------------------------------------
\18\ 81 FR 37911 (June 10, 2016).
---------------------------------------------------------------------------
FRA is also exempting from pre-employment drug testing MECH
employees who were performing mechanical activities for a railroad, or
contractor or subcontractor of a railroad, before March 4, 2022.
An exempted employee must have a negative pre-employment drug test
before performing regulated service for a new or additional employing
railroad, or contractor or subcontractor of a railroad, on or after
June 12, 2017, for exempted covered employees and maintenance-of-way
employees, and on or after March 4, 2022 for MECH employees.
Paragraph (f)
To clarify how the proposed revisions in this section fit with the
existing requirements of part 40, as discussed above, this new
paragraph specifies that Sec. 40.25 of DOT's Workplace Testing
Procedures (49 CFR part 40) applies to a MOW or MECH employee who was
or would be exempted from FRA pre-employment drug testing. To comply
with Sec. 40.25, a railroad must conduct a drug and alcohol records
check of a previously exempted MOW or MECH employee's previous two
years of employment within 30 days of when the employee performs
regulated service for the first time.
Subpart G--Random Alcohol and Drug Testing Programs
Section 219.605 Submission and Approval of Random Testing Plans
Paragraph (a)
Similar to the revisions made to the filing requirements of Sec.
219.211, and to effectively codify current practice, this final rule
revises this section to require a railroad to submit its random testing
plan to FRA by email to [email protected]. The plan
must include the name of the railroad or contractor in the subject
line.
Paragraph (e)
FRA is amending this paragraph to subject an employee who performs
MECH activities to the same random testing requirements as one who
performs covered service or MOW activities. As discussed under section
II.E. above, AAR/ASLRRA requested a 90-day implementation period. FRA
is meeting this requested timetable by making the rule effective 30
days after its publication, and then requiring random testing plan
submissions to be submitted to FRA within 60 days after the rule
becomes effective. Railroads may submit random testing plans to FRA as
soon as the rule becomes effective.
Each railroad or contractor or subcontractor to a railroad must
submit for FRA approval or acceptance a random testing plan ensuring
that each MECH employee reasonably anticipates that he or she is
subject to random testing without advance warning each time the
employee is on-duty and subject to performing MECH activities. A
railroad can comply with its responsibility for ensuring that its MECH
contractor and subcontractor employees are subject to random testing by
including these contractor and subcontractor employees in its own
random testing plan, or by requiring contractors and subcontractors to
submit their own random testing plans to FRA for acceptance. FRA has
developed model random testing plans for MOW employees and contractors
that could also serve as templates for MECH employees and
contractors.\19\ In either case, contractors and subcontractors are
also responsible for ensuring that their employees who perform MECH
activities comply with the rule's random testing requirements.
---------------------------------------------------------------------------
\19\ A Model Railroad Contractor Compliance Plan is available on
the FRA Drug and Alcohol Program web page at https://railroads.dot.gov/divisions/partnerships-programs/drug-and-alcohol.
---------------------------------------------------------------------------
Section 219.607 Requirements for Random Testing Plans
Paragraph (c)
FRA is revising paragraph (c) of this section to reflect the
application of railroad random testing plans to MECH employees, and to
make other, minor clarifications.
Section 219.615 Random Testing Collections
Paragraph (e)
FRA is revising paragraph (e)(3) to state that a railroad must
inform ``each regulated employee'' that he or she has been selected for
random testing at the time the employee is notified--rather than inform
``an regulated employee.'' FRA does not intend this as a substantive
change but merely as a clarification and grammatical correction of an
existing requirement.
Section 219.617 Participation in Random Alcohol and Drug Testing
Paragraph (a)
FRA is substituting the term ``regulated employee'' for
``employee'' in paragraph (a)(3), to clarify that the requirements of
this section apply to MOW, MECH, and covered employees.
Section 219.625 FRA Administrator's Determination of Random Alcohol and
Drug Testing Rates
Paragraph (c)(1)
As stated above, an employee who performs MECH activities is
subject to the same random testing requirements as one who performs
covered service. Formerly, this paragraph authorized the Administrator
to amend the minimum annual random testing rates, which are initially
set at 50 percent for drugs and 25 percent for alcohol, for a new
category of regulated employee after the compilation of 18 months of
Management Information System (MIS) data. To allow sufficient time for
the implementation of random testing by MECH contractors, FRA is
requiring two consecutive, full calendar years of MIS data before the
minimum annual random testing rates for this category may be lowered,
as it did with both MOW and covered employees when
[[Page 5727]]
they first became subject to random testing.
Subpart I--Annual Report
Section 219.800 Annual Reports
Paragraph (a)
FRA is clarifying that a railroad must submit summary data for its
alcohol misuse and drug abuse programs in its MIS report.
Paragraph (f)
FRA is requiring a railroad to submit its annual MIS report in the
appropriate separate sections for its covered employees (e.g., train,
engine, signal, dispatch), MOW employees, and MECH employees.
Paragraph (g)
As proposed, FRA is moving Sec. 219.3(b)'s annual MIS reporting
requirements for contractors to this subpart to consolidate and clarify
its railroad and contractor MIS reporting requirements.
Appendices B and C to Part 219
As discussed above, FRA is removing appendices B and C to this
part, because these appendices duplicate information that can be found
in FRA's PAT testing kits and PAT testing app. Every PAT testing kit
includes the address of FRA's PAT testing laboratory and an address for
mailing. For ease of reference, standard PAT testing kits contain
instructions for the collection of urine, blood and breath specimens,
while fatality PAT testing shipping kits contain instructions for the
post-mortem collection of body fluid and tissue specimens.
IV. Regulatory Impact and Notices
A. Executive Order 12866 and DOT Regulatory Policies and Procedures
This final rule is not a significant regulatory action within the
meaning of Executive Order 12866 and DOT Order 2100.6A (Rulemaking and
Guidance Procedures).\20\ Details on the 10-year estimated costs and
benefits of this rule can be found in the rule's Regulatory Impact
Analysis, which FRA has prepared and placed in the docket (docket
number FRA-2019-0071).
---------------------------------------------------------------------------
\20\ https://www.transportation.gov/sites/dot.gov/files/2021-06/DOT-2100.6A-Rulemaking-and-Guidance-%28003%29.pdf.
---------------------------------------------------------------------------
FRA is expanding the definition of regulated employee to include
mechanical employees in part 219, as mandated by section 8102 of the
SUPPORT Act.\21\ The final rule will subject mechanical employees to
the provisions of part 219. The final rule will also include non-
quantified miscellaneous amendments that will reduce reporting burdens,
enhance a railroad's authority to conduct reasonable cause testing, and
add clarity to part 219.
---------------------------------------------------------------------------
\21\ Public Law 115-271.
---------------------------------------------------------------------------
The final rule generates costs related to provisions on pre-
employment, random testing, reasonable cause/reasonable suspicion
testing, and Government administration. As shown in the following
table, over the 10-year period of analysis, the final rule will result
in a total discounted cost of approximately $10.7 million (PV 7%).
Total 10-Year Costs
----------------------------------------------------------------------------------------------------------------
Annualized Annualized
Category Total cost, 7 Total cost, 3 cost, 7 cost, 3
percent ($) percent ($) percent ($) percent ($)
----------------------------------------------------------------------------------------------------------------
Pre-Employment.................................. 1,621,930 1,896,210 230,926 222,294
Random Testing.................................. 7,987,551 9,038,433 1,137,248 1,059,580
Reasonable Cause and Reasonable Suspicion....... 261,670 305,921 37,256 35,863
Government Administrative Cost.................. 866,431 1,012,950 123,360 118,749
---------------------------------------------------------------
Total....................................... 10,737,582 12,253,514 1,528,790 1,436,486
----------------------------------------------------------------------------------------------------------------
The benefits of the final rule will come from reducing the number
of mechanical employees who have an SUD. FRA has determined that
testing programs provide a deterrent effect to the misuse of alcohol
and illicit drugs. This deterrence will reduce the number of existing
mechanical employees with an SUD. Employee SUDs have an array of
associated costs, including lost productivity, absenteeism, low morale,
increased illness, and accidents. The deterrent effect of testing will
induce mechanical employees with an SUD to modify their behavior with
regard to the misuse of alcohol and/or use drugs. Pre-employment drug
testing will help prevent individuals with SUDs from being hired as
mechanical employees. Random testing and reasonable cause/suspicion
testing will help railroads identify mechanical employees with SUDs so
that they can mitigate those issues through rehabilitation or
termination of employment.
Over a 10-year period of analysis, this analysis estimates the
final rule's benefits by multiplying the reduction in the number of
employee work years that mechanical employees with an SUD are employed
(17,036 employee work years) by the annual cost of having a mechanical
employee with an SUD ($3,200) on the payroll. As shown in the following
table, over a 10-year period of analysis, the final rule will result in
total benefits of approximately $41.0 million (PV 7%).
Total 10-Year Benefits
----------------------------------------------------------------------------------------------------------------
Annualized Annualized
Category Total benefit, Total benefit, benefit, 7 benefit, 3
7 percent ($) 3 percent ($) percent ($) percent ($)
----------------------------------------------------------------------------------------------------------------
Deterrent Effect................................ 37,732,478 44,113,296 5,372,256 5,171,424
Pre-Employment.................................. 1,759,972 2,096,798 250,580 245,809
Random Testing.................................. 1,251,224 1,432,169 178,146 167,894
[[Page 5728]]
Reasonable Cause and Reasonable Suspicion....... 209,520 249,619 29,831 29,263
---------------------------------------------------------------
Total....................................... 40,953,195 47,891,881 5,830,814 5,614,390
----------------------------------------------------------------------------------------------------------------
B. Regulatory Flexibility Act and Executive Order 13272; Certification
The Regulatory Flexibility Act of 1980 ((RFA) 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. When an agency issues a rulemaking proposal, the RFA requires
the agency to ``prepare and make available for public comment an
initial regulatory flexibility analysis'' which will ``describe the
impact of the proposed rule on small entities.'' \22\ Section 605 of
the RFA allows an agency to certify a rule, in lieu of preparing an
analysis, if the proposed rulemaking is not expected to have a
significant economic impact on a substantial number of small entities.
Out of an abundance of caution, FRA prepared an initial regulatory
flexibility analysis (IRFA) to accompany the NPRM, which noted no
expected significant economic impact on a substantial number of small
entities; no comments were received on this analysis.
---------------------------------------------------------------------------
\22\ 5 U.S.C. 603(a).
---------------------------------------------------------------------------
In this final rule, FRA is amending part 219 to include mechanical
employees. Drug and alcohol testing will become applicable to employees
who perform mechanical activities for railroads, contractors, and
subcontractors. This will include pre-employment drug, random, and
reasonable cause/reasonable suspicion testing.
The final rule will apply to all railroads, although not all
requirements will be relevant to all railroads. FRA estimates there are
744 Class III railroads, of which 704 operate on the general system.
These railroads are of varying size, with some belonging to larger
holding companies.
Part 219 excepts small railroads, defined as railroads with 15 or
fewer covered employees and having minimal joint operations with other
railroads, from random testing. Small railroads are also exempt from
FRA reasonable cause testing. FRA is not changing this small railroad
exception to account for railroads' mechanical employees.
The final rule will impose statutorily required costs related to
pre-employment drug testing, random testing, reasonable suspicion
testing, recordkeeping, and annual report submission. The final rule
will also impose discretionary costs related to reasonable cause
testing, which FRA has included in its economic analysis supporting
this rule. FRA expects that the costs borne by a railroad will be
proportionate to the number of employees. As such, FRA expects the
costs for small entities will be much less than those borne by large
entities.
As enumerated in the IRFA, the final rule will result in an average
annual cost for a full compliance small railroad of $449 in year 1 to
year 3 and $242 in year 4 to year 10. Partial compliance small
railroads will have an average annual burden of approximately $41 as
they will only be subject to adding pre-employment testing.
When developing the final rule, FRA considered the impact that the
final rule would have on small entities. To add clarity and narrow the
scope of those employees subject to the final rule, FRA chose a
definition for ``mechanical employees'' that listed explicit
exclusions. This rule will benefit small railroads by reducing the
number of employees with an SUD that remain on the payroll. FRA
estimates this final rule will only minimally impact small railroads
and, overall, the net benefit will be positive to small railroads.
Consistent with the findings in FRA's IRFA, and the lack of any
comments received on it, the Deputy Administrator of FRA hereby
certifies that this final rule will not have a significant economic
impact on a substantial number of small entities.
C. Paperwork Reduction Act
FRA is submitting the information collection requirements in this
final rule to the Office of Management and Budget (OMB) for approval
under the Paperwork Reduction Act of 1995.\23\ The sections that
contain the new information collection requirements are duly designated
and the estimated time to fulfill each requirement is as follows:
---------------------------------------------------------------------------
\23\ 44 U.S.C. 3501 et seq.
----------------------------------------------------------------------------------------------------------------
Total annual
Respondent Total annual Average time Total annual dollar cost
CFR section \24\ universe responses per response burden hours equivalent
\25\
----------------------------------------------------------------------------------------------------------------
219.4--Petition for 1 railroad..... 1 petition..... 40 hours....... 40.00 $3,097.60
recognition of a foreign
railroad's workplace testing
program.
--Comments on petitions.. 1 railroad..... 2 comments + 2 15 mins + 15 1.00 77.44
copies. minutes.
219.7--Waivers............... 734 railroads 3 waiver 90 minutes..... 4.50 348.48
\26\. letters.
219.12(d)--RR Documentation 734 railroads + 6 documents.... 30 minutes..... 3.00 232.32
on need to place employee on 44,797 MOW +
duty for follow-up tests. (New) 19,058
MECH employees.
219.23(a)--Notification to 165,058 71,978 notices. 3 seconds + 30 194.94 15,096.15
employees for testing. employees \27\. seconds.
[[Page 5729]]
--(c) and (e)-- 734 railroads + 744 modified/ 1 hour......... 744.33 57,640.92
Educational materials. 44,797 MOW + revised
(New) 19,058 educational
MECH employees. documents.
--Copies of educational 165,058 22,052 copies 2 minutes...... 735.07 56,923.82
materials to employees. employees. of educational
material
documents.
219.25(a)--Previous employer 19,058 MECH 7,623 reports.. 8 minutes...... 1,016.40 78,710.02
drug and alcohol checks-- employees.
Employee testing records
from previous employers and
employee release of
information (49 CFR 40.25(a)
and (f)).
219.104(b)--Removal of 734 (railroads 530 verbal 30 seconds + 2 22.08 1,709.88
employee from regulated + 44,797 MOW + notices + 530 minutes.
service--Verbal notice + (New) 19,058 letters.
follow-up written letter. MECH employees.
219.105--RR's duty to prevent 734 railroads + 3 document 5 minutes...... .25 19.36
violations--Documents 44,797 MOW + copies.
provided to FRA after agency (New) 19,058
request regarding RR's MECH employees.
alcohol and/or drug use
education/prevention program.
--RR Supervisor Rule G 734 railroads + 330,116 2 seconds...... 183.40 14,202.50
observations and records 44,797 MOW + observation
of regulated employees. (New) 19,058 records.
MECH employees.
219.201(a)--Events for which Supervisors of 500 PAT testing 5 minutes...... 41.67 3,226.92
testing is required--List of regulated determinations.
event (Note: App on PAT employees.
testing) \28\.
--(c) Report by RR 734 railroads + 2 reports...... 30 minutes..... 1.00 77.44
concerning decision by 44,797 MOW +
person other than RR (New) 19,058
representative about MECH employees.
whether an accident/
incident qualifies for
testing.
219.203/207--Verbal 734 railroads + 80 2 minutes...... 2.67 206.76
notification and subsequent 44,797 MOW + notifications.
written report of failure to (New) 19,058
collect urine/blood MECH employees.
specimens within four hours
(revision to the current
CFR, removal of written
notification reports).
--Recall of employees for 734 railroads + 4 reports...... 30 minutes..... 2.00 154.88
testing and Narrative 44,797 MOW +
Report Completion. (New) 19,058
MECH employees.
--RR reference to part 734 railroads + 98 references.. 5 minutes...... 8.17 632.68
219 requirements and 44,797 MOW +
FRA's post-accident (New) 19,058
toxicological kit MECH employees.
instructions in seeking
to obtain facility
cooperation.
--RR notification to 734 railroads + 2 phone calls.. 10 minutes..... .33 25.56
National Response Center 44,797 MOW +
of injured employee (New) 19,058
unconscious or otherwise MECH employees.
unable to give testing
consent.
--RR notification to 734 railroads + 5 phone calls.. 10 minutes..... .83 64.28
local authority. 44,797 MOW +
(New) 19,058
MECH employees.
219.205 \29\--Post Accident 734 railroads + 103 forms...... 10 minutes..... 17.17 1,329.64
Toxicological Testing Forms-- 44,797 MOW +
Completion of FRA F 6180.73. (New) 19,058
MECH employees.
--Specimen handling/ 165,058 219 forms...... 15 minutes..... 54.75 4,239.84
collection--Completion employees.
of Form FRA F 6180.74 by
train crew members after
accident.
[[Page 5730]]
--Completion of Form FRA 734 railroads + 7 forms........ 20 minutes..... 2.33 180.44
6180.75. 44,797 MOW +
(New) 19,058
MECH employees.
--Documentation of chain 734 railroads + 103 chain of 2 minutes...... 3.43 265.62
of custody of sealed 44,797 MOW + custody
toxicology kit from (New) 19,058 documents.
medical facility to lab MECH employees.
delivery.
--RR/medical facility 734 railroads + 10 written 2 minutes...... .33 25.56
record of kit error. 44,797 MOW + records.
(New) 19,058
MECH employees.
219.209(a)--Notification to 734 railroads + 103 phone 2 minutes...... 3.43 265.62
NRC and FRA of accident/ 44,797 MOW + reports.
incident where samples were (New) 19,058
obtained. MECH employees.
219.211(b)--Results of post- 734 railroads + 7 reports...... 15 minutes..... 1.75 135.52
accident toxicological 44,797 MOW +
testing to RR MRO and RR (New) 19,058
employee. MECH employees.
--MRO report to FRA of 734 railroads + 6 reports...... 15 minutes..... 1.50 116.16
positive test for 44,797 MOW +
alcohol/drugs of (New) 19,058
surviving employee. MECH employees.
219.303--RR written 734 railroads + 33 written 5 minutes...... 2.75 212.96
documentation of observed 44,797 MOW + documents.
signs/symptoms for (New) 19,058
reasonable suspicion MECH employees.
determination.
219.305--RR written record 734 railroads + 11 records..... 2 minutes...... .37 28.65
stating reasons test was not 44,797 MOW +
promptly administered. (New) 19,058
MECH employees.
219.405--RR documentation 734 railroads + 2,314 written 5 minutes...... 192.81 14,931.21
describing basis of 44,797 MOW + documents.
reasonable cause testing. (New) 19,058
MECH employees.
219.407(b)--Prompt specimen 734 railroads + 17 records..... 15 minutes..... 4.25 329.12
collection time limitation 44,797 MOW +
exceeded--Record. (New) 19,058
MECH employees.
219.501--RR documentation of 734 railroads + 6,400 lists.... 30 seconds..... 53.33 4,129.88
negative pre-employment drug 44,797 MOW +
tests. (New) 19,058
MECH employees.
219.605(a)--Submission of 734 railroads + 12 plans....... 1 hour......... 12.00 929.28
random testing plan: New RRs. 44,797 MOW +
(New) 19,058
MECH employees.
--Amendments to currently- 734 railroads + 450 amendments. 1 hour......... 450.00 34,848.00
approved FRA random 44,797 MOW +
testing plan. (New) 19,058
MECH employees.
--Resubmitted random 734 railroads + 56 resubmitted 30 minutes..... 28.00 2,168.32
testing plans after 44,797 MOW + plans.
notice of FRA (New) 19,058
disapproval of plan or MECH employees.
amendment.
[[Page 5731]]
--Non-substantive 734 railroads + 300 amendments. 15 minutes..... 75.00 5,808.00
amendment to an approved 44,797 MOW +
plan. (New) 19,058
MECH employees.
219.615--Incomplete random 734 railroads + 2,250 documents 30 seconds..... 18.75 1,452.00
testing collections-- 44,797 MOW +
Documentation. (New) 19,058
MECH employees.
219.617--Employee Exclusion 734 railroads + 6 documents.... 1 hour......... 6.00 464.64
from random alcohol/drug 44,797 MOW +
testing after providing (New) 19,058
verifiable evidence from MECH employees.
credible outside
professional.
219.623--Random testing 734 railroads + 48,977 records. 1 minutes...... 816.28 63,212.72
records. 44,797 MOW +
(New) 19,058
MECH employees.
219.800--Annual reports-- 38 railroads + 55 MIS reports. 90 minutes..... 82.50 6,388.80
Management Information 17 contractors.
System (MIS) form for MECH
employees (49 CFR 40.26--MIS
form submission).
219-1001--Co-worker referral 734 railroads + 24 referrals... 5 minutes...... 2.00 154.88
of employee who is unsafe to 44,797 MOW +
work with/in violation of (New) 19,058
part 219 or railroad's drug/ MECH employees.
alcohol rules.
----------------------------------------------------------------------------------
Total.................... 734 railroads + 495,744 N/A............ 4,830 374,064
44,797 MOW + responses.
(New) 19,058
MECH employees.
----------------------------------------------------------------------------------------------------------------
All estimates include the time for reviewing instructions;
searching existing data sources; gathering or maintaining the needed
data; and reviewing the information.
---------------------------------------------------------------------------
\24\ The burdens under Sec. Sec. 219.25(a) and 219.800(b), once
approved by OMB, will fall under DOT's part 40 information
collection (OMB No. 2105-0529). Additionally, the burdens under
Sec. Sec. 219.603, 219.607, 219.609, 219.611, 219.1001, 219.1003,
219.1005, and 219.1007 are included under Sec. 219.605.
Furthermore, the burdens under Sec. Sec. 219.12(c), 219.104(d),
219.105(a)(2)-(a)(3), 219.107(a)-(b), 219.203(a)(3)(ii), 219.300,
219.301, 219.302, 219.502, 219.503, 219.608, 219.615(g),
219.617(b)(2), 219.621, 219.701, and 219.903 are covered under DOT's
Part 40 (OMB No. 2105-0529).
\25\ The dollar equivalent cost is derived from the 2020 Surface
Transportation Board's Full Year Wage A&B data series using the
appropriate employee group hourly wage rate that includes 75-percent
overhead charges. Also, totals may not add due to rounding.
\26\ For purposes of this table, the respondent universe of 734
railroads includes the estimated 30 contractor companies that will
be newly subject to part 219 because they perform MECH activities on
behalf of these railroads.
\27\ The respondent universe of 165,058 employees includes an
estimated 19,058 MECH employees who will be newly subject to part
219. Note: The number of employees changed from 171,410 to 165,058
due to a change in the estimated number of MECH employees from
25,410 to 19,058.
\28\ FRA is adding the existing burden associated with the usage
of FRA's PAT testing app.
\29\ A public comment from AAR/ASLRRA asked FRA how it will
notify railroads of future changes to the information otherwise
contained in (former) appendices B and C. FRA will add any changes
to information from these former appendices on its drug and alcohol
page, at https://railroads.dot.gov/divisions/partnerships-programs/drug-and-alcohol, and in FRA's PAT testing app, in addition to its
PAT testing kits, as appropriate. The burden associated with the
review of the updated information is already covered under Sec.
219.201(a).
---------------------------------------------------------------------------
For information or a copy of the paperwork package submitted to
OMB, contact Ms. Hodan Wells, Information Collection Clearance Officer,
Office of Railroad Safety, Federal Railroad Administration, at 202-493-
0440.
Organizations and individuals desiring to submit comments on the
collection of information requirements should direct them via email to
Ms. Wells at [email protected].
OMB is required to make a decision concerning the collection of
information requirements contained in this 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. FRA is not authorized to
impose a penalty on persons for violating information collection
requirements that do not display a current OMB control number, if
required.
D. Environmental Impact
Consistent with the National Environmental Policy Act \30\ (NEPA),
the Council of Environmental Quality's NEPA implementing regulations at
40 CFR parts 1500-1508, and FRA's NEPA implementing regulations at 23
CFR part 771, FRA has evaluated this final rule and determined that it
is categorically excluded from environmental review and therefore does
not require the preparation of an environmental assessment (EA) or
environmental impact statement (EIS). Categorical exclusions (CEs) are
actions identified in an agency's NEPA implementing regulations that do
not normally have a significant impact on the environment and therefore
do not require either an EA or EIS.\31\ Specifically, FRA has
determined that this final rule is categorically excluded from detailed
[[Page 5732]]
environmental review pursuant to 23 CFR 771.116(c)(15),
``[p]romulgation of rules, the issuance of policy statements, the
waiver or modification of existing regulatory requirements, or
discretionary approvals that do not result in significantly increased
emissions of air or water pollutants or noise.''
---------------------------------------------------------------------------
\30\ 42 U.S.C. 4321 et seq.
\31\ 40 CFR 1508.4.
---------------------------------------------------------------------------
The purpose of this rulemaking is to expand the scope of FRA's
alcohol and drug regulation to cover MECH employees who test or inspect
railroad rolling equipment. This rule will not directly or indirectly
impact any environmental resources and will not result in significantly
increased emissions of air or water pollutants or noise. Instead, the
rule will likely result in safety benefits. In analyzing the
applicability of a CE, FRA must also consider whether unusual
circumstances are present that would warrant a more detailed
environmental review.\32\ FRA has concluded that no such unusual
circumstances exist with respect to this final rule and it meets the
requirements for categorical exclusion under 23 CFR 771.116(c)(15).
---------------------------------------------------------------------------
\32\ 23 CFR 771.116(b).
---------------------------------------------------------------------------
Pursuant to Section 106 of the National Historic Preservation Act
and its implementing regulations, FRA has determined this undertaking
has no potential to affect historic properties.\33\ FRA has also
determined that this rulemaking will not approve a project resulting in
a use of a resource protected by Section 4(f).\34\
---------------------------------------------------------------------------
\33\ 16 U.S.C. 470.
\34\ Department of Transportation Act of 1966, as amended (Pub.
L. 89-670, 80 Stat. 931); 49 U.S.C. 303.
---------------------------------------------------------------------------
E. Executive Order 12898 (Environmental Justice)
Executive Order 12898, Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations, and DOT
Order 5610.2(a) \35\ require DOT agencies to achieve environmental
justice as part of their mission by identifying and addressing, as
appropriate, disproportionately high and adverse human health or
environmental effects, including interrelated social and economic
effects, of their programs, policies, and activities on minority
populations and low-income populations. The DOT Order instructs DOT
agencies to address compliance with Executive Order 12898 and
requirements within the DOT Order in rulemaking activities, as
appropriate. FRA has evaluated this final rule under Executive Order
12898 and the DOT Order and has determined it will not cause
disproportionately high and adverse human health and environmental
effects on minority populations or low-income populations.
---------------------------------------------------------------------------
\35\ 91 FR 27534 (May 10, 2012).
---------------------------------------------------------------------------
F. Federalism Implications
Executive Order 13132, ``Federalism,'' \36\ 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, an 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.
---------------------------------------------------------------------------
\36\ 64 FR 43255 (Aug. 10, 1999).
---------------------------------------------------------------------------
FRA has analyzed this final rule under the principles and criteria
contained in Executive Order 13132. This rule, issued under a statutory
mandate, 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. FRA has determined that the rule will not impose
substantial direct compliance costs on State and local governments, and
that the consultation and funding requirements of Executive Order 13132
do not apply. However, this rule could have preemptive effect by
operation of law under certain provisions of the Federal railroad
safety statutes, specifically the former Federal Railroad Safety Act of
1970, repealed and recodified at 49 U.S.C. 20106. Section 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 section 20106.
In sum, FRA has analyzed this rule under the principles and
criteria in Executive Order 13132, and determined that it has no
federalism implications, other than the possible preemption of State
laws under Federal railroad safety statutes, specifically 49 U.S.C.
20106. Therefore, preparation of a federalism summary impact statement
is not required.
G. Unfunded Mandates Reform Act of 1995
Pursuant to section 201 of the Unfunded Mandates Reform Act of
1995,\37\ 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 \38\ 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 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 rule will not result in such an
expenditure, and thus preparation of such a statement is not required.
---------------------------------------------------------------------------
\37\ Public Law 104-4, 2 U.S.C. 1531.
\38\ 2 U.S.C. 1532.
---------------------------------------------------------------------------
H. Energy Impact
Executive Order 13211 requires Federal agencies to prepare a
Statement of Energy Effects for any ``significant energy action.'' \39\
FRA has evaluated this rule in accordance with Executive Order 13211
and determined that this regulatory action is not a ``significant
energy action'' within the meaning of the Executive Order.
---------------------------------------------------------------------------
\39\ 66 FR 28355 (May 22, 2001).
---------------------------------------------------------------------------
Executive Order 13783, ``Promoting Energy Independence and Economic
Growth,'' requires Federal agencies to
[[Page 5733]]
review regulations to determine whether they potentially burden the
development or use of domestically produced energy resources, with
particular attention to oil, natural gas, coal, and nuclear energy
resources.\40\ FRA has determined that this rule will not burden the
development or use of domestically produced energy resources.
---------------------------------------------------------------------------
\40\ 82 FR 16093 (Mar. 31, 2017).
---------------------------------------------------------------------------
I. Tribal Consultation
FRA has evaluated this rule under the principles and criteria in
Executive Order 13175, Consultation and Coordination with Indian Tribal
Governments, dated November 6, 2000. The rule will not have a
substantial direct effect on one or more Indian tribes, impose
substantial direct compliance costs on Indian tribal governments, or
preempt tribal laws, and a tribal summary impact statement is not
required.
List of Subjects in 49 CFR Part 219
Alcohol abuse, Drug abuse, Drug testing, Penalties, Railroad
safety, Reporting and recordkeeping requirements, Safety,
Transportation.
The Final Rule
For the reasons stated above, FRA amends part 219 of chapter II,
subtitle B of title 49, Code of Federal Regulations as follows:
PART 219--CONTROL OF ALCOHOL AND DRUG USE
0
1. Revise the authority citation for part 219 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;
Sec. 8108, Div. A; Sec. 8102, Pub. L. 115-271; 132 Stat. 3894; and
49 CFR 1.89.
Subpart A--General
0
2. In Sec. 219.3, remove and reserve paragraph (b) and revise and
republish paragraph (c).
The revision reads as follows:
Sec. 219.3 Application.
* * * * *
(c) Small railroad exception. (1) Subparts E, G, and K do not apply
to small railroads, and a small railroad may not perform the Federal
requirements authorized by those subparts. 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 or MECH 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 or MECH 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). A contractor is not excepted if it performs MOW or MECH
activities for at least one railroad that is required to be in full
compliance with this part.
(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 and G of this
part is shared between the contractor and any railroad using the
contractor that does not qualify for the small railroad exception.
* * * * *
0
3. In Sec. 219.5:
0
a. Revise the definitions of ``Category of regulated employee'' and
``Employee''
0
b. Add in alphabetical order a definition for ``Mechanical employee'';
0
c. Revise the definitions of ``Regulated employee'' and ``Regulated
service'';
0
d. Add in alphabetical order a definition for ``Rolling equipment'';
and
0
e. Revise the definition of and ``Side collision''.
The revisions and additions read as follows:
Sec. 219.5 Definitions.
* * * * *
Category of regulated employee means a broad class of covered
service, maintenance-of-way, or mechanical employees (as defined in
this section). For the purposes of determining random testing rates
under Sec. 219.625, if an individual performs both covered service and
maintenance-of-way activities, or covered service and mechanical
activities, he or she belongs in the category of regulated employee
that corresponds with the type of regulated service comprising the
majority of his or her regulated service.
* * * * *
Employee means any individual, (including a volunteer or a
probationary employee) performing activities for a railroad, a
contractor to a railroad, or a subcontractor to a railroad.
* * * * *
Mechanical employee or MECH employee means--
(1) Any employee who, on behalf of a railroad, performs mechanical
tests or inspections required by part 215, 221, 229, 230, 232, 238, or
299 of this chapter on railroad rolling equipment, or its components,
except for:
(i) An employee who is a member of a train crew assigned to test or
inspect railroad rolling equipment that is part of a train or yard
movement the employee has been called to operate; or
(ii) An employee who only performs one or more of the following
duties:
(A) Cleaning and/or supplying cabooses, locomotives, or passenger
cars with ice, food concession items, drinking water, tools, sanitary
supplies, or flagging equipment;
(B) Servicing activities on locomotives such as fueling,
replenishing engine oils and engine water, sanding, and toilet
discharge and recharge;
(C) Checking lading for pilferage or vandalism; or
(D) Loading, unloading, or shifting car loads.
(2) An employee who only performs work related to the original
manufacturing, testing, or inspection of railroad rolling equipment, or
its components, on the manufacturer's behalf, is not a mechanical
employee or MECH employee.
* * * * *
Regulated employee means a covered employee, maintenance-of-way
employee, or mechanical employee (as defined in this section) who
performs regulated service for a railroad subject to the requirements
of this part.
Regulated service means activities a covered employee, maintenance-
of-way employee, or mechanical employee (as defined in this section)
performs that makes such an employee subject to this part.
* * * * *
Rolling equipment means locomotives, railroad cars, and one or more
locomotives coupled to one or more railroad cars.
Side collision means a collision when one consist strikes the side
of another consist at a turnout, including a collision at a switch or
at a railroad crossing at grade.
* * * * *
0
4. Revise and republish Sec. 219.10 to read as follows:
[[Page 5734]]
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 $919 and not more than $30,058 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
$120,231 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 a regulated 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 FRA's website at www.fra.dot.gov
for a statement of agency civil penalty policy.
0
5. In Sec. 219.11, revise paragraph (g) to read as follows:
Sec. 219.11 General conditions for chemical tests.
* * * * *
(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.
* * * * *
0
6. In Sec. 219.23, revise the first sentence of paragraph (a)
introductory text and revise paragraphs (c)(2) and (d)(2) to read as
follows:
Sec. 219.23 Railroad policies.
(a) Whenever a breath or body fluid test is required of a regulated
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. * * *
* * * * *
(c) * * *
(2) For a minimum of three years after March 4, 2022, also ensuring
that a hard copy of these materials is provided to each mechanical
employee.
(d) * * *
(2) The specific classes or crafts of employee who are subject to
the provisions of this part, such as engineers, conductors, MOW
employees, MECH employees, signal maintainers, or train dispatchers;
* * * * *
Subpart C--Post-Accident Toxicological Testing
0
7. In Sec. 219.203, revise paragraphs (a) introductory text and (d)(1)
to read as follows:
Sec. 219.203 Responsibilities of railroads and employees.
(a) Employees tested. A regulated employee subject to post-accident
toxicological testing under this subpart must cooperate in the
provision of specimens as described in this part.
* * * * *
(d) * * *
(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 that are 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 in conversation or via a voicemail).
* * * * *
0
8. In Sec. 219.205, revise paragraphs (a) and (c)(1), the first
sentence of paragraph (c)(2), paragraph (d), and the first sentence of
paragraph (e) 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 and the instructions provided inside the
FRA post-accident toxicological shipping kit.
* * * * *
(c) * * *
(1) FRA makes 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.
(2) Standard shipping kits may be ordered by requesting an order
form from FRA's Drug and Alcohol Program Manager at 202-493-6313. * * *
(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 FRA's post-accident toxicological
testing laboratory. 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
ask 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 a
secure chain of custody of the kit(s) from its release by the medical
facility to its delivery for transportation.
(e) Specimen security. After a specimen kit or transportation box
has been sealed, no entity other than FRA's post-accident toxicological
testing laboratory may open it. * * *
0
9. Revise Sec. 219.206 to read as follows:
Sec. 219.206 FRA access to breath test results.
Documentation of breath test results must be made available to FRA
consistent with the requirements of this subpart.
0
10. In Sec. 219.207, revise paragraphs (c) and (d) to read as follows:
Sec. 219.207 Fatality.
* * * * *
(c) A coroner, medical examiner, pathologist, or other qualified
professional is authorized to remove the required body fluid and tissue
specimens from the remains on request of the railroad or FRA pursuant
to this part; and in so acting, such person is the delegate of the FRA
Administrator
[[Page 5735]]
under sections 20107 and 20108 of title 49, United States Code (but not
the agent of the Secretary for purposes of the Federal Tort Claims Act
(chapter 71 of Title 28, United States Code). A qualified professional
may rely upon the representations of the railroad or FRA representative
with respect to the occurrence of the event requiring that
toxicological tests be conducted and the coverage of the deceased
employee under this part.
(d) The instructions included inside the shipping kits specify body
fluid and tissue specimens required for toxicological analysis in the
case of a fatality.
0
11. In Sec. 219.211, revise paragraphs (a), (c), (e), and (i) to read
as follows:
Sec. 219.211 Analysis and follow-up.
(a) Specimens are analyzed for alcohol, controlled substances, and
non-controlled substances specified by FRA under protocols specified by
FRA. These substances may be tested for in any form, whether naturally
or synthetically derived. Specimens may be analyzed for other impairing
substances specified by FRA as necessary to the particular accident
investigation.
* * * * *
(c) With respect to a surviving employee, a test reported as
positive for alcohol or a controlled substance must be reviewed by the
railroad's Medical Review Officer (MRO) with respect to any claim of
use or administration of medications (consistent with Sec. 219.103)
that could account for the laboratory findings. The MRO must promptly
report the results of each review by email to [email protected]. The report must reference the employing
railroad, accident/incident date, and location; and state whether the
MRO reported the test result to the employing railroad as positive or
negative and the basis of any determination that analytes detected by
the laboratory derived from authorized use (including a statement of
the compound prescribed, dosage/frequency, and any restrictions imposed
by the authorized medical practitioner). Unless specifically requested
by FRA in writing, the MRO may not disclose to FRA the underlying
physical condition for which any medication was authorized or
administered. The FRA is not bound by the MRO's determination, but that
determination will be considered by FRA in relation to the accident/
incident investigation and with respect to any enforcement action under
consideration.
* * * * *
(e) An employee may respond within 45 days of receipt of his or her
test results prior to the preparation of any final investigative report
concerning the accident or incident by email to [email protected]. The employee's response must state
the accident date, railroad, and location; the position the employee
held on the date of the accident/incident; and any information the
employee requests be withheld from public disclosure. FRA will decide
whether to honor the employee's request to withhold information.
* * * * *
(i) An employee may, within 60 days of receipt of the toxicology
report, request a retest of his or her PAT testing specimen. A request
for retest must be emailed to [email protected]. The
employee's request must specify the railroad, accident date, and
location. Upon receipt of the employee's request, FRA will identify and
select a qualified referee laboratory that has available an
appropriate, validated assay for the specimen type and analyte(s)
declared positive. Because some analytes may deteriorate during
storage, if the referee laboratory detects levels above its Limit of
Detection (as defined in 49 CFR 40.3), FRA will report the retest
result as corroborative of the original PAT test result.
Subpart E--Reasonable Cause Testing
0
12. In Sec. 219.403, revise the introductory text, revise and
republish paragraph (b)(1), revise paragraphs (b)(17) and (18), and add
paragraphs (b)(19) through (22) to read as follows:
Sec. 219.403 Requirements for reasonable cause testing.
Each 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. For reasonable cause testing based on a rule violation
as authorized in paragraph (b) of this section, a railroad that elects
to test under FRA authority may only use the rule violations listed in
paragraph (b) of this section as bases for reasonable cause testing.
* * * * *
(b) * * *
(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;
(iv) Passing an absolute restrictive signal or passing a
restrictive signal without stopping (if required); or
(v) Failure to take appropriate action, resulting in the
enforcement of a positive train control system.
* * * * *
(17) Improper use of individual train detection in a manual
interlocking or control point;
(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;
(19) Failure to display blue signals in accordance with Sec.
218.25 through Sec. 218.30 of this chapter;
(20) Failure to perform a required brake test, or having knowledge
that a required brake test was not performed, pursuant to the Class I,
Class IA, Class II, or Class III, or transfer train brake test
provisions of part 232, or the running brake test provisions of part
238, of this chapter;
(21) Failure to comply with prohibitions against tampering with
locomotive mounted safety devices, or permitting a train to be operated
with an unauthorized disabled safety device in the controlling
locomotive; or
(22) Failure to have a derailing device in proper position and
locked if required in accordance with Sec. 218.109 of this chapter.
Subpart F--Pre-Employment Tests
0
13. In Sec. 219.501, revise paragraph (e) and add paragraph (f) to
read as follows:
Sec. 219.501 Pre-employment drug testing.
* * * * *
(e)(1) The pre-employment drug testing requirements of this section
do not apply to:
(i) Covered employees of railroads qualifying for the small
railroad exception (see Sec. 219.3(c)) who were performing regulated
service for the qualifying railroad, or a contractor or subcontractor
of a qualifying railroad, before June 12, 2017;
(ii) Maintenance-of-way employees who were performing regulated
service
[[Page 5736]]
for a railroad, or a contractor or subcontractor of a railroad, before
June 12, 2017; or
(iii) MECH employees who were performing regulated service for a
railroad, or contractor or subcontractor of a railroad, before March 4,
2022.
(2) An exempted employee under paragraph (e)(1) of this section
must have a negative pre-employment drug test before performing
regulated service for a new or additional employing railroad, or
contractor or subcontractor of a railroad:
(i) On or after June 12, 2017, for exempted covered employees and
maintenance-of-way employees, and
(ii) On or after March 4, 2022 for MECH employees.
(f) A railroad, or contractor or subcontractor of a railroad, must
comply with 49 CFR 40.25 by performing a records check on any of its
MOW or MECH employees who have been exempted from pre-employment
testing before the employee first performs regulated service. An
employee may not perform regulated service after 30 days from the date
on which the employee first performed regulated service, unless this
information has been obtained or a good faith effort to obtain this
information has been made and documented.
Subpart G--Random Alcohol and Drug Testing Programs
0
14. In Sec. 219.605, revise and republish paragraphs (a) and (e) to
read as follows:
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. Sec.
219.607 and 219.609 by email to [email protected].
The submission must include the name of the railroad or contractor in
the subject line. A railroad commencing start-up operations must submit
its plan no later than 30 days before its date of commencing
operations. A railroad that must comply with this subpart 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 before
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.
* * * * *
(e) Previously approved plans. A railroad is not required to
resubmit a random testing plan that FRA had approved before March 4,
2022, unless the railroad must amend the plan to comply with the
requirements of this subpart. A railroad must submit new plans,
combined plans, or amended plans incorporating new categories of
regulated employees (i.e., mechanical employees) for FRA approval at
least 60 days after March 4, 2022.
0
15. Revise Sec. 219.607 by redesignating paragraphs (c)(3) through
(14) as (c)(4) through (15), adding new paragraph (c)(3), and revising
newly redesignated paragraphs (c)(7), (9), and (14) to read as follows:
Sec. 219.607 Requirements for random testing plans.
* * * * *
(c) * * *
(3) Total number of mechanical employees, including mechanical
contractor employees and volunteers;
* * * * *
(7) Name, address, and contact information for any service
providers, including the railroad's Medical Review Officers (MROs),
Substance Abuse and Mental Health Services Administration (SAMHSA)
certified drug testing laboratory(ies), Drug and Alcohol Counselors
(DACs), Substance Abuse Professionals (SAPs), and Consortium/Third
Party Administrators (C/TPAs) or collection site management companies.
Individual collection sites do not have to be identified;
* * * * *
(9) Target random testing rates meeting or exceeding the minimum
annual random testing rates;
* * * * *
(14) Designated testing window. A 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; and
* * * * *
0
16. In Sec. 219.615, revise the first sentence of paragraph (e)(3) to
read as follows:
Sec. 219.615 Random testing collections.
* * * * *
(e) * * *
(3) A railroad must inform each regulated employee that he or she
has been selected for random testing at the time the employee is
notified. * * *
* * * * *
0
17. In Sec. 219.617, revise the first sentence of paragraph (a)(3) to
read as follows:
Sec. 219.617 Participation in random alcohol and drug testing.
(a) * * *
(3) A railroad may excuse a regulated employee who has been
notified of his or her selection for random testing only if the
employee can substantiate that a medical emergency involving the
employee or an immediate family member (e.g., birth, death, or medical
emergency) supersedes the requirement to complete the test. * * *
* * * * *
0
18. In Sec. 219.625, revise paragraph (c)(1) to read as follows:
Sec. 219.625 FRA Administrator's determination of random alcohol and
drug testing rates.
* * * * *
(c) * * *
(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 two consecutive calendar years of MIS data have been
compiled for the category of regulated employee.
* * * * *
Subpart I--Annual Report
0
19. In Sec. 219.800, revise the first sentence of paragraph (a),
revise paragraph (f), and add paragraph (g) to read as follows:
Sec. 219.800 Annual reports.
(a) Each railroad that has a total of 400,000 or more 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), must submit to FRA by March 15 of
each year a report covering the previous calendar year (January 1-
December 31), summarizing the results of its alcohol misuse and drug
abuse prevention program. * * *
* * * * *
(f) A railroad required to submit an MIS report under this section
must submit separate reports for covered employees, MOW employees, and
MECH employees.
(g)(1) This subpart does not apply to any contractor that performs
regulated service exclusively for railroads with fewer than 400,000
total employee
[[Page 5737]]
annual 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) When a contractor performs regulated service for at least one
railroad with 400,000 or more 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, this subpart applies as follows:
(i) A railroad with 400,000 or more total employee annual work
hours must comply with this subpart regarding any contractor employees
it integrates into its own alcohol and drug program under this part;
and
(ii) If a contractor establishes an independent alcohol and drug
testing program that meets the requirements of this part and is
acceptable to the railroad, the contractor must comply with this
subpart if it has 200 or more regulated employees.
Appendix B to Part 219--[Removed]
0
20. Remove appendix B to part 219.
Appendix C to Part 219--[Removed]
0
21. Remove appendix C to part 219.
Issued in Washington, DC.
Amitabha Bose,
Administrator.
[FR Doc. 2022-01985 Filed 2-1-22; 8:45 am]
BILLING CODE 4910-06-P