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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 20:20:1.0.2.8.15.1.155.1 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | A | Subpart A—General Evidence Requirements | § 219.1 Introduction. | SSA | As described in parts 216 (Eligibility for an Annuity), 234 (Lump-Sum Payments), and 222 (Family Relationships), certain requirements must be met before benefits may be paid under the Railroad Retirement Act. This part contains the basic rules for evidence that is required to support a claimant's claim for monthly or lump-sum benefit payments under the Railroad Retirement Act. Part 219 describes when evidence is required and what types of documents can be used as evidence. Part 222 defines and explains family relationships for which evidence requirements are stated in part 219. Special evidence requirements for disability annuities are found in part 220 of this chapter. | ||||
| 20:20:1.0.2.8.15.1.155.2 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | A | Subpart A—General Evidence Requirements | § 219.2 Definitions. | SSA | As used in this subpart— Annuity means a recurring payment due an entitled person for a calendar month and made to him or her on the first day of the following month. Apply means to sign a form or statement that the Board accepts as an application. Claimant means the person who files an application for an annuity or lump-sum payment for himself, herself, or some other person. Benefit means any employee annuity, spouse annuity, survivor annuity, or lump-sum payment under the Railroad Retirement Act. Convincing evidence means one or more pieces of evidence that proves to the satisfaction of the Board that an individual meets a requirement for eligibility for benefits. See § 219.7 for guides the Board uses in deciding whether evidence is convincing. Eligible means that a person meets all of the requirements for payment of benefits but has not yet applied therefor. Entitled means that a person has applied for and has proved his or her right to payment of benefits. Evidence means any record or document or testimony that helps to show whether a person is eligible for benefits. It may also be used to establish whether the person is still entitled to benefits. Representative means a person who acts on behalf of a claimant in regard to his or her claim for benefits from the Board and in the presentation of evidence to support the claim. | ||||
| 20:20:1.0.2.8.15.1.155.3 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | A | Subpart A—General Evidence Requirements | § 219.3 When evidence is required. | SSA | (a) To prove initial eligibility. The Board will ask for evidence to prove a claimant is eligible for benefits when he or she applies for benefits. Usually the Board will ask the claimant to furnish specific kinds of evidence or information by a certain date to prove initial eligibility for benefits. If evidence or information is not received by that date, the Board may decide that the claimant is not eligible for benefits and will deny his or her application. (b) To prove continued entitlement. After a claimant establishes entitlement to an annuity, the Board may ask that annuitant to produce by a certain date information or evidence needed to decide whether he or she may continue to receive an annuity or whether the annuity should be reduced or stopped. If the information is not received by the date specified, the Board may decide that the person is no longer entitled to benefits or that his or her annuity should be stopped or reduced. | ||||
| 20:20:1.0.2.8.15.1.155.4 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | A | Subpart A—General Evidence Requirements | § 219.4 Who is responsible for furnishing evidence. | SSA | (a) Claimant or representative responsible. When evidence is required to prove a person's eligibility for or right to continue to receive annuity or lump-sum payments, that claimant or his or her representative is responsible for obtaining and submitting the evidence to the Board. (b) What to do when required evidence will be delayed. When the required evidence cannot be furnished within the specified time, the claimant or representative who was asked to furnish the evidence or information should notify the Board and explain why there will be a delay. If the delay is caused by illness, failure to receive the information from another source, or a similar situation, the claimant will be allowed a reasonable time to secure the evidence or information. If the information is not received within a reasonable time as determined by the Board, the claimant or representative who was asked to furnish the evidence or information will be notified of the effect that his or her failure to furnish the evidence or information will have on the claimant's eligibility to receive or continue to receive payments. | ||||
| 20:20:1.0.2.8.15.1.155.5 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | A | Subpart A—General Evidence Requirements | § 219.5 Where and how to provide evidence. | SSA | (a) When Board office is accessible. A claimant or representative should give his or her evidence to an employee of the Railroad Retirement Board office where he or she files the application. An employee of the Board will tell the claimant or representative what is needed and how to get it. (b) When Board office is not accessible. A claimant who lives in an area where there is no Board office or who is unable to travel to a Board office may send evidence to the Board office nearest to where the claimant lives. A claimant who lives outside the United States may take evidence to the American embassy or consulate or other Foreign Service Office nearest to where he or she lives or send it to the headquarters of the Board. | ||||
| 20:20:1.0.2.8.15.1.155.6 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | A | Subpart A—General Evidence Requirements | § 219.6 Records as evidence. | SSA | [54 FR 31942, Aug. 3, 1989, as amended at 65 FR 19829, Apr. 13, 2000] | (a) General. If a claimant or an annuitant provides an original document or record as evidence to prove eligibility or continued entitlement to payments, where possible, a Board employee will make a photocopy or transcript of these original documents or records and return the original documents to the person who furnished them. A claimant may also submit certified copies of original records as described in paragraph (c) of this section. The Board may also accept uncertified copies as described in paragraph (d) of this section. (b) Foreign-language documents. If the evidence submitted is a foreign-language document, the Board may require that the record be translated. An acceptable translation includes, but is not limited to, a translation certified by a United States consular official or employee of the Department of State authorized to certify evidence, or by an employee of the Board or the Social Security Administration. (c) Certified copies of original records. The Board will accept copies of original records or extracts from records if they are certified as true and exact copies of the original by— (1) The official custodian of the record; (2) A Veterans Administration employee, if the evidence was given to that agency to obtain veterans benefits; (3) A Social Security Administration employee, if the evidence was given to that agency to obtain social security benefits; (4) A United States Consular Officer, an employee of the Department of State, or an employee of the Immigration and Naturalization Service authorized to certify evidence received outside the United States; or (5) An employee of a state agency or state welfare office authorized to certify copies of original records in the agency's or office's files. (d) Uncertified copies and facsimiles. In lieu of certified paper copies of records or extracts from such official sources as listed in paragraph (c) of this section, the Board will accept facsimile copies of such records or extracts when the official custodian of such records transmi… | |||
| 20:20:1.0.2.8.15.1.155.7 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | A | Subpart A—General Evidence Requirements | § 219.7 How the Board decides what is convincing evidence. | SSA | When the Board receives evidence, a Board representative examines it to see if it is convincing evidence. If it is, no other evidence is needed. In deciding whether the evidence is convincing, the Board representative decides whether— (a) The information contained in the evidence was given by a person in a position to know the facts; (b) There was any reason to give false information when the evidence was created; (c) The information contained in the evidence was given under oath, or in the presence of witnesses, or with the knowledge that there was a penalty for giving false information; (d) The evidence was created at the time the event took place or shortly after; (e) The evidence has been altered or has any erasures on it; and (f) The information contained in the evidence agrees with other available evidence, including existing Board records. | ||||
| 20:20:1.0.2.8.15.1.155.8 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | A | Subpart A—General Evidence Requirements | § 219.8 Preferred evidence and other evidence. | SSA | (a) Preferred evidence. When a claimant submits the type of evidence shown as preferred in subparts B and C of this part, the Board will generally find it is convincing evidence. This means that unless there is information in the Board's records that raises a doubt about the evidence, other evidence to prove the same fact will not be needed. (b) Other evidence. If preferred evidence is not available, the Board will consider any other evidence a claimant furnishes. If the other evidence consists of several different records or documents which all show the same information, the Board may determine that it is convincing evidence even though it is not preferred evidence. If the other evidence is not convincing by itself, the claimant will be asked to submit additional evidence. If the additional evidence shows the same information all the evidence considered together may be convincing evidence. (c) Board decision. When the Board has convincing evidence of the facts that must be proven, or when it is clear that the evidence provided does not prove the necessary facts, the Board will make a formal decision about the applicant's rights to benefits. | ||||
| 20:20:1.0.2.8.15.1.155.9 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | A | Subpart A—General Evidence Requirements | § 219.9 Evidence, information, and records filed with the Board. | SSA | The Railroad Retirement Act provides criminal penalties for any persons who misrepresent the facts or make false statements to obtain payments for themselves or someone else. All evidence and documents given to the Board are kept confidential and are not disclosed to anyone but the person who submitted them, except under the rules described in part 200 of this chapter. | ||||
| 20:20:1.0.2.8.15.2.155.1 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | B | Subpart B—Evidence of Age and Death | § 219.20 When evidence of age is required. | SSA | (a) Evidence of age is required when an employee applies for an annuity under the Railroad Retirement Act or for Medicare coverage under title XVIII of the Social Security Act. (b) Evidence of age is also required from a person who applies for a spouse's or divorced spouse's, widow's, widower's, surviving divorced spouse's, parent's, or child's annuity under the Railroad Retirement Act, or for Medicare coverage under title XVIII of the Social Security Act. | ||||
| 20:20:1.0.2.8.15.2.155.2 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | B | Subpart B—Evidence of Age and Death | § 219.21 Types of evidence to prove age. | SSA | (a) Preferred evidence. The best type of evidence to prove a claimant's age is— (1) A birth certificate recorded before age 5; (2) A church record of birth or baptism recorded before age 5; or (3) Notification of registration of birth made before age 5. (b) Other evidence of age. If an individual cannot obtain preferred evidence of age, he or she will be asked to submit other convincing evidence to prove age. The other evidence may be one or more of the following records, with the records of highest value listed first: (1) Hospital birth record or certificate. (2) Physician's or midwife's birth record. (3) Bible or other family record. (4) Naturalization record. (5) Military record. (6) Immigration record. (7) Passport. (8) Selective service registration record. (9) Census record. (10) School record. (11) Vaccination record. (12) Insurance record. (13) Labor union or fraternal record. (14) Employer's record. (15) Marriage record. (16) A statement signed by the individual giving the reason why he or she cannot obtain other convincing evidence of age and the sworn statements of two other persons who have personal knowledge of the age that the individual is trying to prove. | ||||
| 20:20:1.0.2.8.15.2.155.3 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | B | Subpart B—Evidence of Age and Death | § 219.22 When evidence of death is required. | SSA | (a) When evidence of the employee's death is required. Evidence to prove the employee's death is always required for payment of any type of survivor annuity or lump-sum payment based on the deceased employee's record. See parts 216 and 234 for types of survivor payments. (b) When evidence to prove death of other persons is required. Evidence to prove the death of persons other than the empoyee is required when— (1) A claimant, who is eligible for survivor benefits, dies after the employee; (2) A residual lump sum (see part 234 of this chapter) is payable and a person whom the employee named to receive all or part of this payment dies before the employee, or such person dies after the employee but before receiving his or her share of the benefit; or (3) There is reasonable doubt of the death of— (i) Any person who, if alive, has priority over the applicant; (ii) Any spouse whose death is alleged to have ended a previous marriage, if a later marriage in question cannot be presumed valid under state law; or (iii) Any person the termination of whose entitlement would increase payments to other entitled persons. | ||||
| 20:20:1.0.2.8.15.2.155.4 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | B | Subpart B—Evidence of Age and Death | § 219.23 Evidence to prove death. | SSA | (a) Preferred evidence of death. The best evidence of a person's death is— (1) A certified copy of or extract from the public record of death, or verdict of the coroner's jury of the state or community where death occurred; or a certificate or statement of death issued by a local registrar or public health official; (2) A signed statement of the funeral director, attending physician, or official of an institution where death occurred; (3) A certified copy of, or extract from, an official report or finding of death made by an agency or department of the United States or of a state; or (4) If death occurred outside the United States, an official report of death by a United States Consul or other authorized employee of the State Department, or a certified copy of the public record of death in a foreign country. (b) Other evidence of death. If the preferred evidence of death cannot be obtained, the individual who must furnish evidence of death will be asked to explain the reason therefor and to submit other convincing evidence, such as sworn statements of at least two persons who have personal knowledge of the death. These persons must be able to swear to the date, time, place, and cause of death. | ||||
| 20:20:1.0.2.8.15.2.155.5 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | B | Subpart B—Evidence of Age and Death | § 219.24 Evidence of presumed death. | SSA | When a person cannot be proven dead but evidence of death is needed, the Board may presume he or she died at a certain time if the Board receives the following evidence: (a) A certified copy of, or extract from, an official report or finding by an agency or department of the United States that a missing person is presumed to be dead as stated in Federal law (5 U.S.C. 5565). Unless other evidence is submitted showing an actual date of death, the Board will use the date on which the person was reported missing as the date of death. (b) Signed statements by those in a position to know that facts and other records which show that the person has been absent from his or her residence for no apparent reason and has not been heard from for at least 7 years. If there is no evidence available that that person continued in life after the date of disappearance, the Board will use as the date of death the date the person disappeared. (c) When a person has been missing for less than 7 years but may be presumed dead due to drowning or common disaster (fire, accident, etc.), signed statements from the applicant and individuals who know the circumstances surrounding the occurrence leading to the person's disappearance. The best evidence is statements from individuals who witnessed the occurrence or saw the missing person at the scene of the occurrence shortly before it happened. | ||||
| 20:20:1.0.2.8.15.3.155.1 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | C | Subpart C—Evidence of Relationship | § 219.30 When evidence of marriage is required. | SSA | (a) When an application is filed for benefits. Documentary evidence of marriage is required when an individual files for a monthly annuity, lump-sum death payment, residual lump sum, or Medicare coverage, as the wife, husband, widow, widower, divorced spouse or surviving divorced spouse, or stepparent of the employee. A claimant may also be required to submit evidence of another person's marriage when that person's marriage is necessary to determine the applicant's entitlement to benefits under the Railroad Retirement Act. (b) State law. In deciding whether the marriage to the employee is valid or not, in a case where the employee is living, the Board will follow the law of the state where the employee had a permanent home when the applicant filed an application; in a case where the employee is dead, the Board will follow the law of the state where the employee had a permanent home when he or she died. (c) Types of evidence. What evidence will be required depends on whether the employee's marriage was a ceremonial marriage, a common-law marriage, or a marriage that can be deemed to be valid. | ||||
| 20:20:1.0.2.8.15.3.155.10 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | C | Subpart C—Evidence of Relationship | § 219.39 Evidence of relationship by legal adoption—parent or child. | SSA | (a) Preferred evidence. Preferred evidence of legal adoption is— (1) A copy of the decree or order of adoption, certified by the custodian of the record; (2) A photocopy of the decree or order of adoption; or (3) If the widow or widower adopted the child after the employee's death, the evidence described in paragraph (a)(1) or (2) of this section; the widow's or widower's statement as to whether the child was living in the same household with the employee when the employee died (see §§ 219.50 and 219.51); what support, if any, the child was getting from another person or organization; and if the widow or widower had a deemed valid marriage with the employee, evidence of that marriage (see § 219.33). (b) Other evidence of legal adoption. In some states the record of adoption proceedings is sealed and cannot be obtained without a court order. In this event, the Board will accept as proof of adoption an official notice received by the adopting parents at the time of adoption that the adoption has been completed or a birth certificate issued as a result of the adoption proceeding. | ||||
| 20:20:1.0.2.8.15.3.155.11 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | C | Subpart C—Evidence of Relationship | § 219.40 Evidence of relationship by equitable adoption—child. | SSA | (a) Preferred evidence. If the claimant is a person who claims to be the equitably adopted child of the employee (or of the employee's wife, widow, widower, or husband), as defined in part 222 of this chapter, the Board will ask for evidence of the agreement to adopt if it is in writing. The Board will also ask for written statements from the child's natural parents as well as adopting parents concerning the child's relationship to the adopting parents. (b) Other evidence. If the agreement to adopt was not in writing, the Board will require other convincing evidence about the child's relationship to the adopting parents. | ||||
| 20:20:1.0.2.8.15.3.155.12 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | C | Subpart C—Evidence of Relationship | § 219.41 Evidence of relationship of grandchild or stepgrandchild. | SSA | If the child is the grandchild or stepgrandchild of the employee, the Board will require the kind of evidence described in §§ 219.36-219.38 that shows that child's relationship to his or her parents and his or her parents' relationship to the employee. | ||||
| 20:20:1.0.2.8.15.3.155.13 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | C | Subpart C—Evidence of Relationship | § 219.42 When evidence of child's dependency is required. | SSA | Evidence of a child's dependency on the employee is required when— (a) The employee is receiving an annuity that can be increased under the social security overall minimum (see part 229 of this chapter) by including a child, grandchild or a spouse who has a child in his or her care; (b) A wife under age 65 applies for a full spouse annuity because she has a child or a grandchild of the employee in her care; or (c) A child or someone in behalf of a child applies for a child's annuity based on the deceased employee's record. | ||||
| 20:20:1.0.2.8.15.3.155.14 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | C | Subpart C—Evidence of Relationship | § 219.43 Evidence of child's dependency. | SSA | (a) When the dependency requirement must be met. Usually the dependency requirement must be met at one of the times shown in part 222 of this chapter. (b) Natural or adopted. If the child is the employee's natural or adopted child, the Board may ask for the following evidence: (1) A signed statement by someone who knows the facts that confirms that the child is the natural or adopted child. (2) If the child was adopted by someone else while the employee was alive but the adoption was annulled, the Board may require a certified copy of the annulment decree or other convincing evidence of the annulment. (3) A signed statement by someone having personal knowledge of the circumstances showing when and where the child lived with the employee and when and why they may have lived apart; and showing what contributions the employee made to the child's support and how the contributions were made. (c) Stepchild. If the child is the employee's stepchild, the Board may ask for the following evidence; (1) A signed statement by someone having personal knowledge of the circumstances showing when and where the child lived with the employee and when and why they may have lived apart. (2) A signed statement by someone having personal knowledge of the circumstances showing what contributions the employee made to the child's support, the child's ordinary living costs and the income and support the child received from any other source during the relevant time as required by § 222.55 of this chapter. (d) Grandchild or stepgrandchild. If the child is the employee's grandchild or stepgrandchild, the Board will require the evidence described in paragraph (c) of this section. The Board will also require evidence of the employee's death or disability. | ||||
| 20:20:1.0.2.8.15.3.155.15 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | C | Subpart C—Evidence of Relationship | § 219.44 Evidence of relationship of a person other than a parent or child. | SSA | (a) Claimants other than child or parent. When any person other than a child or parent applies for benefits due because of the employee's death or because of the death of a beneficiary, the Board may ask the claimant for evidence of relationship. (b) Evidence required. The type of evidence required is dependent upon the amount payable and the claimant's relationship to the deceased employee or beneficiary. (c) More than one eligible and claimants agree on relationship. If there is more than one person eligible for benefits, and all eligible persons agree on the relationship of each other eligible person, only one of the persons will be asked to furnish proof of relationship. For example, if brothers and sisters of a deceased employee file applications for the residual lump sum or annuity payments due but unpaid at death, only one of them need file proof of relationship if their applications indicate that there is no dispute as to who are the brothers and sisters of the employee. | ||||
| 20:20:1.0.2.8.15.3.155.2 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | C | Subpart C—Evidence of Relationship | § 219.31 Evidence of a valid ceremonial marriage. | SSA | (a) Preferred evidence. Preferred evidence of a ceremonial marriage is— (1) A copy of the public record of the marriage, certified by the custodian of the record or by a Board employee; (2) A copy of a church record of the marriage certified by the custodian of the record or by a Board employee; or (3) The original certificate of marriage. (b) Other evidence of a ceremonial marriage. If preferred evidence of a ceremonial marriage cannot be obtained, the applicant must state the reason therefor in writing and submit either— (1) A sworn statement of the clergyman or official who performed the marriage ceremony; or (2) Other convincing evidence, such as the sworn statements of at least two persons who have direct knowledge of the marriage, preferably eyewitnesses to the marriage ceremony. | ||||
| 20:20:1.0.2.8.15.3.155.3 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | C | Subpart C—Evidence of Relationship | § 219.32 Evidence of a common-law marriage. | SSA | (a) Preferred evidence. Evidence of a common-law marriage must give the reasons why the informant believes that a marriage exists. If the information described in this paragraph is not furnished on a form provided by the Board, it must be submitted in the form of a sworn statement. Preferred evidence of a common-law marriage is one of the following: (1) If both the husband and wife are alive, each shall sign a statement and get signed statements from one blood relative of each. The statement of another individual may be submitted for each statement the husband or wife is unable to get from a relative. Each signed statement should show— (i) That the husband and wife believed they were married; (ii) The basis for this belief; and (iii) That the husband and wife have presented themselves to the public as husband and wife. (2) If either the husband or wife is dead, the surviving spouse shall furnish a signed statement and signed statements from two blood relatives of the dead spouse. The surviving spouse's statement should show that he or she and the dead spouse believed themselves to be married, the basis for this belief, and that they presented themselves to the public as husband and wife. The statements from relatives of the dead spouse should support the surviving spouse's statement. (3) If both husband and wife are dead, the applicant shall get a signed statement from one blood relative of each dead spouse. Each statement should show that the husband and wife believed themselves to be married, the basis for this belief, and that they presented themselves to the public as husband and wife. (4) Statements by relatives and other individuals described in paragraphs (a)(1), (2) and (3) of this section are not required when— (i) The husband and wife entered into a ceremonial marriage which was void because of a legal impediment to the marriage; (ii) After the impediment was removed, the husband and wife continued to live together as man and wife until the employee filed an application or one of them died; a… | ||||
| 20:20:1.0.2.8.15.3.155.4 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | C | Subpart C—Evidence of Relationship | § 219.33 Evidence of a deemed valid marriage. | SSA | (a) Preferred evidence. Preferred evidence of a deemed valid marriage is— (1) Evidence of a ceremonial marriage as described in § 219.31; (2) If both the employee and spouse are alive, the spouse's signed statement that he or she went through the ceremony in good faith and his or her reasons for believing the marriage was valid; or if the employee is dead, the widow or widower's signed statement to that effect; (3) If required to remove a reasonable doubt, the signed statements of other persons who have information about what the parties knew about any previous marriage or other facts showing whether the parties went through the marriage ceremony in good faith; and (4) Evidence that the parties were living in the same household when the employee applied for payments; or, if the employee is dead, when he or she died. See § 219.51 for the evidence required to demonstrate living in the same household. (b) Other evidence of a deemed valid marriage. If preferred evidence of a deemed valid marriage cannot be obtained, the claimant must explain the reason therefor and submit other convincing evidence of the marriage. | ||||
| 20:20:1.0.2.8.15.3.155.5 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | C | Subpart C—Evidence of Relationship | § 219.34 When evidence that a marriage has ended is required. | SSA | Evidence of how a previous marriage ended may be required to determine whether a later marriage is valid. If a widow or widower remarried after the employee's death and that marriage was annulled, evidence of the annulment is required. If the claimant is a divorced spouse or surviving divorced spouse, evidence to prove a final or absolute divorce from the employee may be required. | ||||
| 20:20:1.0.2.8.15.3.155.6 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | C | Subpart C—Evidence of Relationship | § 219.35 Evidence that a marriage has ended. | SSA | (a) Preferred evidence. Preferred evidence that a marriage has ended is— (1) A certified copy of the decree of divorce or annulment; or (2) Evidence of the death (See § 219.23) of a party to the marriage. (b) Other evidence that a marriage has ended. If preferred evidence that the marriage has ended cannot be obtained, the claimant must explain the reason therefor and submit other convincing evidence that the marriage has ended. | ||||
| 20:20:1.0.2.8.15.3.155.7 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | C | Subpart C—Evidence of Relationship | § 219.36 When evidence of a parent or child relationship is required. | SSA | (a) When parent or child applies. A person who applies for a parent's or child's annuity or for Medicare coverage is required to submit evidence of his or her relationship to the deceased employee. (b) When individual with child in care applies. An individual who applies for an annuity because he or she has a child of the employee in care is required to submit evidence of the child's relationship to the employee. (c) Evidence required depends on relationship. The evidence the Board will require depends on whether the person is the employee's natural child, adopted child, stepchild, grandchild, or stepgrandchild; or whether the person is the employee's natural parent or adopting parent. | ||||
| 20:20:1.0.2.8.15.3.155.8 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | C | Subpart C—Evidence of Relationship | § 219.37 Evidence of natural parent or child relationship. | SSA | (a) Preferred evidence. If the claimant is the natural parent of the employee, preferred evidence of the ralationship is a copy of the employee's public or religious birth record. If the claimant is the natural child of the employee, preferred evidence of the relationship is a copy of the child's public or religious birth record. (b) Other evidence of parent or child relationship. (1) When preferred evidence of a parent or child relationship cannot be obtained, the Board may ask the applicant for evidence of the employee's marriage or of the marriage of the employee's parents if that is needed to remove any reasonable doubt of the relationship. (2) To show that a person is the child of the employee, the person may be asked for evidence that he or she would be able to inherit the employee's personal property under the law of the state where the employee died or had a permanent home. (3) In some instances the Board may ask for a signed statement from the employee that a person is his or her natural child, or for a copy of a court order showing that the person has been declared to be the child of the employee, or for a copy of a court order requiring the employee to contribute to the person's support because the person is his or her child, or for any other supporting evidence which may be required in order to establish that the person is the child of the employee. | ||||
| 20:20:1.0.2.8.15.3.155.9 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | C | Subpart C—Evidence of Relationship | § 219.38 Evidence of stepparent or stepchild relationship. | SSA | If the claimant is a stepparent or stepchild of the employee, the Board will ask for the evidence described in § 219.37 or § 219.39 which shows the person's natural or adoptive relationship to the employee's husband, wife, widow, or widower. The Board will also ask for evidence of the husband's, wife's, widow's or widower's marriage to the employee (See §§ 219.30-219.33). | ||||
| 20:20:1.0.2.8.15.4.155.1 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.50 When evidence of “living with” is required. | SSA | Evidence of “living with” (see part 222 of this chapter on Family Relationships) is required when— (a) The employee's spouse applies for a spouse's annuity as a deemed spouse; or (b) The employee's legal widow or widower applies for a lump-sum death payment, annuity payments due the employee but unpaid at death, or a residual lump-sum death payment on the basis of that relationship, or the employee's deemed widow or widower applies for a widow's or widower's annuity. | ||||
| 20:20:1.0.2.8.15.4.155.10 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.59 Evidence of responsibility for or payment of burial expenses. | SSA | The Board will ask for the following evidence: (a) The claimant's signed statement showing— (1) That he or she accepted responsibility for the funeral home expenses or paid some or all of these expenses or other burial expenses; or the name and address of the person who accepted responsibility for or paid these expenses; (2) Total funeral home expenses and, if necessary, the total of other burial expenses; and if someone else paid part of the expenses, that person's name, address, and the amount he or she paid; (3) The amount of cash or property the applicant expects to receive as repayment for any burial expenses he or she paid; and whether anyone has applied for any burial allowance from the Veterans Administration or other governmental agency for these expenses; and (4) If the claimant is an owner or official of a funeral home, a signed statement from anyone, other than employee of the home, who helped make the burial arrangements showing whether he or she accepted responsibility for paying the burial expenses. (b) Unless the claimant is an owner or official of a funeral home, a signed statement from the owner or official of the funeral home which handled the deceased employee's funeral and, if necessary, from those who supplied other burial goods or services which shows— (1) The name and address of everyone who accepted responsibility for or paid any part of the burial expenses; and (2) Information which the owner or official of the funeral home and, if necessary, any other supplier has about the expenses and payments described in paragraphs (a)(2) and (a)(3) of this section. | ||||
| 20:20:1.0.2.8.15.4.155.11 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.60 When evidence of the employee's permanent home is required. | SSA | The Board may ask for evidence to prove where the employee had a permanent home at the time of filing an application or, if earlier, at the time the employee died if— (a) The claimant is applying for payments as the employee's wife, husband, widow, widower, parent, or child; and (b) The claimant's relationship to the employee depends upon the laws of the state where the employee had his or her permanent home when his or her wife or husband applied for an annuity or when the employee died. | ||||
| 20:20:1.0.2.8.15.4.155.12 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.61 Evidence of where the employee had a permanent home. | SSA | The Board will ask for the following evidence to establish the employee's permanent home: (a) The claimant's signed statement showing what the employee considered to be his or her permanent home. (b) If the statement in paragraph (a) of this section or other evidence raises a reasonable doubt in establishing the employee's permanent home, evidence of where the employee paid personal property taxes, real estate taxes, or income taxes; or evidence where the employee voted; or other convincing evidence. | ||||
| 20:20:1.0.2.8.15.4.155.13 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.62 When evidence of “good cause” is required. | SSA | The principle of “good cause”, as defined in part 217 of this chapter, is applied by the Board in determining whether to allow an application which is submitted more than two years after the employee's death as acceptable for the lump-sum death payment or for an annuity unpaid at death, or to accept the proof of support required for entitlement to a parent's annuity if such proof is filed more than two years after the employee's death. | ||||
| 20:20:1.0.2.8.15.4.155.14 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.63 What evidence is required to establish “good cause”. | SSA | The Board will ask for the following evidence of “good cause”: (a) The claimant's signed statement explaining why he or she did not file the application for lump-sum death payment or annuity unpaid at death or the parent's proof of support within the specified two-year period. (b) If the statement in paragraph (a) of this section or other evidence raises a reasonable doubt as to whether there was good cause, other convincing evidence to establish “good cause”. | ||||
| 20:20:1.0.2.8.15.4.155.15 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.64 When evidence may be required for other reasons. | SSA | (a) The Board will require evidence of the appointment of a legal representative when— (1) The employee's estate is entitled to a lump-sum death payment, annuity unpaid at death, or residual lump sum, and an executor or administrator has been appointed for the estate; or (2) A minor child or incompetent is entitled to an annuity or lump-sum payment and a guardian, trustee, committee, or conservator has been appointed to act in his or her behalf. (b) The Board will require evidence of an annuitant's earnings when the information that he or she furnished the Board does not agree with the earnings data furnished by the Social Security Administration or secured from other sources, and the annuitant maintains that the earnings data from the Social Security Administration or from other sources is not correct. (c) The Board will require evidence to establish the amounts paid as a public service pension, public disability benefit, or worker's compensation to an employee, spouse, widow, or widower when the pension, public disability benefit, or worker's compensation affects the amount of his or her annuity. (d) The Board will require evidence to reconcile discrepancies between the information furnished by the claimant and information already in the records of the Board, the Social Security Administration, or other public agencies. Such discrepancies may be differences in name, date or place of birth, periods of employment, or other identifying data. | ||||
| 20:20:1.0.2.8.15.4.155.16 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.65 Other types of evidence that may be required. | SSA | (a) The Board may ask for a statement from an employer listing the annuitant's earnings by months and explaining any payments made to the annuitant when he or she was not working. (b) The Board may ask for copies of award notices from a public agency showing the amounts of periodic payments and the period covered by each payment. (c) The Board may ask for a statement from the applicant explaining discrepancies and may ask for sworn statements from persons who have personal knowledge of the facts or for any other convincing evidence. (d) The Board may ask for proof of the court appointment of a legal representative, such as: (1) Certified copy of letters of appointment; (2) “Short” certificate; (3) Certified copy of order of appointment; or (4) Any official document issued by the clerk or other proper official of the appointing court. | ||||
| 20:20:1.0.2.8.15.4.155.2 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.51 Evidence to prove “living with”. | SSA | The following evidence may be required: (a) If the employee is alive, both the employee and his or her spouse must sign a statement that they are living together in the same household when the spouse applies for a spouse's annuity as a deemed spouse. (b) If the employee is dead, the widow or widower must sign a statement showing whether he or she was living together in the same household with the employee when the employee died. (c) If the employee and spouse, widow or widower were temporarily living apart, a signed statement is required explaining where each was living, how long the separation lasted, and the reason for separation. If more evidence is required to remove any reasonable doubt about the temporary nature of the separation, the Board may ask for sworn statements of other persons having personal knowledge of the facts or for other convincing evidence. (d) If the employee and spouse, widow, or widower were not living in the same household, the Board may ask for evidence that the employee was contributing to or under court order to contribute to the support of his or her spouse, widow, or widower. Evidence of contributions or a certified copy of the order for support may be requested. The court order for support must be in effect on the day the spouse applies for a spouse's annuity or, if the employee is dead, the day of the employee's death. This type of evidence does not apply for purposes of establishing a deemed valid marriage. (See part 222 of this chapter.) A deemed spouse, widow, or widower must furnish evidence as described in paragraphs (a) and (b) of this section. | ||||
| 20:20:1.0.2.8.15.4.155.3 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.52 When evidence of having a child in care is required. | SSA | A person who applies for a spouse's, widow's or widower's, or surviving divorced spouse's annuity on the basis of caring for a child, or for an increase under the social security overall minimum guaranty provision based on caring for a child, is required to furnish evidence that he or she has in care an eligible child of the employee as described in part 222 of this chapter. What evidence the Board will require depends upon whether the child is living with the applicant or with someone else. | ||||
| 20:20:1.0.2.8.15.4.155.4 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.53 Evidence of having a child in care. | SSA | (a) Preferred evidence of having a child in care. Preferred evidence of having a child in care is— (1) If the child is living with the applicant, the claimant's signed statement showing that the child is living with him or her. (2) If the child is living with someone else— (i) The claimant's signed statement showing with whom the child is living and why. The claimant must also show when the child last lived with him or her, how long the separation will last, and what care and contributions he or she provides for the child; and (ii) The signed statement of the person with whom the child is living showing what care the claimant provides and the sources and amounts of support received by the child. If the child is in an institution, an official thereof should sign the statement. A copy of any court order or written agreement showing who has custody of the child should be provided to the Board. (b) Other evidence. If the preferred evidence described in paragraph (a) of this section cannot be obtained, the Board will require other convincing evidence that the applicant has the child in care. | ||||
| 20:20:1.0.2.8.15.4.155.5 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.54 When evidence of school attendance is required. | SSA | If a child age 18 applies for payments as a student, the Board will require evidence that the child is attending elementary or secondary school. After the child has started his or her school attendance, the Board may also ask for evidence that he or she is continuing to attend school full time. To be acceptable to the Board, the child must submit the evidence of school attendance within 90 days of the date the evidence is requested by the Board. | ||||
| 20:20:1.0.2.8.15.4.155.6 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.55 Evidence of school attendance for child age 18. | SSA | The child will be asked to submit (on a form furnished by the Board or other form acceptable to the Board) the following evidence: (a) A signed statement that he or she is attending school full-time and is not being paid by an employer to attend school; and (b) A statement from an official of the school verifying that the child is attending school full-time. The Board may also accept as evidence a letter of acceptance from the school, receipted bill, or other evidence showing that the child has enrolled or been accepted at that school or is continuing in full-time attendance. | ||||
| 20:20:1.0.2.8.15.4.155.7 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.56 When evidence of a parent's support is required. | SSA | If a person applies for a parent's annuity, the Board will require evidence to show that the parent received at least one-half of his or her support from the employee in the one-year period before— (a) The employee died; or (b) The beginning of a period of disability if the employee had a period of disability which did not end before his or her death. | ||||
| 20:20:1.0.2.8.15.4.155.8 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.57 Evidence of a parent's support. | SSA | (a) The Board will require the parent's signed statement showing his or her income, any other sources of support, the amount from each source and his or her expenses during the one-year period. (b) The Board may also ask the parent for signed statements from other people who know the facts about his or her sources of support. (c) If the statements described in paragraphs (a) and (b) of this section cannot be obtained, the Board will require other convincing evidence that the parent is receiving one-half of his or her support from the employee. | ||||
| 20:20:1.0.2.8.15.4.155.9 | 20 | Employees' Benefits | II | B | 219 | PART 219—EVIDENCE REQUIRED FOR PAYMENT | D | Subpart D—Other Evidence Requirements | § 219.58 When evidence regarding payment of burial expenses is required. | SSA | If a person applies for the lump-sum death payment because he or she is responsible for paying the funeral home or burial expenses of the employee or because he or she has paid some or all of these expenses, the Board will require evidence of such payment. | ||||
| 24:24:2.1.1.2.11.0.155.1 | 24 | Housing and Urban Development | II | B | 219 | PART 219—FLEXIBLE SUBSIDY PROGRAM FOR TROUBLED PROJECTS | § 219.1 Program operations. | HUD | Effective May 1, 1996, the Flexible Subsidy Program for Troubled Projects will be governed and operate under the statutory provisions codified at 12 U.S.C. 1715z-1a, under the administrative policies and procedures contained in any applicable HUD Handbooks, and other administrative bulletins and notices as the Department may issue from time to time. | ||||||
| 24:24:2.1.1.2.11.0.155.2 | 24 | Housing and Urban Development | II | B | 219 | PART 219—FLEXIBLE SUBSIDY PROGRAM FOR TROUBLED PROJECTS | § 219.2 Savings provision. | HUD | Part 219, as it existed immediately before May 1, 1996, (contained in the April 1, 1995 edition of 24 CFR, parts 200 to 219) will continue to govern the rights and obligations of housing owners, tenants, and the Department of Housing and Urban Development with respect to units and projects assisted under the Flexible Subsidy Program for Troubled Projects prior to May 1, 1996. A list of any amendments to this part published after the CFR revision date is available from the Office of the Rules Docket Clerk, Department of Housing and Urban Development, 451 Seventh Street, SW., Washington, DC 20410. | ||||||
| 49:49:4.1.1.1.14.1.11.1 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | A | Subpart A—General | § 219.1 Purpose and scope. | FRA | [66 FR 41973, Aug. 9, 2001, as amended at 81 FR 37922, June 10, 2016] | (a) The purpose of this part is to prevent accidents and casualties in railroad operations that result from impairment of employees by alcohol or drugs. (b) This part prescribes minimum Federal safety standards for control of alcohol and drug use. This part does not restrict a railroad from adopting and enforcing additional or more stringent requirements not inconsistent with this part. | ||||
| 49:49:4.1.1.1.14.1.11.10 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | A | Subpart A—General | §§ 219.13-219.15 [Reserved] | FRA | ||||||
| 49:49:4.1.1.1.14.1.11.11 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | A | Subpart A—General | § 219.17 Construction. | FRA | [78 FR 14225, Mar. 5, 2013] | Nothing in this part— (a) Restricts the power of FRA to conduct investigations under sections 20107, 20108, 20111, and 20112 of title 49, United States Code; (b) Creates a private right of action on the part of any person for enforcement of the provisions of this part or for damages resulting from noncompliance with this part; or (c) Impacts provisions of State criminal law that impose sanctions for reckless conduct that leads to actual loss of life, injury or damage to property, whether such provisions apply specifically to railroad employees or generally to the public at large. | ||||
| 49:49:4.1.1.1.14.1.11.12 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | A | Subpart A—General | § 219.19 [Reserved] | FRA | ||||||
| 49:49:4.1.1.1.14.1.11.13 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | A | Subpart A—General | § 219.21 Information collection. | FRA | (a) The information collection requirements of this part have been reviewed by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq. ) and have been assigned OMB control number 2130-0526. (b) The information collection requirements are found in the following sections: 219.7, 219.23, 219.104, 219.201, 219.203, 219.205, 219.207, 219.209, 219.211, 219.213, 219.303, 219.401, 219.403, 219.405, 219.407, 219.501, 219.502, 219.503, 219.601, 219.605, 219.701, 219.801, 219.803, 219.901, and 219.903. | |||||
| 49:49:4.1.1.1.14.1.11.14 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | A | Subpart A—General | § 219.23 Railroad policies. | FRA | [81 FR 37927, June 10, 2016, as amended at 87 FR 5734, Feb. 2, 2022] | (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. The railroad must also provide the employee clear and unequivocal written notice of the type of test that is required ( e.g., reasonable suspicion, reasonable cause, random selection, follow-up, etc.). These notice requirements are satisfied if: (1) For all FRA testing except mandatory post-accident toxicological testing under subpart C of this part, a railroad uses the mandated DOT alcohol or drug testing form, circles or checks off the box corresponding to the type of test, and shows this form to the employee before testing begins; or (2) For mandatory post-accident toxicological testing under subpart C of this part, a railroad uses the approved FRA form and shows this form to the employee before testing begins. (b) Use of the mandated DOT alcohol or drug testing forms for non-Federal tests or mandatory post-accident toxicological testing under subpart C of this part is prohibited (except for post-accident breath alcohol testing permitted under § 219.203(c)). Use of the approved FRA post-accident toxicological testing form for any testing other than that mandated under subpart C is prohibited. (c) Each railroad must develop and publish educational materials, specifically designed for regulated employees that clearly explain the requirements of this part, as well as the railroad's policies and procedures with respect to meeting those requirements. The railroad must ensure that a copy of these materials is distributed to each regulated employee hired for or transferred to a position that requires alcohol and drug testing under this part. (This requirement does not apply to an applicant for a regulated service position who either refuses to provide a… | ||||
| 49:49:4.1.1.1.14.1.11.15 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | A | Subpart A—General | § 219.25 Previous employer drug and alcohol checks. | FRA | [81 FR 37928, June 10, 2016, as amended at 85 FR 81307, Dec. 15, 2020] | (a) As required by § 219.701(a) and (b), a railroad must conduct drug or alcohol testing under this part in compliance with part 40 of this title (except for post-accident toxicological testing under subpart C of this part). A railroad must therefore comply with § 40.25 of this title by checking the alcohol and drug testing record of any direct regulated employee (a regulated employee who is not employed by a contractor to the railroad) it intends to use for regulated service before the employee performs such service for the first time. A railroad is not required to check the alcohol and drug testing record of contractor employees performing regulated service on its behalf (the alcohol and drug testing record of those contractor employees must be checked by their direct employers). (b) When determining whether a person may become or remain certified as a locomotive engineer or a conductor, a railroad must comply with the requirements in § 240.119(e) (for engineers) or § 242.115(e) (for conductors) of this chapter regarding the consideration of Federal alcohol and drug violations that occurred within a period of 60 consecutive months before the review of the person's records. | ||||
| 49:49:4.1.1.1.14.1.11.2 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | A | Subpart A—General | § 219.3 Application. | FRA | [81 FR 37922, June 10, 2016, as amended at 87 FR 5733, Feb. 2, 2022] | (a) General. This part applies to all railroads and contractors, except as provided in paragraphs (b), (c), and (d) of this section, and except for: (1) Railroads that operate only on track inside an installation that is not part of the general railroad system of transportation ( i.e., plant railroads, as defined in § 219.5); (2) Tourist, scenic, historic, or excursion operations that are not part of the general railroad system of transportation, as defined in § 219.5; or (3) Rapid transit operations in an urban area that are not connected to the general railroad system of transportation. (b) [Reserved] (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 § 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 f… | ||||
| 49:49:4.1.1.1.14.1.11.3 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | A | Subpart A—General | § 219.4 Recognition of a foreign railroad's workplace testing program. | FRA | [69 FR 19286, Apr. 12, 2004, as amended at 74 FR 25172, 25173, May 27, 2009; 81 FR 37923, June 10, 2016; 88 FR 27652, May 2, 2023] | (a) General. A foreign railroad may petition the FRA Associate Administrator for Safety for recognition of a workplace testing program promulgated under the laws of its home country as a compatible alternative to the return-to-duty requirements in subpart B of this part and the requirements of subparts E, F, and G of this part with respect to its employees whose primary reporting point is outside the United States but who enter the United States to perform train or dispatching service and with respect to its final applicants for, or its employees seeking to transfer for the first time to, duties involving such service. (1) To be so considered, the petition must document that the foreign railroad's workplace testing program contains equivalents to subparts B, F, G, and K of this part: (2) In approving a program under this section, the FRA Associate Administrator for Safety may impose conditions deemed necessary. (b) Alternative programs. (1) Upon FRA's recognition of a foreign railroad's workplace alcohol and drug use program as compatible with the return-to-duty requirements in subpart B of this part and the requirements of subparts F, G, and K of this part, the foreign railroad must comply with either the specified provisions of § 219.4 or with the standards of its recognized program, and any imposed conditions, with respect to its employees whose primary reporting point is outside the United States and who perform train or dispatching service in the United States. The foreign railroad must also, with respect to its final applicants for, or its employees seeking to transfer for the first time to, duties involving such train or dispatching service in the United States, comply with either subpart F of this part or the standards of its recognized program. (2) The foreign railroad must comply with subparts A (general), B (prohibitions, other than the return-to-duty provisions in § 219.104(d)), C (post-accident toxicological testing), D (reasonable suspicion testing), I (annual report requirements), and J (re… | ||||
| 49:49:4.1.1.1.14.1.11.4 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | A | Subpart A—General | § 219.5 Definitions. | FRA | [66 FR 41973, Aug. 9, 2001, as amended at 68 FR 10135, Mar. 3, 2003; 68 FR 75463, Dec. 31, 2003; 69 FR 19287, Apr. 12, 2004; 78 FR 14224, Mar. 5, 2013; 81 FR 37923, June 10, 2016; 87 FR 5733, Feb. 2, 2022; 90 FR 28126, July 1, 2025] | As used in this part only— Accident or incident reportable under part 225 does not include a case that is classified as “covered data” under § 225.5 of this chapter ( i.e., employee injury/illness cases reportable exclusively because a physician or other licensed health care professional either made a one-time topical application of a prescription-strength medication to the employee's injury or made a written recommendation that the employee: Take one or more days away from work when the employee instead reports to work (or would have reported had he or she been scheduled) and takes no days away from work in connection with the injury or illness; work restricted duty for one or more days when the employee instead works unrestricted (or would have worked unrestricted had he or she been scheduled) and takes no other days of restricted work activity in connection with the injury or illness; or take over-the-counter medication at a dosage equal to or greater than the minimum prescription strength, whether or not the employee actually takes the medication). Administrator means the Administrator of the Federal Railroad Administration or the Administrator's delegate. Associate Administrator means the Associate Administrator for Railroad Safety, Federal Railroad Administration, or the Associate Administrator's delegate. 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. Class I, Class II, and Class III have the meaning assigned by regulations of the Surface Transportation Board (49 CFR part 1201; General Instructions 1-1). Contractor means a contractor or su… | ||||
| 49:49:4.1.1.1.14.1.11.5 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | A | Subpart A—General | § 219.7 Waivers. | FRA | [66 FR 41973, Aug. 9, 2001, as amended at 69 FR 19287, Apr. 12, 2004] | (a) A person subject to a requirement of this part may petition the FRA for a waiver of compliance with such requirement. (b) Each petition for waiver under this section must be filed in a manner and contain the information required by part 211 of this chapter. A petition for waiver of the part 40 prohibition against stand down of an employee before the Medical Review Officer has completed the verification must also comply with § 40.21 of this title. (c) If the FRA Administrator finds that waiver of compliance is in the public interest and is consistent with railroad safety, the Administrator may grant the waiver subject to any necessary conditions. (d) Special dispensation for employees performing train or dispatching service on existing cross-border operations. If a foreign railroad requests a waiver not later than August 10, 2004, for an existing cross-border operation, subparts E, F, and G of this part shall not apply to train or dispatching service on that operation in the United States performed by an employee of a foreign railroad whose primary reporting point is outside the United States, until the railroad's waiver request is acted upon by FRA. (e) Waiver requests for employees performing train or dispatching service on new or expanded cross-border operations. A foreign railroad seeking a waiver from subparts E, F, and G of this part for its employees performing train or dispatching service on a new cross-border operation that proceeds more than 10 route miles into the United States, or a formerly excepted cross-border operation that expands beyond the 10 mile limited haul exception in paragraph (d) of this section, must file a petition not later than 90 days before commencing the subject operation. FRA will attempt to decide on such petitions within 90 days. If no action is taken on the petition within 90 days, the petition remains pending for decision and the cross-border crew assignments on the operation covered by the petition will be subject to subparts E, F, and G until FRA grants the petit… | ||||
| 49:49:4.1.1.1.14.1.11.6 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | A | Subpart A—General | § 219.9 Responsibility for compliance. | FRA | [81 FR 37926, June 10, 2016] | (a) General. Although the requirements of this part are stated in terms of the duty of a railroad, when any person, as defined by § 219.5, performs any function required by this part, that person (whether or not a railroad) shall perform that function in accordance with this part. (b) Joint operations. (1) In the case of joint operations, primary responsibility for compliance with subparts C, D, and E of this part rests with the host railroad, and all affected employees must be responsive to direction from the host railroad that is consistent with this part. However, nothing in this paragraph restricts railroads engaged in joint operations from appropriately assigning responsibility for compliance with this part amongst themselves through a joint operating agreement or other binding contract. FRA reserves the right to bring an enforcement action for noncompliance with this part against the host railroad, the employing railroad, or both. (2) When an employee of a railroad engaged in joint operations is required to participate in breath or body fluid testing under subpart C, D, or E of this part and is subsequently subject to adverse action alleged to have arisen out of the required test (or alleged refusal thereof), necessary witnesses and documents available to the other railroad engaged in the joint operations must be made available to the employee and his or her employing railroad on a reasonable basis. (c) Contractor responsibility for compliance. As provided by paragraph (a) of this section, any independent contractor or other entity that performs regulated service for a railroad, or any other services under this part or part 40 of this title, has the same responsibilities as a railroad under this part with respect to its employees who perform regulated service or other service required by this part or part 40 of this title for the railroad. The entity's responsibility for compliance with this part may be fulfilled either directly by that entity or by the railroad treating the entity's regulated empl… | ||||
| 49:49:4.1.1.1.14.1.11.7 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | A | Subpart A—General | § 219.10 Penalties. | FRA | [90 FR 28146, July 1, 2025] | (a) 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 the minimum civil monetary penalty and not more than the ordinary maximum civil monetary penalty per violation. However, penalties may be assessed against individuals only for willful violations, and a penalty not to exceed the aggravated maximum civil monetary penalty per violation may be assessed, where: (1) A grossly negligent violation, or a pattern of repeated violations, has created an imminent hazard of death or injury to persons, or (2) A death or injury has occurred. (b) 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 an employee that violates § 219.101 or § 219.102 (while imposing a duty of due diligence to prevent such conduct). See 49 CFR part 209, appendix A. Each day a violation continues constitutes a separate offense. See FRA's website at https://railroads.dot.gov/ for a statement of agency civil penalty policy. | ||||
| 49:49:4.1.1.1.14.1.11.8 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | A | Subpart A—General | § 219.11 General conditions for chemical tests. | FRA | [66 FR 41973, Aug. 9, 2001, as amended at 69 FR 19288, Apr. 12, 2004; 81 FR 37926, June 10, 2016; 87 FR 5734, Feb. 2, 2022; 88 FR 27652, May 2, 2023] | (a)(1) Any regulated employee who is subject to performing regulated service for a railroad is deemed to have consented to testing as required in subparts B, C, D, E, F, G, and K of this part. (2) A regulated employee required to participate in alcohol and/or drug testing under this part must be on duty and subject to performing regulated service when the specimen collection is initiated and the alcohol testing/body fluid specimen collection is conducted (with the exception of pre-employment testing under subpart F of this part). (b)(1) Each regulated employee must participate in such testing, as required under the conditions set forth in this part and implemented by a representative of the railroad or employing contractor. (2) In any case where an employee is suffering a substantiated medical emergency and is subject to alcohol or drug testing under this part, necessary medical treatment must be accorded priority over provision of the breath or body fluid specimen(s). A medical emergency is an acute medical condition requiring immediate medical care. A railroad may require an employee to substantiate a medical emergency by providing verifiable documentation from a credible outside professional ( e.g., doctor, dentist, hospital, or law enforcement officer) substantiating the medical emergency within a reasonable period of time. (3) Failure to remain available following an accident or casualty as required by company rules (i.e., being absent without leave) is considered a refusal to participate in testing, without regard to any subsequent provision of specimens. (c) A regulated employee who is required to be tested under subparts C, D, or E of this part and who is taken to a medical facility for observation or treatment after an accident or incident is deemed to have consented to the release to FRA of the following: (1) The remaining portion of any body fluid specimen taken by the medical facility within 12 hours of the accident or incident that is not required for medical purposes, together with any normal… | ||||
| 49:49:4.1.1.1.14.1.11.9 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | A | Subpart A—General | § 219.12 Hours-of-service laws implications. | FRA | [81 FR 37927, June 10, 2016] | (a) A railroad is not excused from performing alcohol or drug testing under subpart C (post-accident toxicological testing) and subpart D (reasonable suspicion testing) of this part because the performance of such testing would violate the hours-of-service laws at 49 U.S.C. ch. 211. If a railroad establishes that a violation of the hours-of-service laws is caused solely because it was required to conduct post-accident toxicological testing or reasonable suspicion testing, FRA will not take enforcement action for the violation if the railroad used reasonable due diligence in completing the collection and otherwise completed it within the time limitations of § 219.203(d) (for post-accident toxicological testing) or § 219.305 (for reasonable suspicion testing), although the railroad must still report any excess service to FRA. (b) A railroad may perform alcohol or drug testing authorized under subpart E (reasonable cause testing) of this part even if the performance of such testing would violate the hours-of-service laws at 49 U.S.C. ch. 211. If a railroad establishes that a violation of the hours-of-service laws is caused solely by its decision to conduct authorized reasonable cause testing, FRA will not take enforcement action for the violation if the railroad used reasonable due diligence in completing the collection and otherwise completed it within the time limitations of § 219.407, although the railroad must still report any excess service to FRA. (c) A railroad must schedule random alcohol and drug tests under subpart G of this part so that sufficient time is provided to complete the test within a covered employee's hours-of-service limitations under 49 U.S.C. ch. 211. However, if a direct observation collection is required during a random test per the requirements of part 40 of this title, then the random test must be completed regardless of the hours-of-service law limitations, although the railroad must still report any excess service to FRA. A railroad may not place a regulated employee on-duty for the … | ||||
| 49:49:4.1.1.1.14.10.11.1 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | J | Subpart J—Recordkeeping Requirements | § 219.901 Retention of alcohol and drug testing records. | FRA | [81 FR 37942, June 10, 2016] | (a) General. (1) In addition to the records part 40 of this title requires keeping, a railroad must also maintain alcohol and drug misuse prevention program records in a secure location with controlled access under this section's requirements. (2) A railroad must maintain for two years, rather than one year, the records to which § 40.333(a)(4) of this title applies ( i.e., records of negative and cancelled drug test results and alcohol test results with a concentration of less than 0.02). A railroad may maintain legible and accessible scanned or electronic copies of these records for the second year. (b) Records maintained for a minimum of five years. Each railroad must maintain the following records for a minimum of five years: (1) A summary record or the individual files of each regulated employee's test results; and (2) A copy of the annual report summarizing the results of its alcohol and drug misuse prevention program (if required to submit the report under § 219.800(a)). (c) Records maintained for a minimum of two years. Each railroad must maintain the following records for a minimum of two years: (1) Records related to the collection process: (i) Collection logbooks, if used; (ii) Documents relating to the random selection process, including the railroad's approved random testing plan and FRA's approval letter for that plan; (iii) Documents generated in connection with decisions to administer Federal reasonable suspicion or reasonable cause alcohol or drug tests; (iv) Documents generated in connection with decisions on post-accident testing; and (v) Documents verifying the existence of a medical explanation for the inability of a regulated employee to provide an adequate specimen; (2) Records related to test results: (i) The railroad's copy of the alcohol test form, including the results of the test; (ii) The railroad's copy of the drug test custody and control form, including the results of the test; (iii) Documents related to any regulated employee's refusal to submit to an alcohol … | ||||
| 49:49:4.1.1.1.14.10.11.2 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | J | Subpart J—Recordkeeping Requirements | § 219.903 Access to facilities and records. | FRA | [81 FR 37942, June 10, 2016, as amended at 88 FR 27652, May 2, 2023] | (a) Release of regulated employee information contained in records required to be maintained under § 219.901 must be in accordance with part 40 of this title and with this section. (For purposes of this section only, body fluid drug testing records are considered equivalent to breath alcohol testing records.) (b) Each railroad must grant access to all facilities used to comply with this part to the Secretary of Transportation, United States Department of Transportation, or any DOT agency with regulatory authority over the railroad or any of its regulated employees. (c) Each railroad must make available copies of all results for its drug and alcohol testing programs conducted under this part and any other information pertaining to the railroad's alcohol and drug misuse prevention program, when requested by the Secretary of Transportation or any DOT agency with regulatory authority over the railroad or regulated employee. | ||||
| 49:49:4.1.1.1.14.10.11.3 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | J | Subpart J—Recordkeeping Requirements | § 219.905 [Reserved] | FRA | ||||||
| 49:49:4.1.1.1.14.11.11.1 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | K | Subpart K—Referral Programs | § 219.1001 Requirement for referral programs. | FRA | (a) The purpose of this subpart is to help prevent the adverse effects of drug and alcohol abuse in connection with regulated employees. (b) A railroad must adopt, publish, and implement the following programs: (1) Self-referral program. A program designed to encourage and facilitate the identification of a regulated employee who abuses drugs or alcohol by providing the employee the opportunity to obtain counseling or treatment before the employee's drug or alcohol abuse manifests itself in a detected violation of this part; and (2) Co-worker referral program. A program designed to encourage co-worker participation in preventing violations of this part. (c) A railroad may adopt, publish, and implement the following programs: (1) Non-peer referral program. A program designed to encourage non-peer participation in preventing violations of this part; and (2) Alternate program(s). An alternate program or programs meeting the specific requirements of § 219.1003 or complying with § 219.1007, or both. (d) Nothing in this subpart may be construed to: (1) Require payment of compensation for any period a regulated employee is restricted from performing regulated service under a voluntary, co-worker, or non-peer referral program; (2) Require a railroad to adhere to a voluntary, co-worker, or non-peer referral program when the referral is made for the purpose, or with the effect, of anticipating or avoiding the imminent and probable detection of a rule violation by a supervising employee; (3) Interfere with the subpart D requirement for Federal reasonable suspicion testing when a regulated employee is on duty and a supervisor determines the employee is exhibiting signs and symptoms of alcohol and/or drug use; (4) Interfere with the requirements in § 219.104(d) for responsive action when a violation of § 219.101 or § 219.102 is substantiated; or (5) Limit the discretion of a railroad to dismiss or otherwise discipline a regulated employee for specific rule violations or criminal offenses, except as this su… | |||||
| 49:49:4.1.1.1.14.11.11.2 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | K | Subpart K—Referral Programs | § 219.1003 Referral program conditions. | FRA | [81 FR 37942, June 10, 2016, as amended at 85 FR 81307, Dec. 15, 2020] | (a) General. A referral program must specify the allowances, conditions, and procedures under which a self-referral, co-worker referral, and, if adopted, a non-peer referral, can occur, as follows: (1) For a self-referral, a railroad must identify one or more designated DAC contacts (including telephone number and email (if available)) and any expectations regarding when the referral is allowed to take place (such as during non-duty hours, or while the employee is unimpaired, or both, as § 219.1005 permits); (2) For a co-worker referral, a railroad may accept a referral under this subpart only if it alleges that the regulated employee was apparently unsafe to work with or in violation of this part or the railroad's drug and alcohol abuse rules. The employee must waive investigation of the rule charge and must contact the DAC within a reasonable period of time; (3) For a non-peer referral, a railroad may remove a regulated employee from service only if a railroad representative confirms that the employee is unsafe to work with or in violation of this part or the railroad's drug and alcohol abuse rules. The employee must waive investigation of the rule charge and must contact the DAC within a reasonable period of time. (b) Employment maintained. A regulated employee who is affected by a drug or alcohol abuse problem may maintain an employment relationship with a railroad if: (1) The employee seeks assistance through the railroad's voluntary referral program for his or her drug or alcohol abuse problem or a co-worker or a non-peer refers the employee for such assistance; and (2) The employee successfully completes the education, counseling, or treatment program a DAC specifies under this subpart. (c) Employment action. If a regulated employee does not choose to seek assistance through a referral program, or fails to cooperate with a DAC's recommended program, the disposition of the employee's relationship with the railroad is subject to normal employment action. (d) Qualified DAC evaluation. (1) A DA… | ||||
| 49:49:4.1.1.1.14.11.11.3 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | K | Subpart K—Referral Programs | § 219.1005 Optional provisions. | FRA | A railroad's referral program may include any of the following provisions at the option of the railroad and with the approval of the labor organization(s) affected: (a) The program may provide that the rule of confidentiality is waived if: (1) The regulated employee at any time refuses to cooperate in a DAC's recommended course of education, counseling, or treatment; or (2) The railroad determines, after investigation, that the regulated employee has been involved in a drug- or alcohol-related disciplinary offense growing out of subsequent conduct. (b) The program may require successful completion of a return-to-service medical examination as a further condition of reinstatement in regulated service. (c) The program may provide that it does not apply to a regulated employee whom the railroad has previously assisted under a program substantially consistent with this section. (d) The program may provide that, in order to invoke its benefits, the regulated employee must report to the railroad's designated contact either: (1) During non-duty hours ( i.e., at a time when the regulated employee is off duty); or (2) While unimpaired and otherwise in compliance with the railroad's drug and alcohol rules consistent with this subpart. | |||||
| 49:49:4.1.1.1.14.11.11.4 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | K | Subpart K—Referral Programs | § 219.1007 Alternate programs. | FRA | (a) Instead of the referral programs required under § 219.1001, a railroad is permitted to develop, publish, and implement alternate programs that meet the standards established in § 219.1001. Such programs must have the written concurrence of the recognized representatives of the regulated employees. Nothing in this subpart restricts a railroad or labor organization from adopting, publishing, and implementing programs that afford more favorable conditions to regulated employees troubled by drug or alcohol abuse problems, consistent with a railroad's responsibility to prevent violations of §§ 219.101, 219.102, and 219.103. (b) The concurrence of the recognized representatives of the regulated employees in an alternate program may be evidenced by a collective bargaining agreement or any other document describing the class or craft of employees to which the alternate program applies. The agreement or other document must make express reference to this subpart and to the intention of the railroad and employee representatives that the alternate program applies instead of the program required by this subpart. (c) The railroad must file the agreement or other document described in paragraph (b) of this section along with the requested alternate program it submits for approval with the FRA Drug and Alcohol Program Manager. FRA will base its approval on whether the alternative program meets the § 219.1001 objectives. The alternative program does not have to include each § 219.1001 component, but must meet the general standards and intent of § 219.1001. If a railroad amends or revokes an approved alternate policy, the railroad must file a notice with FRA of such amendment or revocation at least 30 days before the effective date of such action. (d) This section does not excuse a railroad from adopting, publishing, and implementing the programs § 219.1001 requires for any group of regulated employees not falling within the coverage of an appropriate, approved alternate program. (e) Consistent with § 219.105(c), FRA has t… | |||||
| 49:49:4.1.1.1.14.2.11.1 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | B | Subpart B—Prohibitions | § 219.101 Alcohol and drug use prohibited. | FRA | [66 FR 41973, Aug. 9, 2001, as amended at 81 FR 37928, June 10, 2016] | (a) Prohibitions. Except as provided in § 219.103— (1) No regulated employee may use or possess alcohol or any controlled substance when the employee is on duty and subject to performing regulated service for a railroad. (2) No regulated employee may report for regulated service, or go or remain on duty in regulated service, while— (i) Under the influence of or impaired by alcohol; (ii) Having 0.04 or more alcohol concentration in the breath or blood; or (iii) Under the influence of or impaired by any controlled substance. (3) No regulated employee may use alcohol for whichever is the lesser of the following periods: (i) Within four hours of reporting for regulated service; or (ii) After receiving notice to report for regulated service. (4)(i) No regulated employee tested under the provisions of this part whose Federal test result indicates an alcohol concentration of 0.02 or greater but less than 0.04 may perform or continue to perform regulated service for a railroad, nor may a railroad permit the regulated employee to perform or continue to perform regulated service, until the start of the regulated employee's next regularly scheduled duty period, but not less than eight hours following administration of the test. (ii) Nothing in this section prohibits a railroad from taking further action under its own independent company authority when a regulated employee tested under the provisions of this part has a Federal test result indicating an alcohol concentration of 0.02 or greater, but less than 0.04. However, while a Federal test result of 0.02 or greater but less than 0.04 is a positive test and may be a violation of a railroad's operating rules, it is not a violation of this section and cannot be used to decertify an engineer under part 240 of this chapter or a conductor under part 242 of this chapter. (5) If an employee tested under the provisions of this part has a test result indicating an alcohol concentration below 0.02, the test is negative and is not evidence of alcohol misuse. A railroad m… | ||||
| 49:49:4.1.1.1.14.2.11.2 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | B | Subpart B—Prohibitions | § 219.102 Prohibition on abuse of controlled substances. | FRA | [81 FR 37929, June 10, 2016] | No regulated employee may use a controlled substance at any time, whether on duty or off duty, except as permitted by § 219.103. | ||||
| 49:49:4.1.1.1.14.2.11.3 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | B | Subpart B—Prohibitions | § 219.103 Prescribed and over-the-counter drugs. | FRA | (a) This subpart does not prohibit the use of a controlled substance (on Schedules II through V of the controlled substance list) prescribed or authorized by a medical practitioner, or possession incident to such use, if— (1) The treating medical practitioner or a physician designated by the railroad has made a good faith judgment, with notice of the employee's assigned duties and on the basis of the available medical history, that use of the substance by the employee at the prescribed or authorized dosage level is consistent with the safe performance of the employee's duties; (2) The substance is used at the dosage prescribed or authorized; and (3) In the event the employee is being treated by more than one medical practitioner, at least one treating medical practitioner has been informed of all medications authorized or prescribed and has determined that use of the medications is consistent with the safe performance of the employee's duties (and the employee has observed any restrictions imposed with respect to use of the medications in combination). (b) This subpart does not restrict any discretion available to the railroad to require that employees notify the railroad of therapeutic drug use or obtain prior approval for such use. | |||||
| 49:49:4.1.1.1.14.2.11.4 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | B | Subpart B—Prohibitions | § 219.104 Responsive action. | FRA | [81 FR 37929, June 10, 2016] | (a) Removal from regulated service. (1) If a railroad determines that a regulated employee has violated § 219.101 or § 219.102, or the alcohol or controlled substances misuse rule of another DOT agency, the railroad must immediately remove the employee from regulated service and the procedures described in paragraphs (b) through (d) of this section apply. (2) If a regulated employee refuses to provide a breath or body fluid specimen or specimens when required to by the railroad under a provision of this part, a railroad must immediately remove the regulated employee from regulated service, and the procedures described in paragraphs (b) through (d) of this section apply. This provision also applies to Federal reasonable cause testing under subpart E of this part (if the railroad has elected to conduct this testing under Federal authority). (b) Notice. Before or upon removing a regulated employee from regulated service under this section, a railroad must provide written notice to the employee of the reason for this action. A railroad may provide a regulated employee with an initial verbal notice so long as it provides a follow-up written notice to the employee as soon as possible. In addition to the reason for the employee's withdrawal from regulated service, the written notice must also inform the regulated employee that he may not perform any DOT safety-sensitive duties until he completes the return-to-duty process of part 40. (c) Hearing procedures. (1) Except as provided in paragraph (e)(5) of this section, if a regulated employee denies that a test result or other information is valid evidence of a § 219.101 or § 219.102 violation, the regulated employee may demand and must be provided an opportunity for a prompt post-suspension hearing before a presiding officer other than the charging official. This hearing may be consolidated with any disciplinary hearing arising from the same accident or incident (or conduct directly related thereto), but the presiding officer must make separate findings as to com… | ||||
| 49:49:4.1.1.1.14.2.11.5 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | B | Subpart B—Prohibitions | § 219.105 Railroad's duty to prevent violations. | FRA | [81 FR 37930, June 10, 2016] | (a) A railroad may not, with actual knowledge, permit a regulated employee to go or remain on duty in regulated service in violation of the prohibitions of § 219.101 or § 219.102. As used in this section, the actual knowledge imputed to the railroad is limited to that of a railroad management employee (such as a supervisor deemed an “officer,” whether or not such person is a corporate officer) or a supervisory employee in the offending regulated employee's chain of command. A railroad management or supervisory employee has actual knowledge of a violation when he or she: (1) Personally observes a regulated employee use or possess alcohol or use drugs in violation of this subpart. It is not sufficient for actual knowledge if the supervisory or management employee merely observes the signs and symptoms of alcohol or drug use that require a reasonable suspicion test under § 219.301; (2) Receives information regarding a violation of this subpart from a previous employer of a regulated employee, in response to a background information request required by § 40.25 of this title; or (3) Receives a regulated employee's admission of prohibited alcohol possession or prohibited alcohol or drug use. (b) A railroad must exercise due diligence to assure compliance with §§ 219.101 and 219.102 by each regulated employee. (c) A railroad's alcohol and/or drug use education, prevention, identification, intervention, and rehabilitation programs and policies must be designed and implemented in such a way that they do not circumvent or otherwise undermine the requirements, standards, and policies of this part. Upon FRA's request, a railroad must make available for FRA review all documents, data, or other records related to such programs and policies. (d) Each year, a railroad's supervisors must conduct and record a number of “Rule G” employee observations at a minimum equal to twice the railroad's total number of regulated employees. Each “Rule G” observation must be made sufficiently close to an individual regulated employee to d… | ||||
| 49:49:4.1.1.1.14.2.11.6 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | B | Subpart B—Prohibitions | § 219.107 Consequences of refusal. | FRA | [81 FR 37930, June 10, 2016] | (a) A regulated employee who refuses to provide a breath or body fluid specimen or specimens when required to by the railroad under a provision of this part must be withdrawn from regulated service for a period of nine (9) months. Per the requirements of part 40 of this title, a regulated employee who provides an adulterated or substituted specimen is deemed to have refused to provide the required specimen and must be withdrawn from regulated service in accordance with this section. (b) Notice. Before or upon withdrawing a regulated employee from regulated service under this section, a railroad must provide written notice to the employee of the reason for this action, and the procedures described in § 219.104(c) apply. A railroad may provide a regulated employee with an initial verbal notice so long as it provides a follow-up written notice as soon as possible. (c) The withdrawal required by this section applies only to an employee's performance of regulated service for any railroad with notice of such withdrawal. During the period of withdrawal, a railroad with notice of such withdrawal must not authorize or permit the employee to perform any regulated service for the railroad. (d) The requirement of withdrawal for nine (9) months does not limit any discretion on the part of the railroad to impose additional sanctions for the same or related conduct. (e) Upon the expiration of the nine month period described in this section, a railroad may permit an employee to return to regulated service only under the conditions specified in § 219.104(d), and the regulated employee must be subject to return-to-duty and follow-up tests, as provided by that section. | ||||
| 49:49:4.1.1.1.14.3.11.1 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | C | Subpart C—Post-Accident Toxicological Testing | § 219.201 Events for which testing is required. | FRA | [66 FR 41973, Aug. 9, 2001, as amended at 81 FR 37930, June 10, 2016] | (a) List of events. Except as provided in paragraph (b) of this section, FRA post-accident toxicological tests must be conducted after any event that involves one or more of the circumstances described in paragraphs (a)(1) through (5) of this section: (1) Major train accident. Any train accident ( i.e., a rail equipment accident involving damage in excess of the current reporting threshold) that involves one or more of the following: (i) A fatality to any person; (ii) A release of hazardous material lading from railroad equipment accompanied by— (A) An evacuation; or (B) A reportable injury resulting from the hazardous material release ( e.g., from fire, explosion, inhalation, or skin contact with the material); or (iii) Damage to railroad property of $1,500,000 or more. (2) Impact accident. Any impact accident ( i.e., a rail equipment accident defined as an “impact accident” in § 219.5) that involves damage in excess of the current reporting threshold, resulting in— (i) A reportable injury; or (ii) Damage to railroad property of $150,000 or more. (3) Fatal train incident. Any train incident that involves a fatality to an on-duty employee (as defined in § 219.5) who dies within 12 hours of the incident as a result of the operation of on-track equipment, regardless of whether that employee was performing regulated service. (4) Passenger train accident. Any train accident ( i.e., a rail equipment accident involving damage in excess of the current reporting threshold) involving a passenger train and a reportable injury to any person. (5) Human-factor highway-rail grade crossing accident/incident. A highway-rail grade crossing accident/incident when it involves: (i) A regulated employee who interfered with the normal functioning of a grade crossing signal system, in testing or otherwise, without first taking measures to provide for the safety of highway traffic that depends on the normal functioning of such system, as prohibited by § 234.209 of this chapter; (ii) A train crewmember who w… | ||||
| 49:49:4.1.1.1.14.3.11.2 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | C | Subpart C—Post-Accident Toxicological Testing | § 219.203 Responsibilities of railroads and employees. | FRA | [81 FR 37931, June 10, 2016, as amended at 87 FR 5734, Feb. 2, 2022] | (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. (1) General. Except as otherwise provided for by this section, following each qualifying event described in § 219.201, a regulated employee directly involved in a qualifying event under this subpart must provide blood and urine specimens for toxicological testing by FRA. This includes any regulated employee who may not have been present or on-duty at the time or location of the event, but whose actions may have played a role in its cause or severity, including, but not limited to, an operator, dispatcher, or signal maintainer. (2) Fatalities. Testing of the remains of an on-duty employee (as defined in § 219.5) who is fatally injured in a qualifying event described in § 219.201 is required, regardless of fault, if the employee dies within 12 hours of the qualifying event as a result of such qualifying event. (3) Major train accidents. For an accident or incident meeting the criteria of a major train accident in § 219.201(a)(1)— (i) All assigned crew members of all trains or other on-track equipment involved in the qualifying event must be subjected to post-accident toxicological testing, regardless of fault. (ii) Other surviving regulated employees who are not assigned crew members of an involved train or other on-track equipment ( e.g., a dispatcher or a signal maintainer) must be tested if a railroad representative can immediately determine, on the basis of specific information, that the employee may have had a role in the cause or severity of the accident/incident. In making this determination, the railroad representative must consider any such information that is immediately available at the time the qualifying event determination is made under § 219.201. (4) Fatal train incidents. For a fatal train incident under § 219.201(a)(3), the remains of any on-duty employee (as defined in § 219.5) performing duties for a r… | ||||
| 49:49:4.1.1.1.14.3.11.3 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | C | Subpart C—Post-Accident Toxicological Testing | § 219.205 Specimen collection and handling. | FRA | [81 FR 37933, June 10, 2016, as amended at 87 FR 5734, Feb. 2, 2022] | (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. (b) Information requirements. Basic information concerning the accident/incident and any treatment administered after the accident/incident is necessary to process specimens, analyze the significance of laboratory findings, and notify railroads and employees of test results. Accordingly, the railroad representative must complete the information required by Form FRA 6180.73 (revised) for shipping with the specimens. Each employee subject to testing must cooperate in completion of the required information on Form FRA F 6180.74 (revised) for inclusion in the shipping kit and processing of the specimens. The railroad representative must ask an appropriate representative of the medical facility to complete the remaining portion of the information on each Form 6180.74. A Form 6180.73 must be forwarded in the shipping kit with each group of specimens. A Form 6180.74 must be forwarded in the shipping kit for each employee who provides specimens. A Form 6180.73 and either a Form 6180.74 or a Form 6180.75 (for fatalities) are included in the shipping kit. (See paragraph (c) of this section.) (c) Shipping kits. (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. In addition to the standard kit for surviving employees, FRA also has distributed a post-mortem shipping kit to Class I, II, and commuter railroads. The post-mortem kit may not be ordered by other railroads. If a smaller railroad has a qualifyi… | ||||
| 49:49:4.1.1.1.14.3.11.4 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | C | Subpart C—Post-Accident Toxicological Testing | § 219.206 FRA access to breath test results. | FRA | [87 FR 5734, Feb. 2, 2022] | Documentation of breath test results must be made available to FRA consistent with the requirements of this subpart. | ||||
| 49:49:4.1.1.1.14.3.11.5 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | C | Subpart C—Post-Accident Toxicological Testing | § 219.207 Fatality. | FRA | [66 FR 41973, Aug. 9, 2001, as amended at 81 FR 37933, June 10, 2016; 87 FR 5734, Feb. 2, 2022] | (a) In the case of an employee fatality in an accident or incident described in § 219.201, body fluid and tissue specimens must be obtained from the remains of the employee for toxicological testing. To ensure that specimens are collected in a timely fashion, the railroad must immediately notify the appropriate local authority (such as a coroner or medical examiner) of the fatality and the requirements of this subpart, making available the post-mortem shipping kit and requesting the local authority to assist in obtaining the necessary body fluid or tissue specimens. The railroad must also seek the assistance of the custodian of the remains, if the custodian is someone other than the local authority. (b) If the local authority or custodian of the remains declines to cooperate in obtaining the necessary specimens, the railroad must immediately notify the duty officer at the National Response Center (NRC) at (800) 424-8802 by providing the following information: (1) Date and location of the accident or incident; (2) Railroad; (3) Name of the deceased; (4) Name and telephone number of custodian of the remains; and (5) Name and telephone number of local authority contacted. (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 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 a… | ||||
| 49:49:4.1.1.1.14.3.11.6 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | C | Subpart C—Post-Accident Toxicological Testing | § 219.209 Reports of tests and refusals. | FRA | [66 FR 41973, Aug. 9, 2001, as amended at 81 FR 37933, June 10, 2016] | (a)(1) A railroad that has experienced one or more events for which specimens were obtained must provide prompt telephonic notification summarizing such events. Notification must immediately be provided to the duty officer at the National Response Center (NRC) at (800) 424-8802 and to the Office of Safety, FRA, at (202) 493-6313. (2) Each telephonic report must contain: (i) Name of railroad; (ii) Name, title and telephone number of person making the report; (iii) Time, date and location of the accident/incident; (iv) Brief summary of the circumstances of the accident/incident, including basis for testing ( e.g., impact accident with a reportable injury); and (v) Number of employees tested. (b) If a railroad is unable, as a result of non-cooperation of an employee or for any other reason, to obtain a specimen and provide it to FRA as required by this subpart, the railroad must immediately notify the FRA Drug and Alcohol Program Manager at 202-493-6313 and provide detailed information regarding the failure (either verbally or via a voicemail). The railroad must also provide a concise narrative written report of the reason for such failure and, if appropriate, any action taken in response to the cause of such failure. This report must be appended to the report of the accident/incident required to be submitted under part 225 of this chapter and must also be mailed to the FRA Drug and Alcohol Program Manager at 1200 New Jersey Avenue SE., Washington, DC 20590. | ||||
| 49:49:4.1.1.1.14.3.11.7 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | C | Subpart C—Post-Accident Toxicological Testing | § 219.211 Analysis and follow-up. | FRA | [66 FR 41973, Aug. 9, 2001, as amended at 74 FR 25172, May 27, 2009; 78 FR 14225, Mar. 5, 2013; 81 FR 37934, June 10, 2016; 87 FR 5735, Feb. 2, 2022] | (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. (b) Results of post-accident toxicological testing for controlled substances conducted under this subpart are reported to the railroad's Medical Review Officer and the employee. The MRO and the railroad must treat the test results and any information concerning medical use or administration of drugs provided under this subpart in the same confidential manner as if subject to subpart H of this part, except where publicly disclosed by FRA or the National Transportation Safety Board. An employer is prohibited from temporarily removing an employee from the performance of regulated service based only on a report from the laboratory to the MRO of a confirmed positive test for a drug or drug metabolite, an adulterated test, or a substituted test, before the MRO has completed verification of the test result. (c) 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 req… | ||||
| 49:49:4.1.1.1.14.3.11.8 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | C | Subpart C—Post-Accident Toxicological Testing | § 219.213 Unlawful refusals; consequences. | FRA | (a) Disqualification. An employee who refuses to cooperate in providing breath, blood or urine specimens following an accident or incident specified in this subpart must be withdrawn from regulated service, and must be deemed disqualified for regulated service, for a period of nine (9) months in accordance with the conditions specified in § 219.107. (b) Procedures. Prior to or upon withdrawing the employee from regulated service, under this section, the railroad must provide written notice of the reason for this action and an opportunity for hearing before a presiding officer other than the charging official. The employee is entitled to the procedural protection set out in § 219.104(d). (c) Subject of hearing. The hearing required by this section must determine whether the employee refused to submit to testing, having been requested to submit, under authority of this subpart, by a representative of the railroad. In determining whether a disqualification is required, the hearing official shall, as appropriate, also consider the following: (1) Whether the railroad made a good faith determination, based on reasonable inquiry, that the accident or incident was within the mandatory testing requirements of this subpart; and (2) In a case where a blood test was refused on the ground it would be inconsistent with the employee's health, whether such refusal was made in good faith and based on medical advice. | |||||
| 49:49:4.1.1.1.14.4.11.1 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | D | Subpart D—Reasonable Suspicion Testing | § 219.301 Mandatory reasonable suspicion testing. | FRA | (a) Each railroad must require a regulated employee to submit to a breath alcohol test when the railroad has reasonable suspicion to believe that the regulated employee has violated any prohibition of subpart B of this part concerning use of alcohol. The railroad's determination that reasonable suspicion exists to require the regulated employee to undergo an alcohol test must be based on specific, contemporaneous, articulable observations concerning the appearance, behavior, speech, or body odors of the employee. A Federal reasonable suspicion alcohol test is not required to confirm the on-duty possession of alcohol. (b) Each railroad must require a regulated employee to submit to a drug test when the railroad has reasonable suspicion to believe that the regulated employee has violated the prohibitions of subpart B of this part concerning use of controlled substances. The railroad's determination that reasonable suspicion exists to require the regulated employee to undergo a drug test must be based on specific, contemporaneous, articulable observations concerning the appearance, behavior, speech, or body odors of the employee. Such observations may include indications of the chronic and withdrawal effects of drugs. (c) Reasonable suspicion observations made under this section must comply with the requirements of § 219.303. (d) As provided by § 219.11(b)(2), in any case where an employee is suffering a substantiated medical emergency and is subject to alcohol or drug testing under this subpart, necessary medical treatment must be accorded priority over provision of the breath or body fluid specimens. However, when the employee's condition is stabilized, reasonable suspicion testing must be completed if within the eight-hour limit provided for in § 219.305. | |||||
| 49:49:4.1.1.1.14.4.11.2 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | D | Subpart D—Reasonable Suspicion Testing | § 219.303 Reasonable suspicion observations. | FRA | (a) With respect to an alcohol test, the required observations must be made by a responsible railroad supervisor (defined by § 219.5) trained in accordance with § 219.11(g). The supervisor who makes the determination that reasonable suspicion exists may not conduct the reasonable suspicion testing on that regulated employee. (b) With respect to a drug test, the required observations must be made by two responsible railroad supervisors (defined by § 219.5), at least one of whom must be both on site and trained in accordance with § 219.11(g). If one of the supervisors is off site, the on-site supervisor must communicate with the off-site supervisor, as necessary, to provide him or her the information needed to make the required observation. This communication may be performed via telephone, but not via radio or any other form of electronic communication. (c) This subpart does not authorize holding any employee out of service pending receipt of toxicological analysis for reasonable suspicion testing, nor does it restrict a railroad from taking such action based on the employee's underlying conduct, provided it is consistent with the railroad's policy and taken under the railroad's own authority. (d) The railroad must maintain written documentation that specifically describes the observed signs and symptoms upon which the determination that reasonable suspicion exists is based. This documentation must be completed promptly by the trained supervisor. | |||||
| 49:49:4.1.1.1.14.4.11.3 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | D | Subpart D—Reasonable Suspicion Testing | § 219.305 Prompt specimen collection; time limitations. | FRA | (a) Consistent with the need to protect life and property, testing under this subpart must be conducted promptly following the observations upon which the testing decision is based. (b) If a test required by this subpart is not administered within two hours following a determination made under this section, the railroad must prepare and maintain on file a record stating the reasons the test was not administered within that time period. If an alcohol or drug test required by this subpart is not administered within eight hours of a determination made under this subpart, the railroad must cease attempts to administer the test and must record the reasons for not administering the test. The eight-hour requirement is satisfied if the individual has been delivered to the collection site (where the collector is present) and the request has been made to commence collection of the specimens within that period. The records required by this section must be submitted to FRA upon request of the FRA Drug and Alcohol Program Manager. (c) A regulated employee may not be tested under this subpart if that individual has been released from duty under the normal procedures of a railroad. An individual who has been transported to receive medical care is not released from duty for purposes of this section. Nothing in this section prohibits the subsequent testing of an employee who has failed to remain available for testing as required ( i.e., who is absent without leave). | |||||
| 49:49:4.1.1.1.14.5.11.1 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | E | Subpart E—Reasonable Cause Testing | § 219.401 Authorization for reasonable cause testing. | FRA | (a) Each railroad may, at its own discretion, elect to conduct Federal reasonable cause testing authorized by this subpart. If a railroad chooses to do so, the railroad must use only Federal authority for all reasonable cause testing that meets the criteria of § 219.403. In addition, the railroad must notify its regulated employees of its decision to use Federal reasonable cause testing authority in the employee educational policy required by § 219.23(e)(5). The railroad must also provide written notification of its decision to FRA's Drug and Alcohol Program Manager, 1200 New Jersey Ave. SE., Washington, DC 20590. (b) If a railroad elects to conduct reasonable cause testing under the authority of this subpart, the railroad may, under the conditions specified in this subpart, require any regulated employee, as a condition of employment in regulated service, to cooperate with breath or body fluid testing, or both, to determine compliance with §§ 219.101 and 219.102 or a railroad rule implementing the requirements of §§ 219.101 and 219.102. This authority is limited to testing after observations or events that occur during duty hours (including any period of overtime or emergency service). The provisions of this subpart apply only when, and to the extent that, the test in question is conducted in reliance upon the authority conferred by this section. A railroad may not require an employee to be tested under the authority of this subpart unless reasonable cause, as defined in this section, exists with respect to that employee. | |||||
| 49:49:4.1.1.1.14.5.11.2 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | E | Subpart E—Reasonable Cause Testing | § 219.403 Requirements for reasonable cause testing. | FRA | [81 FR 37935, June 10, 2016, as amended at 87 FR 5735, Feb. 2, 2022] | 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. (a) Train accident or train incident. A regulated employee has been involved in a train accident or train incident (as defined in § 219.5) reportable under part 225 of this chapter, and a responsible railroad supervisor (as defined in § 219.5) has a reasonable belief, based on specific, articulable facts, that the individual employee's acts or omissions contributed to the occurrence or severity of the accident; or (b) Rule violation. A regulated employee has been directly involved in one or more of the following railroad or FRA rule violations or other errors: (1) Noncompliance with a train order, track warrant, track bulletin, track permit, stop and flag order, timetable, signal indication, special instruction or other directive with respect to movement of railroad on-track equipment that involves— (i) Occupancy of a block or other segment of track to which entry was not authorized; (ii) Failure to clear a track to permit opposing or following movements to pass; (iii) Moving across a railroad crossing at grade without authorization; (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. (2) Failure to protect on-track equipment, including leaving on-track equipment fouling an adjacent track; (3) Operation of a train or other … | ||||
| 49:49:4.1.1.1.14.5.11.3 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | E | Subpart E—Reasonable Cause Testing | § 219.405 Documentation requirements. | FRA | (a) Each railroad must maintain written documentation that specifically describes the basis for each reasonable cause test it performs under Federal authority. This documentation must be completed promptly by the responsible railroad supervisor; although it does not need to be completed before the reasonable cause testing is conducted. (b) For a rule violation, the documentation must include the type of rule violation and the involvement of each tested regulated employee. For a train accident or train incident reportable under part 225 of this chapter, a railroad must describe either the amount of railroad property damage or the reportable casualty and the basis for the supervisor's belief that the employee's acts or omissions contributed to the occurrence or severity of the train accident or train incident. | |||||
| 49:49:4.1.1.1.14.5.11.4 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | E | Subpart E—Reasonable Cause Testing | § 219.407 Prompt specimen collection; time limitations. | FRA | (a) Consistent with the need to protect life and property, testing under this subpart must be conducted promptly following the observations upon which the testing decision is based. (b) If a test conducted pursuant to the authority of this subpart is not administered within two hours following the observations upon which the testing decision is based, the railroad must prepare and maintain on file a record stating the reasons the test was not conducted within that time period. If an alcohol or drug test authorized by this subpart is not administered within eight hours of the event under this subpart, the railroad must cease attempts to administer the test and must record the reasons for not administering the test. The eight-hour time period begins at the time a responsible railroad supervisor receives notice of the train accident, train incident, or rule violation. The eight-hour requirement is satisfied if the employee has been delivered to the collection site (where the collector is present) and the request has been made to commence collection of specimen(s) within that period. The records required by this section must be submitted to FRA upon request of the FRA Drug and Alcohol Program Manager. (c) A regulated employee may not be tested under this subpart if that individual has been released from duty under the normal procedures of the railroad. An individual who has been transported to receive medical care is not released from duty for purposes of this section. Nothing in this section prohibits the subsequent testing of a regulated employee who has failed to remain available for testing as required ( i.e., who is absent without leave). | |||||
| 49:49:4.1.1.1.14.5.11.5 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | E | Subpart E—Reasonable Cause Testing | § 219.409 Limitations on authority. | FRA | (a) The alcohol and/or drug testing authority conferred by this subpart does not apply with respect to any event that meets the criteria for post-accident toxicological testing required under subpart C of this part. (b) This subpart does not authorize holding an employee out of service pending receipt of toxicological analysis for reasonable cause testing because meeting the testing criteria is only a basis to inquire whether alcohol or drugs may have played a role in the accident or rule violation. However, this subpart does not restrict a railroad from holding an employee out of service based on the employee's underlying conduct, so long as it is consistent with the railroad's policy and the action is taken under the railroad's own authority. (c) When determining whether reasonable cause testing is justified, a railroad must consider the involvement of each crewmember in the qualifying event, not the involvement of the crew as a whole. | |||||
| 49:49:4.1.1.1.14.6.11.1 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | F | Subpart F—Pre-Employment Tests | § 219.501 Pre-employment drug testing. | FRA | [81 FR 37936, June 10, 2016, as amended at 87 FR 5735, Feb. 2, 2022] | (a) Before an individual performs regulated service the first time for a railroad, the railroad must ensure that the individual undergoes testing for drugs in accordance with the regulations of a DOT agency. No railroad may allow a direct employee (a railroad employee who is not employed by a contractor to the railroad) to perform regulated service, unless that railroad has conducted a DOT pre-employment test for drugs on that individual with a result that did not indicate the misuse of controlled substance. This requirement applies both to a final applicant for direct employment and to a direct employee seeking to transfer for the first time from non-regulated service to duties involving regulated service. A regulated employee must have a negative DOT pre-employment drug test for each railroad for which he or she performs regulated service as the result of a direct employment relationship. (b) Each railroad must ensure that each employee of a contractor who performs regulated service on the railroad's behalf has a negative DOT pre-employment drug test on file with his or her employer. The railroad must also maintain documentation indicating that it had verified that the contractor employee had a negative DOT pre-employment drug test on file with his or her direct employer. A contractor employee who performs regulated service for more than one railroad does not need to have a DOT pre-employment drug test for each railroad for which he or she provides service. (c) If a railroad has already conducted a DOT pre-employment test resulting in a negative for a regulated service applicant under the rules and regulations of another DOT agency (such as the Federal Motor Carrier Safety Administration), FRA will accept the result of that negative DOT pre-employment test for purposes of the requirements of this subpart. (d) As used in subpart H of this part with respect to a test required under this subpart, the term regulated employee includes an applicant for pre-employment testing only. If an applicant declines to be te… | ||||
| 49:49:4.1.1.1.14.6.11.2 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | F | Subpart F—Pre-Employment Tests | § 219.502 Pre-employment alcohol testing. | FRA | [66 FR 41973, Aug. 9, 2001, as amended at 81 FR 37936, June 10, 2016] | (a) A railroad may, but is not required to, conduct pre-employment alcohol testing under this part. If a railroad chooses to conduct pre-employment alcohol testing, the railroad must comply with the following requirements: (1) The railroad must conduct a pre-employment alcohol test before the first performance of regulated service by an employee, regardless of whether he or she is a new employee or a first-time transfer to a position involving the performance of regulated service. (2) The railroad must treat all employees performing regulated service the same for the purpose of pre-employment alcohol testing ( i.e., a railroad must not test some regulated employees and not others.) (3) It must conduct the pre-employment tests after making a contingent offer of employment or transfer, subject to the employee passing the pre-employment alcohol test. (4) It must conduct all pre-employment alcohol tests using the alcohol testing procedures of part 40 of this title. (5) If a regulated employee's Federal pre-employment test indicates an alcohol concentration of 0.04 or greater, a railroad may not allow him or her to begin performing regulated service until he or she has completed the Federal return-to-duty process under § 219.104(d). (b) As used in subpart H of this part with respect to a test authorized under this subpart, the term regulated employee includes an applicant for pre-employment testing only. If an applicant declines to be tested before the testing process commences, no record may be maintained of the declination. The determination of when an alcohol test commences must be made according to the provisions of § 40.243(a) of this title. | ||||
| 49:49:4.1.1.1.14.6.11.3 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | F | Subpart F—Pre-Employment Tests | § 219.503 Notification; records. | FRA | [81 FR 37937, June 10, 2016] | Each railroad must provide for medical review of drug test results according to the requirements of part 40 of this title, as provided in subpart H of this part. The railroad must also notify the applicant in writing of the results of any Federal drug and/or alcohol test that is a positive, adulteration, substitution, or refusal in the same manner as provided for employees in part 40 of this title and subpart H of this part. Records must be maintained confidentially and be retained in the same manner as required under subpart J of this part for employee test records, except that such records need not reflect the identity of an applicant who withdrew an application to perform regulated service before the commencement of the testing process. | ||||
| 49:49:4.1.1.1.14.6.11.4 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | F | Subpart F—Pre-Employment Tests | § 219.505 Non-negative tests and refusals. | FRA | [81 FR 37937, June 10, 2016] | An applicant who has tested positive or refused to submit to pre-employment testing under this section may not perform regulated service for any railroad until he or she has completed the Federal return-to-duty process under § 219.104(d). An applicant may also not perform DOT safety-sensitive functions for any other employer regulated by a DOT agency until he or she has completed the Federal return-to-duty process under § 219.104(d). This section does not create any right on the part of the applicant to have a subsequent application considered; nor does it restrict the discretion of the railroad to entertain a subsequent application for employment from the same person. | ||||
| 49:49:4.1.1.1.14.7.11.1 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | G | Subpart G—Random Alcohol and Drug Testing Programs | § 219.601 Purpose and scope of random testing programs. | FRA | (a) Purpose. The purpose of random alcohol and drug testing is to promote safety by deterring regulated employees from misusing drugs and abusing alcohol. (b) Regulated employees. Each railroad must ensure that a regulated employee is subject to being selected for random testing as required by this subpart whenever the employee performs regulated service on the railroad's behalf. (c) Contractor employees and volunteers. A regulated employee who is a volunteer or an employee of a contractor to a railroad may be incorporated into the random testing program of more than one railroad if: (1) The contractor employee or volunteer is not already part of a random testing program that meets the requirements of this subpart and has been accepted by the railroad for which he or she performs regulated service (as described in § 219.609); or (2) The railroad for which the contractor employee or volunteer performs regulated service is unable to verify that the individual is part of a random testing program acceptable to the railroad that meets the requirements of this subpart. (d) Multiple DOT agencies. (1) If a regulated employee performs functions subject to the random testing requirements of more than one DOT agency, a railroad must ensure that the employee is subject to selection for random drug and alcohol testing at or above the current minimum annual testing rate set by the DOT agency that regulates more than 50 percent of the employee's DOT-regulated functions. (2) A railroad may not include a regulated employee in more than one DOT random testing pool for regulated service performed on its behalf, even if the regulated employee is subject to the random testing requirements of more than one DOT agency. | |||||
| 49:49:4.1.1.1.14.7.11.10 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | G | Subpart G—Random Alcohol and Drug Testing Programs | § 219.619 Positive alcohol and drug test results and refusals; procedures. | FRA | [81 FR 37937, June 10, 2016, as amended at 88 FR 27652, May 2, 2023] | Section 219.104 contains the procedures for administrative handling by the railroad or contractor in the event a body fluid specimen provided under this subpart is reported as a verified positive by the Medical Review Officer, a breath alcohol specimen is reported at 0.04 or greater by the Breath Alcohol Technician, or a refusal to test has occurred. The responsive action required in § 219.104 is not stayed pending the result of the testing of a split body fluid specimen or a challenge to any part of the testing process or procedure. | ||||
| 49:49:4.1.1.1.14.7.11.11 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | G | Subpart G—Random Alcohol and Drug Testing Programs | § 219.621 Use of service agents. | FRA | [81 FR 37937, June 10, 2016, as amended at 88 FR 27652, May 2, 2023] | (a) A railroad may use a service agent (such as a consortium/third party administrator (C/TPA)) to act as its agent to carry out any role in random testing specifically permitted under subpart Q of part 40 of this title, such as maintaining random pools, conducting random selections, and performing random body fluid drug collections and breath alcohol tests. (b) A railroad may not use a service agent to notify a regulated employee that he or she has been selected for random testing. A regulated employee who has been selected for random testing must otherwise be notified of the selection by his or her employer. A service agent may also not perform any role that § 40.355 of this title specifically reserves to an employer, which, for purposes of this subpart, is defined as a railroad or a contractor performing railroad-accepted testing. (c) A railroad is primarily responsible for compliance with the random alcohol and drug testing of this subpart, but FRA reserves the right to bring an enforcement action for noncompliance against the railroad, its service agents, its contractors, and/or its employees. (d) If a railroad conducts random drug and/or alcohol testing through a C/TPA, the number of employees required to be tested may be calculated for each individual railroad belonging to the C/TPA, or may be based on the total number of regulated employees covered by the C/TPA in a larger combined railroad or DOT agency random pool. Selections from combined railroad random pools must meet or exceed the highest minimum annual percentage rate established under this subpart or any DOT agency drug testing rule that applies to any member of that pool. | ||||
| 49:49:4.1.1.1.14.7.11.12 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | G | Subpart G—Random Alcohol and Drug Testing Programs | § 219.623 Records. | FRA | (a) As provided by § 219.901, each railroad is required to maintain records related to random testing for a minimum of two years. (b) Contractors and service agents performing random testing responsibilities under this subpart must provide records required by this subpart whenever requested by the contracting railroad or by FRA. A railroad remains responsible for maintaining records demonstrating that it is in compliance with the requirements of this subpart. | |||||
| 49:49:4.1.1.1.14.7.11.13 | 49 | Transportation | II | 219 | PART 219—CONTROL OF ALCOHOL AND DRUG USE | G | Subpart G—Random Alcohol and Drug Testing Programs | § 219.625 FRA Administrator's determination of random alcohol and drug testing rates. | FRA | [81 FR 37937, June 10, 2016, as amended at 87 FR 5736, Feb. 2, 2022] | (a) Notice. Each year, the Administrator publishes a Federal Register notice announcing the minimum annual random alcohol and drug testing rates which take effect on January 1 of the following calendar year. These rates are based on the railroad industry's random testing violation rates for the preceding two consecutive calendar years, which are determined using annual railroad alcohol and drug program data required to be submitted to the FRA's Management Information System (MIS) under § 219.800. (b) Information. Data from MIS reports provide the information used for this determination. In order to ensure reliability of the data, the Administrator may consider the quality and completeness of the reported data, obtain additional information or reports from railroads, or make appropriate modifications in calculating the industry positive rate. (c) Initial minimum annual random testing rates. The Administrator has established an initial minimum annual random testing rate of 50 percent for drugs and 25 percent for alcohol for any new category of regulated employees added to those already being tested under this part. (1) These initial testing rates are subject to amendment by the Administrator in accordance with paragraphs (d) and (e) of this section after at least two consecutive calendar years of MIS data have been compiled for the category of regulated employee. (2) The Administrator will determine separate minimum annual random testing rates for each added category of regulated employees for a minimum of three calendar years after that category is incorporated into random testing under this part. (3) The Administrator may move to combine categories of regulated employees requiring separate determinations into a single determination once the categories' testing rates are identical for two consecutive years. (d) Drug testing rate. The Administrator may set the minimum annual random drug testing rate for the railroad industry at either 50 percent or 25 percent. (1) When the minimum annual percentage… |
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