49 C.F.R. Appendix A to Part 219—Schedule of Civil Penalties
Title 49 - Transportation
The following chart lists the schedule of civil penalties: [66 FR 41973, Aug. 9, 2001, as amended at 69 FR 30593, May 28, 2004]
Title 49: Transportation
PART 219—CONTROL OF ALCOHOL AND DRUG USE
Subpart J—Recordkeeping Requirements
Appendix A to Part 219—Schedule of Civil Penalties
Penalty Schedule \1\------------------------------------------------------------------------ Willful Section \2\ Violation violation------------------------------------------------------------------------ Subpart A_General219.3 Application: Railroad does not have required $5,000 $7,500 program............................219.11 General conditions for chemical tests: (b)(1) Employee unlawfully refuses 2,500 5,000 to participate in testing.......... (b)(2) Employer fails to give 3,000 8,000 priority to medical treatment...... (b)(3) Employee fails to remain 2,500 5,000 available.......................... (b)(4) Employee tampers with 2,500 5,000 specimen........................... (d) Employee unlawfully required to 2,500 5,000 execute a waiver of rights......... (e) Railroad used or authorized the .............. 7,500 use of coercion to obtain specimens (g) Failure to meet supervisory 2,500 5,000 training requirements or program of instruction not available or program not complete............... (h) Urine or blood specimens 2,500 5,000 provided for Federal testing were used for non-authorized testing....219.23 Railroad policies: (a) Failure to provide written 1,000 4,000 notice of FRA test................. (b) Failure to provide written 1,000 4,000 notice of basis for FRA test....... (c) Use of Subpart C form for other 1,000 4,000 test............................... (d) Failure to provide educational 1,000 4,000 materials.......................... (e) Educational materials fail to 1,000 4,000 explain requirements of this part and/or include required content.... (f) Non-Federal provisions are 1,000 4,000 clearly described as independent authority.......................... Subpart B_Prohibitions219.101 Alcohol and drug use prohibited: Employee violates prohibition(s).... 10,000 ..............219.103 Prescribed and over-the-counter drugs: (a) Failure to train employee 2,500 5,000 properly on requirements...........219.104 Responsive action: (a) Failure to remove employee from 3,000 8,000 covered service immediately........ (b) Failure to provide notice for 1,000 4,000 removal............................ (c) Failure to provide prompt 2,000 7,000 hearing............................ (d) Employee improperly returned to 2,000 7,000 service............................219.105 Railroad's duty to prevent violations: (a) Employee improperly permitted to 7,000 10,000 remain in covered service.......... (b) Failure to exercise due 2,500 5,000 diligence to assure compliance with prohibition........................219.107 Consequences of unlawful refusal: (a) Failure to disqualify an 5,000 7,500 employee for nine months following a refusal.......................... (e) Employee unlawfully returned to 5,000 7,500 service............................ Subpart C_Post-Accident Toxicological Testing219.201 Events for which testing is required: (a) Failure to test after qualifying 5,000 7,500 event (each employee not tested is a violation)....................... (c)(1)(i) Failure to make good faith 2,500 5,000 determination...................... (c)(1)(ii) Failure to provide 1,000 3,000 requested decision report to FRA... (c)(2) Testing performed after non- 5,000 10,000 qualifying event...................219.203 Responsibilities of railroads and employees: (a)(1)(i) and (a)(2)(i) Failure to 2,500 5,000 properly test/exclude from testing. (a)(1)(ii) and (a)(2)(ii) Non- 2,500 5,000 covered service employee tested.... (b)(1) Delay in obtaining specimens 2,500 5,000 due to failure to make every reasonable effort.................. (c) Independent medical facility not 2,500 5,000 utilized........................... (d) Failure to report event or 1,000 3,000 contact FRA when intervention required...........................219.205 Specimen collection and handling: (a) Failure to observe requirements 2,500 5,000 with respect to specimen collection, marking and handling... (b) Failure to provide properly 2,500 5,000 prepared forms with specimens...... (d) Failure to promptly or properly 2,500 5,000 forward specimens..................219.207 Fatality: (a) Failure to test................. 5,000 7,500 (a)(1) Failure to ensure timely 2,500 5,000 collection and shipment of required specimens.......................... (b) Failure to request assistance 2,500 5,000 when necessary.....................219.209 Reports of tests and refusals: (a)(1) Failure to provide telephonic 1,000 2,000 report............................. (b) Failure to provide written 1,000 2,000 report of refusal to test.......... (c) Failure to maintain report 1,000 2,000 explaining why test not conducted within 4 hours.....................219.211 Analysis and follow-up: (c) Failure of MRO to report review 2,500 5,000 of positive results to FRA......... Subpart D_Testing for Cause219.300 Mandatory reasonable suspicion testing: (a)(1) Failure to test when 5,000 7,500 reasonable suspicion criteria met.. (a)(2) Tested when reasonable 5,000 7,500 suspicion criteria not met.........219.301 Testing for reasonable cause: (a) Event did not occur during daily 2,500 5,000 tour............................... (b)(2) Tested when accident/incident 5,000 7,500 criteria not met................... (b)(3) Tested when operating rules 5,000 7,500 violation criteria not met.........219.302 Prompt specimen collection: (a) Specimen collection not 2,500 5,000 conducted promptly................. Subpart E_Identification of Troubled Employees219.401 Requirement for policies: (b) Failure to publish and/or 2,500 5,000 implement required policy..........219.407 Alternate policies: (c) Failure to file agreement or 2,500 5,000 other document or provide timely notice or revocation............... Subpart F_Pre-Employment Tests219.501 Pre-employment tests: (a) Failure to perform pre- 2,500 5,000 employment drug test before first time employee performs covered service............................ Subpart G_Random Testing Programs219.601 Railroad random drug programs: (a)(1) Failure to file a random 2,500 5,000 program............................ (a)(2) Failure to file amendment to 2,500 5,000 program............................ (b) Failure to meet random testing 2,500 5,000 criteria........................... (b)(1)(i) Failure to use a neutral 2,500 5,000 selection process.................. (b)(2)(i)(B) Testing not spread 2,500 5,000 throughout the year................ (b)(3) Testing not distributed 2,500 5,000 throughout the day................. (b)(4) Advance notice provided to 2,500 5,000 employee........................... (b)(6) Testing when employee not on 2,500 5,000 duty...............................219.601A Failure to include covered 2,500 5,000 service employee in pool...............219.602 Administrator's determination of drug testing rate: (f) Total number of tests below 2,500 5,000 minimum random drug testing rate...219.603 Participation in drug testing: Failure to document reason for not 2,500 5,000 testing selected employee..........219.607 Railroad random alcohol programs: (a)(1) Failure to file a random 2,500 5,000 alcohol program.................... (a)(2) Failure to file amendment to 2,500 5,000 program............................ (b) Failure to meet random testing 2,500 5,000 criteria........................... (b)(1) Failure to use a neutral 2,500 5,000 selection process.................. (b)(5) Testing when employee not on 2,500 5,000 duty............................... (b)(8) Advance notice provided to 2,500 5,000 employee...........................219.607A Failure to include covered 2,500 5,000 service employee in pool...............219.608 Administrator's determination of random alcohol testing rate: (e) Total number of tests below 2,500 5,000 minimum random alcohol testing rate219.609 Participation in alcohol testing: Failure to document reason for not 2,500 5,000 testing selected employee.......... Subpart H_Drug and Alcohol Testing Procedures219.701 Standards for drug and alcohol testing: (a) Failure to comply with Part 40 -5,000 -7,500 procedures in Subpart B, D, F, or G testing............................ (b) Testing not performed in a 2,500 5,000 timely manner...................... Subpart I_Annual Report219.801 Reporting alcohol misuse prevention program results in a management information system: (a) Failure to submit MIS report on 2,500 5,000 time............................... (c) Failure to submit accurate MIS 2,500 5,000 report............................. (d) Failure to include required data 2,500 5,000219.803 Reporting drug misuse prevention program results in a management information system: (c) Failure to submit accurate MIS 2,500 5,000 report............................. (d) Failure to submit MIS report on 2,500 5,000 report............................. (e) Failure to include required data 2,500 5,000 Subpart J_Recordkeeping Requirements219.901 Retention of Alcohol Testing Records: (a) Failure to maintain records 2,500 5,000 required to be kept by Part 40..... (b) Failure to maintain records 2,500 5,000 required to be kept for five years. (c) Failure to maintain records 2,500 5,000 required to be kept for two years..219.903 Retention of Drug Testing Records: (a) Failure to maintain records 2,500 5,000 required to be kept by Part 40..... (b) Failure to maintain records 2,500 5,000 required to be kept for five years. (c) Failure to maintain records 2,500 5,000 required to be kept for two years..219.905 Access to facilities and records: (a) Failure to release records in 2,500 5,000 this subpart in accordance with Part 40............................ (b) Failure to permit access to 2,500 5,000 facilities......................... (c) Failure to provide access to 2,500 5,000 results of railroad alcohol and drug testing programs..............------------------------------------------------------------------------\1\ A penalty may be assessed against an individual only for a willful violation. The FRA Administrator reserves the right to assess a penalty of up to $27,000 for any violation, including ones not listed in this penalty schedule, where circumstances warrant. See 49 CFR Part 209, appendix A.\2\ The penalty schedule uses section numbers from 49 CFR Part 219; and if more than one item is listed as a type of violation of a given section, each item is also designated by a ``penalty code'' (e.g., ``A''), which is used to facilitate assessment of civil penalties. For convenience, penalty citations will cite the CFR section and the penalty code, if any (e.g., ``Sec. 219.11A'') FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation.
