49 CFR Part 219, Appendix A to Part 219 - Schedule of Civil Penalties

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View PDF at GPO Pt. 219, App. A
Appendix A to Part 219—Schedule of Civil Penalties
The following chart lists the schedule of civil penalties:
Penalty Schedule 1
Section 2 Violation Willful violation
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 $105,000 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., “ § 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.
Subpart A—General
219.3Application:
Railroad does not have required program $5,000 $7,500
219.11General conditions for chemical tests:
(b)(1) Employee unlawfully refuses to participate in testing 2,500 5,000
(b)(2) Employer fails to give priority to medical treatment 3,000 8,000
(b)(3) Employee fails to remain available 2,500 5,000
(b)(4) Employee tampers with specimen 2,500 5,000
(d) Employee unlawfully required to execute a waiver of rights 2,500 5,000
(e) Railroad used or authorized the use of coercion to obtain specimens 7,500
(g) Failure to meet supervisory training requirements or program of instruction not available or program not complete 2,500 5,000
(h) Urine or blood specimens provided for Federal testing were used for non-authorized testing 2,500 5,000
219.23Railroad policies:
(a) Failure to provide written notice of FRA test 1,000 4,000
(b) Failure to provide written notice of basis for FRA test 1,000 4,000
(c) Use of subpart C form for other test 1,000 4,000
(d) Failure to provide educational materials 1,000 4,000
(e) Educational materials fail to explain requirements of this part and/or include required content 1,000 4,000
(f) Non-Federal provisions are clearly described as independent authority 1,000 4,000
Subpart B—Prohibitions
219.101Alcohol and drug use prohibited:
Employee violates prohibition(s) 10,000
219.103Prescribed and over-the-counter drugs:
(a) Failure to train employee properly on requirements 2,500 5,000
219.104Responsive action:
(a) Failure to remove employee from covered service immediately 3,000 8,000
(b) Failure to provide notice for removal 1,000 4,000
(c) Failure to provide prompt hearing 2,000 7,000
(d) Employee improperly returned to service 2,000 7,000
219.105 Railroad's duty to prevent violations:
(a) Employee improperly permitted to remain in covered service 7,000 10,000
(b) Failure to exercise due diligence to assure compliance with prohibition 2,500 5,000
219.107Consequences of unlawful refusal:
(a) Failure to disqualify an employee for nine months following a refusal 5,000 7,500
(e) Employee unlawfully returned to service 5,000 7,500
Subpart C—Post-Accident Toxicological Testing
219.201Events for which testing is required:
(a) Failure to test after qualifying event (each employee not tested is a violation) 5,000 7,500
(c)(1)(i) Failure to make good faith determination 2,500 5,000
(c)(1)(ii) Failure to provide requested decision report to FRA 1,000 3,000
(c)(2) Testing performed after non-qualifying event 5,000 10,000
219.203Responsibilities of railroads and employees:
(a)(1)(i) and (a)(2)(i) Failure to properly test/exclude from testing 2,500 5,000
(a)(1)(ii) and (a)(2)(ii) Non-covered service employee tested 2,500 5,000
(b)(1) Delay in obtaining specimens due to failure to make every reasonable effort 2,500 5,000
(c) Independent medical facility not utilized 2,500 5,000
(d) Failure to report event or contact FRA when intervention required 1,000 3,000
219.205Specimen collection and handling:
(a) Failure to observe requirements with respect to specimen collection, marking and handling 2,500 5,000
(b) Failure to provide properly prepared forms with specimens 2,500 5,000
(d) Failure to promptly or properly forward specimens 2,500 5,000
219.207Fatality:
(a) Failure to test 5,000 7,500
(a)(1) Failure to ensure timely collection and shipment of required specimens 2,500 5,000
(b) Failure to request assistance when necessary 2,500 5,000
219.209Reports of tests and refusals:
(a)(1) Failure to provide telephonic report 1,000 2,000
(b) Failure to provide written report of refusal to test 1,000 2,000
(c) Failure to maintain report explaining why test not conducted within 4 hours 1,000 2,000
219.211Analysis and follow-up:
(c) Failure of MRO to report review of positive results to FRA 2,500 5,000
Subpart D—Testing for Cause
219.300Mandatory reasonable suspicion testing:
(a)(1) Failure to test when reasonable suspicion criteria met 5,000 7,500
(a)(2) Tested when reasonable suspicion criteria not met 5,000 7,500
219.301Testing for reasonable cause:
(a) Event did not occur during daily tour 2,500 5,000
(b)(2) Tested when accident/incident criteria not met 5,000 7,500
(b)(3) Tested when operating rules violation criteria not met 5,000 7,500
219.302Prompt specimen collection:
(a) Specimen collection not conducted promptly 2,500 5,000
Subpart E—Identification of Troubled Employees
219.401Requirement for policies:
(b) Failure to publish and/or implement required policy 2,500 5,000
219.407Alternate policies:
(c) Failure to file agreement or other document or provide timely notice or revocation 2,500 5,000
Subpart F—Pre-Employment Tests
219.501Pre-employment tests:
(a) Failure to perform pre-employment drug test before first time employee performs covered service 2,500 5,000
Subpart G—Random Testing Programs
219.601Railroad random drug programs:
(a)(1) Failure to file a random program 2,500 5,000
(a)(2) Failure to file amendment to program 2,500 5,000
(b) Failure to meet random testing criteria 2,500 5,000
(b)(1)(i) Failure to use a neutral selection process 2,500 5,000
(b)(2)(i)(B) Testing not spread throughout the year 2,500 5,000
(b)(3) Testing not distributed throughout the day 2,500 5,000
(b)(4) Advance notice provided to employee 2,500 5,000
(b)(6) Testing when employee not on duty 2,500 5,000
219.601AFailure to include covered service employee in pool 2,500 5,000
219.602Administrator's determination of drug testing rate:
(f) Total number of tests below minimum random drug testing rate 2,500 5,000
219.603Participation in drug testing:
Failure to document reason for not testing selected employee 2,500 5,000
219.607Railroad random alcohol programs:
(a)(1) Failure to file a random alcohol program 2,500 5,000
(a)(2) Failure to file amendment to program 2,500 5,000
(b) Failure to meet random testing criteria 2,500 5,000
(b)(1) Failure to use a neutral selection process 2,500 5,000
(b)(5) Testing when employee not on duty 2,500 5,000
(b)(8) Advance notice provided to employee 2,500 5,000
219.607AFailure to include covered service employee in pool 2,500 5,000
219.608Administrator's determination of random alcohol testing rate:
(e) Total number of tests below minimum random alcohol testing rate 2,500 5,000
219.609Participation in alcohol testing:
Failure to document reason for not testing selected employee 2,500 5,000
Subpart H—Drug and Alcohol Testing Procedures
219.701Standards for drug and alcohol testing:
(a) Failure to comply with part 40 procedures in subpart B, D, F, or G testing 5,000 7,500
(b) Testing not performed in a timely manner 2,500 5,000
Subpart I—Annual Report
219.801Reporting alcohol misuse prevention program results in a management information system:
(a) Failure to submit MIS report on time 2,500 5,000
(c) Failure to submit accurate MIS report 2,500 5,000
(d) Failure to include required data 2,500 5,000
219.803Reporting drug misuse prevention program results in a management information system:
(c) Failure to submit accurate MIS report 2,500 5,000
(d) Failure to submit MIS report on report 2,500 5,000
(e) Failure to include required data 2,500 5,000
Subpart J—Recordkeeping Requirements
219.901Retention of Alcohol Testing Records:
(a) Failure to maintain records required to be kept by Part 40 2,500 5,000
(b) Failure to maintain records required to be kept for five years 2,500 5,000
(c) Failure to maintain records required to be kept for two years 2,500 5,000
219.903Retention of Drug Testing Records:
(a) Failure to maintain records required to be kept by Part 40 2,500 5,000
(b) Failure to maintain records required to be kept for five years 2,500 5,000
(c) Failure to maintain records required to be kept for two years 2,500 5,000
219.905Access to facilities and records:
(a) Failure to release records in this subpart in accordance with Part 40 2,500 5,000
(b) Failure to permit access to facilities 2,500 5,000
(c) Failure to provide access to results of railroad alcohol and drug testing programs 2,500 5,000
[66 FR 41973, Aug. 9, 2001, as amended at 69 FR 30593, May 28, 2004; 73 FR 79702, Dec. 30, 2008; 77 FR 24420, Apr. 24, 2012]

Title 49 published on 2013-10-01

The following are only the Rules published in the Federal Register after the published date of Title 49.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2013-12-26; vol. 78 # 248 - Thursday, December 26, 2013
    1. 78 FR 78275 - Alcohol and Drug Testing: Determination of Minimum Random Testing Rates for 2014
      GPO FDSys XML | Text
      DEPARTMENT OF TRANSPORTATION, Federal Railroad Administration
      Notice of determination.
      This notice of determination is effective December 26, 2013.
      49 CFR Part 219

Title 49 published on 2013-10-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 49 CFR 219 after this date.

  • 2014-09-25; vol. 79 # 186 - Thursday, September 25, 2014
    1. 79 FR 57495 - Control of Alcohol and Drug Use: Coverage of Maintenance of Way Employees, Retrospective Regulatory Review-Based Amendments (RRR)
      GPO FDSys XML | Text
      DEPARTMENT OF TRANSPORTATION, Federal Railroad Administration
      Notice of proposed rulemaking; extension of comment period.
      The comment period for the NPRM published on July 28, 2014 (79 FR 43830), which was closing on September 26, 2014, is extended until November 25, 2014.
      49 CFR Part 219