49 CFR Part 244 — Regulations on Safety Integration Plans Governing Railroad Consolidations, Mergers, and Acquisitions of Control

PART 244—REGULATIONS ON SAFETY INTEGRATION PLANS GOVERNING RAILROAD CONSOLIDATIONS, MERGERS, AND ACQUISITIONS OF CONTROL Authority: 49 U.S.C. 20103, 20107, 21301; 5 U.S.C. 553 and 559; 28 U.S.C. 2461 note; and 49 CFR 1.89. Source: 67 FR 11604, Mar. 15, 2002, unless otherwise noted. Subpart A—General § 244.1 Scope, application, and purpose. (a) This part prescribes requirements for filing and implementing a Safety Integration Plan with FRA whenever a Class I railroad proposes to consolidate with, merge with, or acquire control of another Class I railroad, or with a Class II railroad where there is a proposed amalgamation of operations. (b) The purpose of this part is to achieve a reasonable level of railroad safety during the implementation of transactions described in paragraph (a) of this section. This part does not preclude a railroad from taking additional measures not inconsistent with this part to provide for safety in connection with a transaction. (c) The requirements prescribed under this part apply only to FRA's disposition of a regulated transaction filed by an applicant. The transactions covered by this part also require separate filing with and approval by the Surface Transportation Board. See § 244.3 Preemptive effect. Under 49 U.S.C. 20106, issuance of these regulations preempts any State law, regulation, or order covering the same subject matter, except an additional or more stringent law, regulation, or order that: (a) Is necessary to eliminate or reduce an essentially local safety hazard; (b) Is not incompatible with a law, regulation, or order of the United States Government; and (c) Does not unreasonably burden interstate commerce. § 244.5 Penalties. (a) Any person who violates any 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. See 49 CFR part 209, appendix A. Each day a violation continues shall constitute a separate offense. See FRA's website at https://railroads.dot.gov/ (b) As specified in § 244.21, FRA may also exercise any of its other enforcement remedies if a railroad fails to comply with § 244.21. (c) Any person who knowingly and willfully makes a false entry in a record or report required by this part shall be subject to criminal penalties under 49 U.S.C. 21311. [67 FR 11604, Mar. 15, 2002, as amended at 69 FR 30595, May 28, 2004; 72 FR 51198, Sept. 6, 2007; 73 FR 79705, Dec. 30, 2008; 77 FR 24423, Apr. 24, 2012; 81 FR 43113, July 1, 2016; 82 FR 16135, Apr. 3, 2017; 83 FR 60750, Nov. 27, 2018; 84 FR 37075, July 31, 2019; 86 FR 1760, Jan. 11, 2021; 86 FR 23256, May 3, 2021; 87 FR 15870, Mar. 21, 2022; 88 FR 1129, Jan. 6, 2023; 88 FR 89564, Dec. 28, 2023; 89 FR 106298, Dec. 30, 2024; 90 FR 28195, July 1, 2025] § 244.7 Waivers. (a) A person subject to a requirement of this part may petition the Administrator for a waiver of compliance with any requirement of this part. The filing of such a petition does not affect that person's responsibility for compliance with that requirement pending action on such a petition. (b) Each petition for a waiver under this section must be filed in the manner and contain the information required by part 211 of this chapter. (c) If the Administrator finds that a waiver of compliance is in the public interest and is consistent with railroad safety, the Administrator may grant the waiver subject to any conditions the Administrator deems necessary. (d) The procedures governing a petition for a waiver that are prescribed under this part apply only to FRA's disposition of such a petition. A person seeking a waiver of a Surface Transportation Board regulation would need to file a petition for a waiver with the Board. ( See § 244.9 Definitions. As used in this part— Administrator Amalgamation of operations e.g., Applicant Best practices Class I or Class II railroad Corporate culture Control means (1) Common directors, officers, stockholders, a voting trust, or a holding or investment company, or (2) Any other means. See Consolidation Environmental documentation Merger Person Railroad (1) Commuter or other short-haul rail passenger service in a metropolitan or suburban area; and (2) High speed ground transportation systems that connect metropolitan areas, without regard to whether those systems use new technologies not associated with traditional railroads. The term does not include rapid transit operations in an urban area that are not connected to the general railroad system of transportation. Safety Integration Plan Section of Environmental Analysis Transaction [67 FR 11604, Mar. 15, 2002, as amended at 90 FR 28127, July 1, 2025] Subpart B—Safety Integration Plans § 244.11 Contents of a Safety Integration Plan. Each Safety Integration Plan shall contain the following information for each subject matter identified in § 244.13 or § 244.15: (a) A detailed description of how the applicant differs from each railroad it proposes to acquire or with which the applicant proposes to consolidate or merge, including the rules or instructions governing railroad operations of these railroads; (b) A detailed description of the proposed manner of operations of the resulting railroad, including a reconciliation of the differing rules or instructions governing railroad operations of the railroads involved in the transaction; (c) The measures to be taken to comply with applicable Federal railroad safety laws and regulations; (d) The proposed specific measures, expressed step-by-step, for each relevant subject matter that the applicant believes will result in safe implementation of the proposed transaction consistent with the requirements of this part; (e) The allocation of resources, expressed as human and capital resources within designated operating budgets, directed to complete safety-relevant operations subject to the transaction; and (f) The timetable, targeted in specific terms from commencement to completion, for implementing paragraphs (c), (d) and (e) of this section. § 244.13 Subjects to be addressed in a Safety Integration Plan involving an amalgamation of operations. Each Safety Integration Plan involving an amalgamation of operations shall address the following subjects for railroad operations conducted on property subject to the transaction: (a) Corporate culture. (1) Identify and describe differences for each safety-related area between the corporate cultures of the railroads involved in the transaction; (2) Describe how these cultures lead to different practices governing rail operations; and (3) Describe, in step-by-step measures, the integration of these corporate cultures and the manner in which it will produce a system of “best practices” when the transaction is implemented. (b) Training. (1) Employees who perform train and engine service; (2) Employees who inspect and maintain track and bridges; (3) Employees who inspect, maintain and repair any type of on-track equipment, including locomotives, passenger cars, and freight cars of all types; (4) Dispatchers or operators; (5) Employees who inspect and maintain signal and train control devices and systems; (6) Hazardous materials personnel, including information technology personnel who affect the transportation of hazardous materials; (7) Employees who maintain or upgrade communication systems affecting rail operations; and (8) Supervisors of employees enumerated in paragraphs (b)(1) through (7) of this section. (c) Operating practices Operating rules. (2) Alcohol and drug. (3) Qualification and certification of locomotive engineers. (4) Hours of service laws. (d) Motive power and equipment. (e) Signal and train control. (f) Track Safety Standards and bridge structures. (g) Hazardous Materials. (1) Field inspection practices; (2) Hazardous materials communication standards; (3) Emergency response procedures; and (4) Information technology systems and personnel employed for transmitting or receiving information accompanying hazardous materials shipments. The inspection program should identify preventive measures that will be employed to respond to potential information technology integration and hazardous materials documentation deficiencies. (h) Dispatching operations. (1) The railroad dispatching system to be adopted; (2) The migration of the existing dispatching systems to the adopted system, if applicable; and (3) The criteria used to determine workload and duties performed by operators or dispatchers employed to execute operations. (i) Highway-rail grade crossing systems. (1) Identification of the highway-rail grade crossings at which there will be an increase in rail traffic resulting from the transaction; (2) An applicant's existing grade-crossing programs as they apply to grade crossings identified in paragraph (i)(1) of this section; (3) Integration of the grade crossing programs of the railroads subject to the transaction to the extent the programs may be different; (4) Emergency response actions; (5) Avoidance of blocked or obstructed highway-rail crossing systems by trains, locomotives, railroad cars, or other pieces of rolling equipment; and (6) Signs employed for changes in rail traffic patterns. (j) Personnel staffing. (1) Train and engine service; (2) Yard and terminal service; (3) Dispatching operations; (4) Roadway maintenance; (5) Freight car and locomotive maintenance; (6) Maintenance of signal and train control systems, devices, and appliances; (7) Hazardous materials operations; and (8) Managers responsible for oversight of safety programs. (k) Capital investment. (l) Information systems compatibility. (1) Train consists; (2) Movements and movement history of locomotives and railroad freight cars; (3) Dispatching operations; (4) Emergency termination of operations; and (5) Transportation of hazardous materials. [67 FR 11604, Mar. 15, 2002, as amended at 67 FR 68045, Nov. 8, 2002] § 244.15 Subjects to be addressed in a Safety Integration Plan not involving an amalgamation of operations. If an applicant does not propose an amalgamation of operations conducted on properties subject to the transaction, the applicant shall not be required to file a Safety Integration Plan unless directed to do so by FRA. § 244.17 Procedures. (a) Each applicant shall file one original of a proposed Safety Integration Plan with the Associate Administrator for Safety, FRA, 1200 New Jersey Avenue, SE., Mail Stop 25, Washington, DC, 20590, no later than 60 days after the date it files its application with the Surface Transportation Board. (b) The applicant shall submit such additional information necessary to support its proposed Safety Integration Plan as FRA may require to satisfy the requirements of this part. (c) The applicant shall coordinate with FRA to resolve FRA's comments on the proposed Safety Integration Plan until such plan is approved. (d) FRA will file its findings and conclusions on the proposed Safety Integration Plan with the Board's Section of Environmental Analysis at a date sufficiently in advance of the Board's issuance of its draft environmental documentation in the case to permit incorporation in the draft environmental document. (e) Assuming FRA approves the proposed Safety Integration Plan and the Surface Transportation Board approves the transaction and adopts the Plan, each applicant involved in the transaction shall coordinate with FRA in implementing the approved Safety Integration Plan. (f) During implementation of an approved Safety Integration Plan, FRA expects that an applicant may change and refine its Safety Integration Plan in response to unforeseen developments. An applicant shall communicate with FRA about such developments and submit amendments to its Safety Integration Plan to FRA for approval. (g) During implementation of an approved Safety Integration Plan, FRA will inform the Surface Transportation Board about implementation of the plan at times and in a manner designed to aid the Board's exercise of its continuing jurisdiction over the approved transaction in accordance with an agreement that FRA and the Board will enter into and execute. Pursuant to such agreement, FRA will consult with the Board at all appropriate stages of implementation, and will advise the Board on the status of the implementation process: (1) For a period of no more than five years after the Board approves the transaction, (2) For an oversight period for the transaction established by the Board, or (3) Until FRA advises the Board in writing that the integration of operations subject to the transaction is complete, whichever is shorter. (h) Request for Confidential Treatment. [67 FR 11604, Mar. 15, 2002, as amended at 74 FR 25176, May 27, 2009] § 244.19 Disposition. (a) Standard of review. (1) Is thorough, complete, and clear; and (2) Describes in adequate detail a logical and workable transition from conditions existing before the transaction to conditions intended to exist after consummation of the transaction. (b) Approval of the Safety Integration Plan and Amendments Thereto. (c) Amendment By the applicant. (2) By FRA. [67 FR 11604, Mar. 15, 2002, as amended at 67 FR 68045, Nov. 8, 2002] § 244.21 Compliance and Enforcement. (a) After the Surface Transportation Board has approved a transaction subject to this part, a railroad implementing a transaction subject to this part shall operate in accordance with the Safety Implementation Plan approved by FRA until the properties involved in the transaction are completely integrated into the form contemplated in the Surface Transportation Board's approval of the transaction. (b) FRA may exercise any or all of its enforcement remedies authorized by the Federal railroad safety laws if a railroad fails to comply with paragraph (a) of this section or to execute any measure contained in a Safety Implementation Plan approved by FRA. Appendix A to Part 244—Schedule of Civil Penalties [Reserved]

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