1. CONDUCTOR CERTIFICATION REGULATIONPart 49 cfr 242 BLET Kansas City, MO May 22 and 23, 2011

2. Why? 2

3. Railroad Safety Act of 2008(49 U.S.C. 20163) Congress required the Secretary of DOT to prescribe regulations to establish a program requiring the certification of train conductors. This authority was delegated to the Federal Railroad Administrator (FRA). 3

5. Require railroads, contractors, and subcontractors to develop and submit training programs and qualification plans to FRA.

6. Require 49 CFR 240 (Engineers) as the model for new regulation 49 CFR 242 (Conductors).4

7. The RSAC ProcessConsensus Rulemaking 5

9. RSAC Meetings:

10. July 21-23 Washington, DC

11. August 25-27 Overland Park, KS

12. September 15-17 Colorado Springs, CO

13. October 20-22 Arlington, VA

14. November 17-19 Scottsdale, AZ

15. December 16-19 Washington, DC6

17. FRA issued a Notice of Proposed Rulemaking on November 10, 2010.

18. Public comments received.

19. Final RSAC meeting held on May 12, 2011.7

20. Open Issue Update, align and revise 49 CFR 240 Locomotive Engineer Certification Regulations to better conform with the requirements of new Conductor Certification Regulations. 8

21. The Consensus Recommendations- Highlights - 9

23. Passenger Conductor- is a conductor who has also received emergency preparedness training under Part 239.Functional Approach, Regardless of Title 10

25. reporting and working together as a unit that remains in close contact if more than one employee;

26. and subject to the railroad operating rules and program of operational tests and inspections…11

28. Brakemen

29. Yard Helpers

30. Assistant Conductors 12

33. Physical characteristics- the actual track profile of and physical location for points within a specific yard or route that affect the movement of a locomotive or train. Includes both main track physical characteristics and other than main track physical characteristics. 14

36. Substance Abuse Professional (SAP)- a person who meets the qualifications of a substance abuse professional, as provided in 49 CFR Part 40. As used in this rule, the SAP owes a duty to the railroad to make an honest and fully informed evaluation of the condition and progress of an employee.

37. Territorial qualifications- possessing the necessary knowledge concerning a railroad's operating rules and timetable special instructions including familiarity with applicable main track and other than main track physical characteristics of the territory over which the locomotive or train movement will occur. 16

38. Questions? 17

40. Certification program is required and individual railroad programs must be approved by FRA.

41. Determinations requirements:

43. Substance abuse disorders and alcohol/drug rule compliance.

44. Vision and hearing acuity.

45. Training and testing of knowledge.

46. Monitoring operational performance.

47. Joint operations determinations.18

49. Time limitations for certification. (36 Months)

50. Retaining information supporting determinations.

51. Identification of certified persons and record keeping.

52. Certificate components and maintenance of the certificate.

53. Replacement of certificates.

54. Multiple certifications; Engineer and conductor certificates can be conjoined into one “combined” or “compound” certificate.

55. Railroad oversight responsibilities. 19

57. Hearing acuity and medical examination conducted no more than 450 days prior to decision to certify.

58. Determination of knowledge and knowledge examination conducted not more than 366 days prior, and not more than 24 months for railroads that administer knowledge testing on a 24 month basis*.*Does not apply to a railroad making a certification decision based on determination of another railroad; however, no railroad shall rely on a certification issued by another railroad that is more than 36 months old. 20

60. Certify for more than 36 months.

61. Rely on a certification issued by another railroad that is more than 36 months old.

62. With exception of initial implementation, certificates will be issued no later than 30 days from date of certification. 21

63. Retaining Information Supporting Determinations All relevant data collected including a person’s prior safety conduct, motor vehicle driving record, data furnished by another railroad, data furnished by a the person seeking certification, hearing and vision acuity test results, and all other records required must be retained for a period six (6) years from the date of certification, recertification, denial, or revocation decision, and made available to FRA upon request during normal business hours. 22

65. Joint operations – employing railroad shall include the territorial qualifications of persons certified.

66. Updated at least annually.

67. Be maintained at the divisional or regional headquarters of the railroad.

68. Be available to the FRA for inspection or copying during normal business hours.23

70. Identify the person it is issued to, including name, employee identification number, year of birth or photograph of person.

71. Identify any conditions or limitations, including type of service, or vision or hearing acuity deficiencies.

72. Show effective date of each type of certification held.

73. Signed by designated person issuing the certificate, as authorized by the railroad or parent company.

74. Small size to fit wallet.

75. Additional information (above required information) is not prohibited on the certificate.24

77. Display certificate upon request from representative of FRA, State Inspector authorized under 49 CFR 212, an officer of the issuing railroad, or officer of another railroad during joint operations.

78. Any conductor called to service that will exceed certificate limitations shall immediately notify the railroad, and it shall be unlawful for the railroad to require such service. 25

80. Reasonably accessible to certified conductors in need of replacement or temporary replacement certificate.

81. A temporary replacement certificate must identify the person being issued, date of issuance, and authorized by designated supervisor.

82. Temporary certificates may be delivered electronically and will be valid for a period no greater than 30 days.26

84. Each record amendment identifies the person making the amendment.

85. The system permits reasonable access to the FRA, and can be provided in printed format and authenticated as a true and accurate copy of the railroad’s records, if requested by the FRA.27

87. Security system requires employee identification number and password for program access.

88. No two individuals have the same identity.28

90. Falsify records through misstatement, omission, or mutilation.

91. Require conductor to provide service that will exceed certificate limitations.

92. Certify for more than 36 months.29

95. Meet the territorial qualification requirements on the segment of main track upon which he or she will serve as a conductor.

96. Immediately notify the railroad upon which he or she is employed if he or she does not meet the required territorial qualifications.31

97. Assistance and Job Aids If a conductor lacks qualification on main track physical characteristics, they shall be assisted by a person who is a certified as a conductor or locomotive engineer who meets the territorial qualification requirements for that main track physical characteristics. 32

98. Assistance and Job Aids If a conductor lacks territorial qualification on other than main track physical characteristics, where practicable, he or she shall be assisted by a person who is a certified conductor and meets the territorial qualification requirements for other than main track physical characteristics. Where not practicable, the conductor should be provided an appropriate up-to-date job aid. 33

100. Other employees – required to recertify based on railroad’s schedule.34

102. Accompanied by a certified conductor, who attaches to the lone engineer.Regulation is Crew Consist Neutral 35

103. Questions? 36

105. Denial of certification.

106. Criteria for revoking certification.

107. Periods of revocation.

108. Process for revoking certification.37

109. Prohibited Acts- Stop Signals When the conductor is located in the operating cab, or otherwise has knowledge of the signal indication, failure to take appropriate action* to prevent the locomotive engineer of the train the conductor is assigned to from failing to control a locomotive or train in accordance with a signal indication that requires a complete stop before passing it, excluding a hand or a radio signal indication or a switch. *Appropriate action does not mean that a conductor must prevent a violation from occurring at all costs; the duty may be met by warning an engineer of a potential or foreseeable violation. 38

111. When not in the operating cab, the conductor is deemed to have taken appropriate action when in compliance with all applicable Railroad Operating Rules and Special Instructions. 39

113. Passenger- Class 1, Class 1A, Class 2 and Running Brake Test.40

114. Prohibited Acts- Occupying a Segment of Main Track Occupying main track or a segment of main track without proper authority or permission. 41

115. Prohibited Acts- Drug and Alcohol Use of alcohol and/or drugs contrary to Federal Regulations. (Rule G) 42

117. knowingly failto take appropriate action to prevent the locomotive engineer of the train from operating or permitting to be operated a train with an unauthorized disabled safety device in the controlling locomotive. 43

119. 2nd event within 24 months = 6 months

120. 3rd event within 36 months = 1 years

121. 4th event within 36 months = 3 yearsAny period of revocation may consist of training. 44

123. 218.101- Leaving equipment in the clear.

124. 218.103- Hand operated switches.

125. 218.105- Hand operated main line switches.

126. 218.107- Hand operated crossover switches.

127. 218.109- Hand operated fixed derails.45

129. 242.403 (e)(7) Leaving equipment in the clear.

130. 242.403 (e)(8) Hand operated crossovers.

131. 242.403 (e)(10) Hand operated crossover switches.

132. 242.403 (e)(11) Hand operated fixed derails.shall be reduced by one half provided that another revocable event has not occurred within the previous 12 months. 46

133. Criteria for Reducing Periods of Ineligibility The denial or revocation of certification is for a period of one year or less; Certification is denied or revoked for reasons other than noncompliance with drug and alcohol. The person is evaluated by a railroad officer and determined to havereceived adequate remedial training; The person successfully completes any mandatory program of training or retraining prior to return to service; At least one half the specified period of ineligibility has elapsed. 47

135. Operating Crew Review Board established.

136. Petition requirements.

137. Processing certification review petitions.

138. Request for a hearing.

139. Hearings.

140. Appeals. Operating Crew Review Board (OCRB) replaces LERB 48

141. Appendix E 49

142. Questions? 50

145. Part 218 Subpart F violations not currently revocable events.51

148. Utilizes EAP52

150. Flow back to engineer is not permitted when conductor certification is revoked- except 218 Subpart F.

151. Flow back to brakeman, trainman, yard helper, assistant conductor is permitted when either certification is revoked.53