Transcript CONDUCTOR CERTIFICATION UPADTE

FRA_RRS_ OP_2012
Congress required the Secretary of DOT to
prescribe regulations to establish a program
requiring the certification of railroad train
conductors. This authority was delegated to
the Federal Railroad Administrator (FRA).
Conductor Certification- May 2012
2
•
•
•
Require FRA to develop and enact regulations
requiring certification and training of
conductors.
Require railroads contractors and
subcontractors to develop and submit
training and qualification programs to FRA.
Require 49 CFR 240 (Engineers) as the model
for new regulation 49 CFR 242 (Conductors).
Conductor Certification- May 2012
3
Update, align and revise 49 CFR 240
Locomotive Engineer Certification
Regulations to better conform with
the requirements of new Conductor
Certification Regulations.
Conductor Certification- May 2012
4
Effective Date: January 1, 2012
Conductor Certification- May 2012
5
The “litmus test” for applicability is
whether the railroad currently has
a Qualification and Certification of
Locomotive Engineers Program
pursuant with §240.
Conductor Certification- May 2012
6
January 1, 2012- ALL railroads take a
“snap-shot” and determine those
individuals they will authorize to
perform the duties of conductor.
(grandfathering)
September 1, 2012- ALL railroads
initially issue certificates to all
grandfathered conductors.
Conductor Certification- May 2012
7
September 30, 2012- Deadline for Class I,
Class II and Commuter Railroads submit
programs to FRA.
December 1, 2012- Full implementation
for Class I, Class II and Commuter RRs.
January 31, 2013- Class III Railroads
submit programs to FRA.
April 1, 2013- Full implementation date
for Class III RRs.
Conductor Certification- May 2012
8
Conductor Certification- May 2012
9
“Person- means an entity of any type
covered under 1 U.S.C. 1, including but
not limited to the following: a railroad; a
manager, supervisor, official, or other
employee or agent of a railroad; any
owner, manufacturer, lessor, or lessee
of railroad equipment, track, or
facilities; any independent contractor
providing goods or services to a
railroad; “
Conductor Certification- May 2012
10


Conductor- the crewmember in charge of a
train or yard crew as defined in Part 218.
Passenger Conductor- is a conductor who
has also received emergency preparedness
training under Part 239.
One conductor per train or yard crew
The definition does not cover subordinate
certified crewmembers:




Trainmen
Brakemen
Yard Helpers
Assistant Conductors
Conductor Certification- May 2012
11
Train or yard crew (defined in part 218): “One or
more railroad employees assigned a controlling
locomotive, under the charge and control of one crew
member;
 called to perform service covered by Section
of the Hours of Service Act;
 involved with the train or yard movement of
railroad rolling equipment they are to work with as
an operating crew;
reporting and working together as a unit that
remains in close contact if more than one employee;
and subject to the railroad operating rules and
program of operational tests and inspections…
Conductor Certification- May 2012
12

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.

Job Aid- information regarding other than main track
physical characteristics that supplements the
operating instructions of the territory over which the
locomotive or train movement will occur.
A job aid may consist of training on the territory, maps,
charts or visual aids of the territory, or a person or
persons to contact who are qualified on the territory
and who can describe the physical characteristics of
the territory.
Conductor Certification- Feb. 2012
13


Qualified- a person who has successfully completed
all instruction, training and examination programs
required by the employer, the applicable parts of this
chapter and that the person therefore may
reasonably be expected to be proficient on all
safety related tasks the person is assigned to
perform.
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
which the locomotive or train movement will occur.
Conductor Certification- May 2012
14

Qualified instructor- a person who has demonstrated,
pursuant to the railroad’s written program, adequate
knowledge of the subjects under instruction and has the
necessary operating experience to effectively instruct in
the field, and has the following qualifications:
Is a certified conductor under this part; and
2. Has been selected as such by a designated
railroad officer, in concurrence with the
designated employee representative, where
present; or
3. In absence of concurrence provided in paragraph
(2) of this definition, has a minimum of 12 months
service working as a train service employee.
1.
Conductor Certification- May 2012
15
Qualified Instructors are required during OJT phase
to instruct persons and evaluate proficiency.
However OJT on-site training is not exclusive to
only Qualified Instructors.
242.119(e)(2) states: “…. a person may perform
such tasks under the direct onsite supervision of a
person, who has the necessary operating
experience, as part of the on-the-job training
process prior to completing such training and
passing the field evaluation.”
Conductor Certification- May 2012
16
17

Program and Eligibility Requirements
•
Certification program is required and individual railroad
programs must be approved by FRA.
•
Determinations requirements:
 Prior safety conduct as motor vehicle operator.
(DWI/ Test Refusal)
 Prior railroad safety conduct.
 Substance abuse disorders and alcohol/drug rule
compliance.
 Vision and hearing acuity.
•
•
•
Training and testing of knowledge.
Monitoring operational performance.
Joint operations determinations.
Conductor Certification- May 2012
18




September 30, 2012 for Class 1, Class 2,
Amtrak and Commuter Railroads.
January 31, 2013 for Class 3 Railroads
Programs can be filed anytime after
effective date of January 1, 2012.
Program approved by FRA 30 days.
Conductor Certification- May 2012
19
Prior to submitting a program electronically, the
person shall provide the Associate Administrator for
Railroad Safety/Chief Safety Officer FRA with the
following information in writing:
•
•
•
•
•
•
The name of the railroad or holding company;
The railroad’s system or main headquarters
address located in the United States;
The names and job titles of two railroad contacts;
The mailing addresses for the points of contact;
The email addresses for the points of contact;
The telephone numbers for the contacts.
Conductor Certification- May 2012
20
Appendix B provides guidance pertaining to
content and organization of each submission:
Section 1- General Information and Elections
Section 2- Training Persons Previously Certified
Section 3- Testing and Evaluation
Section 4- Training, Testing, and Evaluating
Persons Not Previously Certified
Section 5- Monitoring Operational Performance
Section 6- Procedures for Routine Administration of
the Conductor Certification Program
Conductor Certification- Feb. 2012
21
No railroad can test, instruct, train,
evaluate or decertify conductors under
this Part until they have an approved
§242 program.
36 month cycles for recertification will
begin on the applicable full
implementation date for that class
railroad.
Conductor Certification- May 2012
22
The railroad will identify persons authorized to perform
conductor duties as of January 1, 2012:
Current Conductors and Others may be Grandfathered.




Conductor Certificate required September 1, 2012.
Regulatory Grandfathering ends December 1, 2012
for Class 1, Class 2 Railroads and Commuter Railroad
and on April 1, 2013 for Class 3 Railroads.
If retiring within 36 months of the applicable full
implementation date, the employee may request to not
be required to recertify.
Other employees – required to recertify based on the
railroad’s schedule.
Conductor Certification- May 2012
23
Grandfathered conductors retiring prior
to December 1, 2015 (Class I, Class II
and Commuter) or April 1, 2016 (Class
III) can request exclusion from the
triennial recertification process only.
This does not exclude any individual
from the annual training and testing
requirements of §242.
Conductor Certification- Feb. 2012
24
Between January 1, 2012 and the Full
Implementation dates, those individuals
qualifying as conductors may be
promoted based on the railroad’s
existing training and testing programs.
(Not Grandfathering).
As soon as practicable, FRA expects
railroad with approved §242 programs to
implement the program. (Start-up)
Conductor Certification- May 2012
25
26
Administration of the Certification Program







Time limitations for certification. (36 Months)
Retaining information supporting determinations.
Identification of certified persons and record
keeping.
Certificate components and maintenance of the
certificate.
Replacement of certificates.
Multiple certifications; Engineer and conductor
certificates can be conjoined into one “combined”
or “compound” certificate.
Railroad oversight responsibilities.
Conductor Certification- May 2012
27



All required data for certification eligibility furnished
no more than 366 days prior to decision to certify.
Hearing acuity and medical examination conducted no
more than 450 days prior to decision to certify.
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.
Conductor Certification- Feb. 2012
28





Identify each person designated as certified conductor,
including type of service, and date of certification.
Joint operations – employing railroad shall include
the territorial qualifications of persons certified.
Updated at least annually.
Be maintained at the divisional or regional
headquarters of the railroad.
Be available to the FRA for inspection or copying
during normal business hours.
Conductor Certification- May 2012
29





Identify the railroad or parent company issuing it.
Identify the person it is issued to, including name,
employee identification number, a physical description or
photograph of person and year of birth .
Identify any conditions or limitations, including type of
service, or vision or hearing acuity deficiencies.
Show effective date of each type of certification held.
Signed by designated person issuing the certificate, as
authorized by the railroad or parent company.

Small size to fit wallet.

Additional information (above required information) is
not prohibited on the certificate.
Conductor Certification- May 2012
30



Each conductor issued must have certificate in
their possession while on duty as a conductor.
Display certificate upon request from FRA
representative or State Inspector authorized under
49 CFR 212, an officer of the issuing railroad, or
officer of another railroad during joint operations.
Any conductor called for service that will exceed
certificate limitations shall immediately notify the
railroad, and it shall be unlawful for the
railroad to require such service.
Conductor Certification- May 2012
31
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.
Conductor Certification- Feb. 2012
32



No record can be deleted or altered, and
amendment(s) to record are stored separate or
attached to the record it amends, without changing
the original record.
Each record amendment identifies the person making
the amendment.
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.
Conductor Certification- May 2012
33

The program must be secured to protect data
storage integrity, including prevention of
unauthorized access.

Security system requires employee identification
number and password for program access.

No two individuals have the same identity.
Conductor Certification- May 2012
34




Permit or require a person to perform service as a
certified conductor for more than 36 months,
unless the person has been determined eligible,
in accordance with requirements for certification
eligibility.
Certify for more than 36 months.
Rely on a certification issued by another railroad
that is more than 36 months old.
With exception of initial implementation,
certificates will be issued no later than 30 days
from date of certification.
Conductor Certification- May 2012
35

Make false entry on records.

Falsify records through misstatement,
omission, or mutilation.

Require conductor to provide service that
will exceed certificate limitations.

Certify for more than 36 months.
Conductor Certification- May 2012
36
A railroad shall:




Have a system for prompt replacement of lost, stolen
or mutilated certificates, at no cost to conductors.
Reasonably accessible to certified conductors in need
of replacement or temporary replacement certificate.
A temporary replacement certificate must identify the
person being issued, date of issuance, and authorized
by designated supervisor.
Temporary certificates may be delivered
electronically and will be valid for a period no
greater than 30 days.
Conductor Certification- May 2012
37
Similar to §240.309, the §242.215 applies only to
Class 1 Railroad- (including the National Railroad
Passenger Corporation and a railroad providing
commuter service) and each Class II railroad.
A 242 Program Annual Review and Analysis must be
compiled each year no later than March 31 each year
commencing in 2014 based on previous year results.
If requested in writing by FRA, the railroad shall
provide a report of the findings and conclusions of
their annual review and analysis effort.
Conductor Certification- May 2012
38
Review and Analysis shall involve:
1.
2.
3.
4.
The number and nature of §242.403 (e) incidents
and include the remedial action taken in response.
The number and nature of FRA reported train
accidents attributed to §242.403 (e) incidents by
conductors.
The number and type of operational monitoring
test failures recorded by the railroad in application
of §242.123.
The number of §242.403 (e) incidents involving
tenant railroad conductors in joint operations.
Conductor Certification- May 2012
39
40

Territorial Qualification and Joint Operations
The employing railroad shall not permit or
require a person to serve as a conductor unless
the railroad determines the person is certified as
a conductor and possesses the necessary main
track physical characteristic qualifications for the
territory over which they will be serving as a
conductor.
Conductor Certification- May 2012
41

•
•
Each person who is called to serve as a
conductor shall:
Meet the territorial qualification
requirements on the segment of main
track upon which he or she will serve as a
conductor.
Immediately notify the railroad upon which
he or she is employed if he or she does not
meet the required territorial qualifications.
Conductor Certification- May 2012
42
If a conductor lacks qualification on main
track physical characteristics:

For a conductor never qualified on main
track physical characteristics of the territory
over which he or she is to serve as a
conductor, the assistant shall be a person
who is certified as a conductor and meets
the territorial qualification requirements for
main track physical characteristics, and is
not an assigned crew member.
Conductor Certification- May 2012
43
Recognizing that territories differ in complexity,
railroads will be given discretion determining how often
a conductor must pass over a territory to be considered
to have a ‘‘regularly traversed’’ familiarity of a territory.
Railroads programs (Section 2) must state;
1. HOW LONG a conductor must be absent from a
territory before their qualification on the physical
characteristics of the territory expires, and;
2. The NUMBER of times a person must pass over a
territory per year to be considered to have ‘‘regularly
traversed’’ a territory for purposes of assistant
requirements under § 242.301(c).
Conductor Certification- May 2012
44
Assistance- Expired Qualifications
 Familiar: For a previously qualified
conductor whose qualification has
expired for less than 1 year, the assistant
may be any person, including an assigned
crewmember so long as serving as the
assistant would not conflict with that
crewmember’s other safety sensitive
duties, who meets the territorial
qualification requirements for main track
physical characteristics.
Conductor Certification- May 2012
45
Assistance- Expired Qualifications
 Not Familiar: For a previously qualified
conductor whose qualification has
expired for less than 1 year, the assistant
may be any person, including an assigned
crewmember excluding the assigned
locomotive engineer, so long as serving
as the assistant would not conflict with
that crewmember’s other safety sensitive
duties, who meets the territorial
qualification requirements for main track
physical characteristics.
Conductor Certification- May 2012
46
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. When
not practicable, the conductor will be
provided an appropriate up-to-date job aid.
Conductor Certification- May 2012
47
Except for specified emergencies (medical,
police, natural disaster ) a lone engineer must:


Be certified as both locomotive engineer and
conductor, or
Accompanied by a certified conductor, who
attaches to the lone engineer.
Regulation is Crew Consist Neutral
Conductor Certification- May 2012
48
49

Denial and Revocation of Certification
Denial of certification.
• Criteria for revoking certification.
• Periods of revocation.
• Process for revoking certification.
•
Conductor Certification- Feb. 2012
50
Conductor Certification- May 2012
51
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.
Conductor Certification- May 2012
52
When the conductor is located in the operating cab, failure
to take appropriate action to prevent the locomotive
engineer of the train the conductor is assigned to from
failing to adhere to limitations concerning train speed:
•
the speed at which the train was operated exceeds the
maximum authorized limit by at least 10 miles per hour.
Where restricted speed is in effect, railroads shall consider
only those violations of the conditional clause of restricted
speed rules that result in a §225 reportable incident/
accident or injury.
•
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.
Conductor Certification- May 2012
53
Failure to perform or have knowledge
a required brake test was performed.


Freight- Class 1, Class 1A, Class 2,
Class 3, Transfer Train Brake Test.
Passenger- Class 1, Class 1A, Class 2
and Running Brake Test.
Conductor Certification- Feb. 2012
54
Failure to take appropriate action
to prevent the locomotive engineer
of the train the conductor is
assigned to from occupying main
track or a segment of main track
without proper authority or
permission.
Conductor Certification- May 2012
55
Use of alcohol and/or drugs
contrary to Federal Regulations.
(Rule G)
Conductor Certification- Feb. 2012
56
Failure to comply with prohibitions against
tampering with locomotive mounted safety
devices;


knowingly fail to take appropriate action to
prevent the locomotive engineer from failing to
comply with prohibitions against tampering with
locomotive mounted safety devices;
knowingly fail to 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.
Conductor Certification- May 2012
57
1st
• 2nd
• 3rd
• 4th
•
event = 30 days
event within 24 months = 6 months
event within 36 months = 1 years
event within 36 months = 3 years
Any period of revocation one-year or less may
be reduced by half with remedial training.
Conductor Certification- Feb. 2012
58
•
•
•
•
•
•
218.99218.101218.103218.105218.107218.109-
Shoving or pushing movements.
Leaving equipment in the clear.
Hand operated switches.
Hand operated main line switches.*
Hand operated crossover switches.
Hand operated fixed derails.
§225 Reportable Threshold
*Note: On hand operated main line switches there
is no reduction in period of ineligibility.
Conductor Certification- May 2012
59
60
On other than main track where restricted speed or the
operational equivalent thereof is in effect, the period of
revocation for a violation of § 242.403(e)(6) through
(e)(8), (e)(10), or (e)(11)
•
•
•
•
•
242.403 (e)(6) Shoving or pushing movements.
242.403 (e)(7) Leaving equipment in the clear.
242.403 (e)(8) Hand operated switches.
242.403 (e)(10) Hand operated crossover switches.
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.
Conductor Certification- May 2012
61
1.
The denial or revocation of certification is for a period of
one year or less;
2.
Certification is denied or revoked for reasons other
than noncompliance with drug and alcohol.
3.
The person is evaluated by a railroad officer and
determined to have received adequate remedial
training;
4.
The person successfully completes any mandatory
program of training or retraining prior to return to
service;
5.
At least one half the specified period of ineligibility has
elapsed.
Conductor Certification- Feb. 2012
62

Dispute Resolution Procedures
•
•
•
•
•
•
Operating Crew Review Board established.
Petition requirements.
Processing certification review petitions.
Request for a hearing.
Hearings.
Appeals.
Operating Crew Review Board (OCRB) replaces LERB
Conductor Certification- May 2012
63
Conductor Certification- May 2012
64
FRA Predicts:
950 Conductor Certificate
Revocations annually.
160 OCRB Petitions annually.
Conductor Certification- May 2012
65
66