1. FRA_RRS_ OP_2012

2. 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). 2Conductor Certification- May 2012

3. Require FRA to develop and enact regulations requiring certification and training of conductors. 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 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). Require 49 CFR 240 (Engineers) as the model for new regulation 49 CFR 242 (Conductors). 3Conductor Certification- May 2012

4. Update, align and revise 49 CFR 240 Locomotive Engineer Certification Regulations to better conform with the requirements of new Conductor Certification Regulations. 4Conductor Certification- May 2012

5. 5 Effective Date: January 1, 2012 Conductor Certification- May 2012

6. 6 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

7. 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. 7Conductor Certification- May 2012

8. 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 20128

9. 9

10. Person “ “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; “ 10Conductor Certification- May 2012

11.  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 11 The definition does not cover subordinate certified crewmembers:  Trainmen  Brakemen  Yard Helpers  Assistant Conductors Conductor Certification- May 2012

12. 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 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; 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; 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 inspection s… and subject to the railroad operating rules and program of operational tests and inspection s… 12Conductor Certification- May 2012

13.  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. 13Conductor Certification- Feb. 2012

14.  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. 14Conductor Certification- May 2012

15.  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: 1. 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. 15Conductor Certification- May 2012

16. 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.” 16Conductor Certification- May 2012

17. 17

18.  Program and Eligibility Requirements Certification program is required and individual railroad programs must be approved by FRA. Certification program is required and individual railroad programs must be approved by FRA. Determinations requirements: Determinations requirements: Prior safety conduct as motor vehicle operator. Prior safety conduct as motor vehicle operator. (DWI/ Test Refusal) (DWI/ Test Refusal) Prior railroad safety conduct. Prior railroad safety conduct. Substance abuse disorders and alcohol/drug rule compliance. Substance abuse disorders and alcohol/drug rule compliance. Vision and hearing acuity. Vision and hearing acuity. Training and testing of knowledge. Training and testing of knowledge. Monitoring operational performance. Monitoring operational performance. Joint operations determinations. Joint operations determinations. 18Conductor Certification- May 2012

19.  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. 19Conductor Certification- May 2012

20. 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 name of the railroad or holding company; The railroad’s system or main headquarters address located in the United States; The railroad’s system or main headquarters address located in the United States; The names and job titles of two railroad contacts; The names and job titles of two railroad contacts; The mailing addresses for the points of contact; The mailing addresses for the points of contact; The email addresses for the points of contact; The email addresses for the points of contact; The telephone numbers for the contacts. The telephone numbers for the contacts. 20Conductor Certification- May 2012

21. 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. 201221

22. 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. 22Conductor Certification- May 2012

23. 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. 23Conductor Certification- May 2012

24. Conductor Certification- Feb. 201224 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.

25. 25 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

26. 26

27. 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. 27Conductor Certification- May 2012

28.  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. 28Conductor Certification- Feb. 2012

29.  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. 29Conductor Certification- May 2012

30.  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. 30Conductor Certification- May 2012

31.  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. 31Conductor Certification- May 2012

32. 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. 32Conductor Certification- Feb. 2012

33.  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. 33Conductor Certification- May 2012

34.  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. 34Conductor Certification- May 2012

35.  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. 35Conductor Certification- May 2012

36.  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. 36Conductor Certification- May 2012

37. 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 superviso r.  Temporary certificates may be delivered electronically and will be valid for a period no greater than 30 days. 37Conductor Certification- May 2012

38. 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. 38Conductor Certification- May 2012

39. Review and Analysis shall involve: 1. The number and nature of §242.403 (e) incidents and include the remedial action taken in response. 2. The number and nature of FRA reported train accidents attributed to §242.403 (e) incidents by conductors. 3. The number and type of operational monitoring test failures recorded by the railroad in application of §242.123. 4. The number of §242.403 (e) incidents in 4. The number of §242.403 (e) incidents involving tenant railroad conductors in joint operations. 39Conductor Certification- May 2012

40. 40

41.  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. 41Conductor Certification- May 2012

42.  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. 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. Immediately notify the railroad upon which he or she is employed if he or she does not meet the required territorial qualifications. 42Conductor Certification- May 2012

43. 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. 43Conductor Certification- May 2012

44. 44 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 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

45. 45  Familiar:  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. Assistance- Expired Qualifications Conductor Certification- May 2012

46. 46  Not Familiar  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. Assistance- Expired Qualifications Conductor Certification- May 2012

47. 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. 47Conductor Certification- May 2012

48. 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 48Conductor Certification- May 2012

49. 49

50.  Denial and Revocation of Certification Denial of certification. Denial of certification. Criteria for revoking certification. Criteria for revoking certification. Periods of revocation. Periods of revocation. Process for revoking certification. Process for revoking certification. 50Conductor Certification- Feb. 2012

51. 51Conductor Certification- May 2012

52. 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. 52Conductor Certification- May 2012

53. 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. 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. 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. 53Conductor Certification- May 2012

54. 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. 54Conductor Certification- Feb. 2012

55. Failure to take appropriate action to prevent 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. 55Conductor Certification- May 2012

56. Use of alcohol and/or drugs contrary to Federal Regulations. (Rule G) 56Conductor Certification- Feb. 2012

57. 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. 57Conductor Certification- May 2012

58. 1 st event = 30 days 1 st event = 30 days 2 nd event within 24 months = 6 months 2 nd event within 24 months = 6 months 3 rd event within 36 months = 1 years 3 rd event within 36 months = 1 years 4 th event within 36 months = 3 years 4 th event within 36 months = 3 years Any period of revocation one-year or less may be reduced by half with remedial training. 58Conductor Certification- Feb. 2012

59. 218.99- Shoving or pushing movements. 218.101- Leaving equipment in the clear. 218.103- Hand operated switches. 218.105- Hand operated main line switches.* 218.107- Hand operated crossover switches. 218.109- Hand operated fixed derails. §225 Reportable Threshold *Note: On hand operated main line switches there is no reduction in period of ineligibility. 59Conductor Certification- May 2012

60. 60

61. 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)(6) Shoving or pushing movements. 242.403 (e)(7) Leaving equipment in the clear. 242.403 (e)(7) Leaving equipment in the clear. 242.403 (e)(8) Hand operated switches. 242.403 (e)(8) Hand operated switches. 242.403 (e)(10) Hand operated crossover switches. 242.403 (e)(10) Hand operated crossover switches. 242.403 (e)(11) Hand operated fixed derails. 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. 61Conductor Certification- May 2012

62. 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. 62Conductor Certification- Feb. 2012

63.  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 63Conductor Certification- May 2012

64. 64Conductor Certification- May 2012

65. FRA Predicts: 950 Conductor Certificate Revocations annually. 160 OCRB Petitions annually. 65Conductor Certification- May 2012

66. 66