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(a) After October 30, 1991, each railroad in operation on that date shall designate in writing any person(s) it deems qualified as a designated supervisor of locomotive engineers. Each person so designated shall have demonstrated to the railroad through training, testing or prior experience that he or she has the knowledge, skills, and ability to be a designated supervisor of locomotive engineers. (b) No later than November 1, 1991, each railroad shall designate in writing all persons that it will deem to be qualified as certified locomotive engineers for the purpose of initial compliance with paragraph (d) of this section, except as provided for in paragraph (h) of this section. (1) Each person so designated shall have demonstrated to the railroad through training, testing or prior experience that he or she has the knowledge and skills to be a certified locomotive engineer. (2) Each railroad shall issue, no later than December 31, 1991, a certificate that complies with §240.223 to each person that it designates as qualified under the provisions of paragraph (b) of this section. (c) No railroad shall permit or require a person, designated as qualified for certification under the provisions of paragraph (b) of this section, to perform service as a certified locomotive or train service engineer for more than the 36-month period beginning on the pertinent date for compliance with the mandatory procedures for testing and evaluation set forth in the applicable provisions of paragraph (e), (f) or (g) of this section unless that person has been determined to be qualified in accordance with procedures that comply with subpart C. (d) After December 31, 1991, no railroad shall permit or require any person to operate a locomotive in any class of locomotive or train service unless that person has been certified as a qualified locomotive engineer and issued a certificate that complies with §240.223. (e) After December 31, 1991, no Class I railroad (including the National Railroad Passenger Corporation) or railroad providing commuter service shall designate any person it deems qualified as a designated supervisor of locomotive engineers or initially certify or recertify a person as a locomotive engineer in either locomotive or train service unless that person has been tested, evaluated, and determined to be qualified in accordance with procedures that comply with subpart C. (f) After May 31, 1992 no Class II railroad shall designate any person it deems qualified as a designated supervisor of locomotive engineers or initially certify or recertify a person as a locomotive engineer in any class of locomotive or train service unless that person has been tested, evaluated and determined to be qualified in accordance with procedures that comply with subpart C. (g) After November 30, 1992 no Class III railroad (including a switching and terminal or other railroad not otherwise classified) shall designate any person it deems qualified as a designated supervisor of locomotive engineers or initially certify or recertify a person as a locomotive engineer in any class of locomotive or train service unless that person has been tested, evaluated and determined to be qualified in accordance with procedures that comply with subpart C. (h) A railroad may continue to designate any person it deems qualified as a designated supervisor of locomotive engineers or as a certified engineer, on the basis of paragraph (b) determinations, prior to the pertinent date by which a railroad of its class must comply with the procedures for testing and evaluating persons required under subpart C. Each person designated as a locomotive engineer shall be issued a certificate that complies with §240.223 prior to being required or permitted to operate a locomotive. (i) A railroad commencing operations prior to the pertinent date for compliance by a railroad of its class may designate any person it deems qualified as a designated supervisor of locomotive engineers or as a certified locomotive engineer on the basis of paragraph (b) until the pertinent date for compliance with the procedures for testing and evaluating required under subpart C. Each person designated as a locomotive engineer shall be issued a certificate that complies with §240.223 prior to being required or permitted to operate a locomotive. § 240.203 Determinations required as a prerequisite to certification.(a) Except as provided in paragraph (c), after the pertinent date specified in paragraph (e), (f), or (g) of §240.201, each railroad, prior to initially certifying or recertifying any person as an engineer for any class of service, shall, in accordance with its FRA-approved program determine in writing that: (1) The individual meets the eligibility requirements of §§240.115, 240.117 and 240.119; and (2) The individual meets the vision and hearing acuity standards of §240.121; (3) The individual has the necessary knowledge, as demonstrated by successfully completing a test that meets the requirements of §240.125; (4) The individual has the necessary applied knowledge and operating performance skills, as demonstrated by successfully completing an operational performance test that meets the requirements of §240.127; and (5) Where a person has not previously been certified, that the person has completed a training program that meets the requirements of §240.123. (b) A railroad may certify a person as a student engineer after determining that the person meets the vision and hearing acuity standards of §240.121. A railroad may subsequently certify that student engineer as either a locomotive servicing engineer or a train service engineer without further review of his or her acuity status provided it determines that: (1) The person successfully completed a training program that complies with §240.123; (2) The person meets the eligibility requirements of §§240.109 and 240.119; and (3) A period of not more than twenty-four months has elapsed since the student engineer certification was issued. [56 FR 28254, June 19, 1991, as amended at 60 FR 53136, Oct. 12, 1995] § 240.205 Procedures for determining eligibility based on prior safety conduct.(a) After the pertinent date specified in paragraph (e), (f), or (g) of §240.201, each railroad, prior to initially certifying or recertifying any person as an engineer for any class of service, shall determine that the person meets the eligibility requirements of §240.115 involving prior conduct as a motor vehicle operator, §240.117 involving prior conduct as a railroad worker, and §240.119 involving substance abuse disorders and alcohol/drug rules compliance. (b) In order to make the determination required under paragraph (a) of this section, a railroad shall have on file documents pertinent to the determinations referred to in paragraph (a) of this section, including a written document from its EAP Counselor either a document reflecting his or her professional opinion that the person has been evaluated as not currently affected by a substance abuse disorder or that the person has been evaluated as affected by an active substance abuse disorder and is ineligible for certification. § 240.207 Procedures for making the determination on vision and hearing acuity.(a) After the pertinent date specified in paragraph (e), (f), or (g) of §240.201, each railroad, prior to initially certifying or recertifying any person as an engineer for any class of service, shall determine that the person meets the standards for visual acuity and hearing acuity prescribed in §240.121. (b) In order to make the determination required under paragraph (a), a railroad shall have on file either: (1) A medical examiner's certificate that the individual has been medically examined and meets these acuity standards; or (2) A written document from its medical examiner documenting his or her professional opinion that the person does not meet one or both acuity standards and stating the basis for his or her determination that (i) The person can nevertheless be certified under certain conditions or (ii) The person's acuity is such that he or she cannot safely operate a locomotive even with conditions attached. (c) Any examination required for compliance with this section shall be performed by or under the supervision of a medical examiner or a licensed physician's assistant such that: (1) A licensed optometrist or a technician responsible to that person may perform the portion of the examination that pertains to visual acuity; and (2) A licensed or certified audiologist or a technician responsible to that person may perform the portion of the examination that pertains to hearing acuity. (d) If the examination required under this section discloses that the person needs corrective lenses or a hearing aid, or both, either to meet the threshold acuity levels established in §240.121 or to meet a lower threshold determined by the railroad's medical examiner to be sufficient to safely operate a locomotive or train on that railroad, that fact shall be noted on the certificate issued in accordance with the provisions of this part. (e) Any person with such a certificate notation shall use the relevant corrective device(s) while operating a locomotive in locomotive or train service unless the railroad's medical examiner subsequently determines in writing that the person can safely operate without using the device. § 240.209 Procedures for making the determination on knowledge.(a) After the pertinent date specified in paragraph (e), (f), or (g) of §240.201, each railroad, prior to initially certifying or recertifying any person as an engineer for any class of train or locomotive service, shall determine that the person has, in accordance with the requirements of §240.125 of this part, demonstrated sufficient knowledge of the railroad's rules and practices for the safe operation of trains. (b) In order to make the determination required by paragraph (a) a railroad shall have written documentation showing that the person either (i) Exhibited his or her knowledge by achieving a passing grade in testing that complies with this part or (ii) Did not achieve a passing grade in such testing. (c) If a person fails to achieve a passing score under the testing procedures required by this part no railroad shall permit or require that person to operate a locomotive as a locomotive or train service engineer prior to that person's achieving a passing score during a reexamination of his or her knowledge. § 240.211 Procedures for making the determination on performance skills.(a) After the pertinent date specified in paragraph (e), (f), or (g) of §240.201, each railroad, prior to initially certifying or recertifying any person as an engineer for any class of train or locomotive service, shall determine that the person has demonstrated, in accordance with the requirements of §240.127 of this part, the skills to safely operate locomotives or locomotives and trains, including the proper application of the railroad's rules and practices for the safe operation of locomotives or trains, in the most demanding class or type of service that the person will be permitted to perform. (b) In order to make this determination, a railroad shall have written documentation showing the person either (i) Exhibited his or her knowledge by achieving a passing grade in testing that complies with this part or (ii) Did not achieve a passing grade in such testing. (c) If a person fails to achieve a passing score under the testing and evaluation procedures required by this part, no railroad shall permit or require that person to operate a locomotive as a locomotive or train service engineer prior to that person's achieving a passing score during a reexamination of his or her performance skills. (d) No railroad shall permit a designated supervisor of locomotive engineers to test, examine or evaluate his or her own performance skills when complying with this section. § 240.213 Procedures for making the determination on completion of training program.(a) After the pertinent date specified in paragraph (e), (f), or (g) of §240.201, each railroad, prior to the initial issuance of a certificate to any person as a train or locomotive service engineer, shall determine that the person has, in accordance with the requirements of §240.123 of this part, the knowledge and skills to safely operate a locomotive or train in the most demanding class or type of service that the person will be permitted to perform. (b) In making this determination, a railroad shall have written documentation showing that: (1) The person completed a training program that complies with §240.123 of this part; (2) The person demonstrated his or her knowledge and skills by achieving a passing grade under the testing and evaluation procedures of that training program; and (3) A qualified Designated Supervisor of Locomotive Engineers has determined that the person is familiar with the physical characteristics of the railroad or its pertinent segments. [56 FR 28254, June 19, 1991, as amended at 64 FR 60992, Nov. 8, 1999] § 240.215 Retaining information supporting determinations.(a) After the pertinent date in paragraphs (e), (f) or (g) of §240.201, a railroad that issues, denies, or revokes a certificate after making the determinations required under §240.203 shall maintain a record for each certified engineer or applicant for certification that contains the information the railroad relied on in making the determinations. (b) The information concerning eligibility that the railroad shall retain includes: (1) Any relevant data from the railroad's records concerning the person's prior safety conduct; (2) Any relevant data furnished by another railroad; (3) Any relevant data furnished by a governmental agency concerning the person's motor vehicle driving record; and (4) Any relevant data furnished by the person seeking certification concerning his or her eligibility. (c) The information concerning vision and hearing acuity that the railroad shall retain includes: (1) The relevant test results data concerning acuity; and, (2) If applicable, the relevant data concerning the professional opinion of the railroad's medical examiner on the adequacy of the person's acuity. (d) The information concerning demonstrated knowledge that the railroad shall retain includes: (1) Any relevant data from the railroad's records concerning the person's success or failure of the passage of knowledge test(s); and (2) A sample copy of the written knowledge test or tests administered. (e) The information concerning demonstrated performance skills that the railroad shall retain includes: (1) The relevant data from the railroad's records concerning the person's success or failure on the performance skills test(s) that documents the relevant operating facts on which the evaluation is based including the observations and evaluation of the designated supervisor of locomotive engineers; (2) If a railroad relies on the use of a locomotive operations simulator to conduct the performance skills testing required under this part, the relevant data from the railroad's records concerning the person's success or failure on the performance skills test(s) that documents the relevant operating facts on which the determination was based including the observations and evaluation of the designated supervisor of locomotive engineers; and; (3) The relevant data from the railroad's records concerning the person's success or failure on tests the railroad performed to monitor the engineer's operating performance in accordance with §240.129. (f) If a railroad is relying on successful completion of an approved training program conducted by another entity, the relying railroad shall maintain a record for each certified engineer that contains the relevant data furnished by the training entity concerning the person's demonstration of knowledge and performance skills and relied on by the railroad in making its determinations. (g) If a railroad is relying on a certification decision initially made by another railroad, the relying railroad shall maintain a record for each certified engineer that contains the relevant data furnished by the other railroad which it relied on in making its determinations. (h) All records required under this section shall be retained for a period of six years from the date of the certification, recertification, denial or revocation decision and shall be made available to FRA representatives upon request during normal business hours. (i) It shall be unlawful for any railroad to knowingly or any individual to willfully: (1) Make, cause to be made, or participate in the making of a false entry on the record(s) required by this section; or (2) Otherwise falsify such records through material misstatement, omission, or mutilation. (j) Nothing in this section precludes a railroad from maintaining the information required to be retained under this section in an electronic format provided that: (1) The railroad adequately limits and controls those who have access to such information; (2) The railroad employs a system for data storage that permits reasonable access and retrieval of the information in usable format when requested to furnish data by FRA representatives; and (3) Information retrieved from the system can be easily produced in a printed format which can be readily provided to FRA representatives and authenticated by a designated representative of the railroad as a true and accurate copy of the railroad's records if requested to do so by FRA representatives. [56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993] § 240.217 Time limitations for making determinations.(a) After the pertinent date in paragraph (e), (f) or (g) of §240.201, a railroad shall not certify or recertify a person as a qualified locomotive engineer in any class of train or engine service, if the railroad is making: (1) A determination concerning eligibility and the eligibility data being relied on were furnished more than 366 days before the date of the railroad's certification decision; (2) A determination concerning visual and hearing acuity and the medical examination being relied on was conducted more than 366 days before the date of the railroad's recertification decision; (3) A determination concerning demonstrated knowledge and the knowledge examination being relied on was conducted more than 366 days before the date of the railroad's certification decision; or (4) A determination concerning demonstrated performance skills and the performance skill testing being relied on was conducted more than 366 days before the date of the railroad's certification decision; (b) The time limitations of paragraph (a) of this section do not apply to a railroad that is making a certification decision in reliance on determinations made by another railroad in accordance with paragraph (c)(2) of this section, §240.227, or §240.229. (c) Except as provided in §240.201 concerning implementation dates for initial certification decisions and paragraph (b) of this section, no railroad shall: (1) Certify a person as a qualified locomotive engineer for an interval of more than 36 months; or (2) Rely on a certification issued by another railroad that is more than 36 months old. (d) Except as provided for in §240.201 concerning initial implementation of the program, a railroad shall issue each person designated as a certified locomotive engineer a certificate that complies with §240.223 no later than 30 days from the date of its decision to certify or recertify that person. [56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993; 60 FR 53137, Oct. 12, 1995; 64 FR 60992, Nov. 8, 1999] § 240.219 Denial of certification.(a) A railroad shall notify a candidate for certification or recertification of information known to the railroad that forms the basis for denying the person certification and provide the person a reasonable opportunity to explain or rebut that adverse information in writing prior to denying certification. (b) This section does not require further opportunity to comment if the railroad's denial is based solely on factors addressed by §§240.115, 240.117, and 240.119 and the opportunity to comment afforded by those sections has been provided. (c) If it denies a person certification or recertification, a railroad shall notify the person of the adverse decision and explain, in writing, the basis for its denial decision. The document explaining the basis for the denial shall be mailed or delivered to the person within 10 days after the railroad's decision and shall give the date of the decision. § 240.221 Identification of qualified persons.(a) After November 1, 1991, a railroad shall maintain a written record identifying each person designated by it as a supervisor of locomotive engineers. (b) After November 1, 1991, a railroad shall maintain a written record identifying each person designated as a certified locomotive engineer. That listing of certified engineers shall indicate the class of service the railroad determines each person is qualified to perform and date of the railroad's certification decision. (c) If a railroad is responsible for controlling joint operations territory, the listing shall include person(s) certified in accordance with §240.229. (d) The listing required by paragraphs (a), (b), and (c) shall be updated at least annually. (e) The record required under this section shall be kept at the divisional or regional headquarters of the railroad and shall be available for inspection or copying by FRA during regular business hours. (f) A railroad may obtain approval from FRA to maintain this record electronically or maintain this record at the railroad's general offices, or both. Requests for such approval shall be filed in writing with the Associate Administrator for Safety and contain sufficient information to explain how FRA will be given access to the data that is fully equivalent to that created by compliance with paragraph (e). § 240.223 Criteria for the certificate.(a) As a minimum, each certificate issued in compliance with this part shall: (1) Identify the railroad or parent company that is issuing it; (2) Indicate that the railroad, acting in conformity with this part, has determined that the person to whom it is being issued has been determined to be qualified to operate a locomotive; (3) Identify the person to whom it is being issued (including the person's name, date of birth and employee identification number, and either a physical description or photograph of the person); (4) Identify any conditions or limitations, including the class of service or conditions to ameliorate vision or hearing acuity deficiencies, that restrict the person's operational authority; (5) Show the date of its issuance; (6) Be signed by a supervisor of locomotive engineers or other individual designated in accordance with paragraph (b) of this section; (7) Show the date of the person's last operational monitoring event as required by §240.129(c) and §240.303(b), unless that information is reflected on supplementary documents which the locomotive engineer has in his or her possession when operating a locomotive; and (8) Be of sufficiently small size to permit being carried in an ordinary pocket wallet. (b) Each railroad to which this part applies shall designate in writing any person, other than a supervisor of locomotive engineers, that it authorizes to sign the certificates described in this section. The designation can identify such persons by name or job title. (c) Nothing in paragraph (a) of this section shall prohibit any railroad from including additional information on the certificate or supplementing the certificate through other documents. (d) It shall be unlawful for any railroad to knowingly or any individual to willfully: (1) Make, cause to be made, or participate in the making of a false entry on that certificate; or (2) Otherwise falsify that certificate through material misstatement, omission, or mutilation. [56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993; 64 FR 60993, Nov. 8, 1999] § 240.225 Reliance on qualification determinations made by other railroads.(a) After December 31, 1991, a railroad that is considering certification of a person as a qualified engineer may rely on determinations made by another railroad concerning that person's qualifications. The railroad's certification program shall address how the railroad will administer the training of previously uncertified engineers with extensive operating experience or previously certified engineers who have had their certification expire. If a railroad's certification program fails to specify how to train a previously certified engineer hired from another railroad, then the railroad shall require the newly hired engineer to take the hiring railroad's entire training program. A railroad relying on another's certification shall determine that: (1) The prior certification is still valid in accordance with the provisions of §§240.201, 240.217, and 240.307; (2) The prior certification was for the same classification of locomotive or train service as the certification being issued under this section; (3) The person has received training on and visually observed the physical characteristics of the new territory in accordance with §240.123; (4) The person has demonstrated the necessary knowledge concerning the railroad's operating rules in accordance with §240.125; (5) The person has demonstrated the necessary performance skills concerning the railroad's operating rules in accordance with §240.127. (b) [Reserved] [64 FR 60993, Nov. 8, 1999] § 240.227 Reliance on qualification requirements of other countries.(a) A railroad that conducts joint operations with a Canadian railroad may certify, for the purposes of compliance with this part, that a person is qualified to be a locomotive or train service engineer provided it determines that: (1) The person is employed by the Canadian railroad; and (2) The person meets or exceeds the qualifications standards issued by Transport Canada for such service. (b) Any Canadian railroad that is required to comply with this regulation may certify that a person is qualified to be a locomotive or train service engineer provided it determines that: (1) The person is employed by the Canadian railroad; and (2) The person meets or exceeds the qualifications standards issued by Transport Canada for such service. § 240.229 Requirements for joint operations territory.(a) Except for minimal joint operations provided for in paragraph (f) of this section, no railroad that is responsible for controlling the conduct of joint operations with another railroad shall permit or require any person to operate a locomotive in any class of train or engine service unless that person has been certified as a qualified locomotive engineer for the purposes of joint operations and issued a certificate that complies with §240.223. (b) Each railroad that is responsible for controlling the conduct of joint operations with another railroad shall certify a person as a qualified locomotive engineer for the purposes of joint operations either by making the determinations required under subpart C of this part or by relying on the certification issued by another railroad under this part. (c) A railroad that controls joint operations may rely on the certification issued by another railroad under the following conditions: (1) The controlling railroad shall determine: (i) That the person has been certified as a qualified engineer under the provisions of this part by the railroad which employs that individual; (ii) That the person certified as a locomotive engineer by the other railroad has demonstrated the necessary knowledge concerning the controlling railroad's operating rules, if the rules are different; (iii) That the person certified as a locomotive engineer by the other railroad has the necessary operating skills concerning the joint operations territory; and (iv) That the person certified as a locomotive engineer by the other railroad has the necessary familiarity with the physical characteristics for the joint operations territory; and, (2) The railroad which employs the individual shall determine that the person called to operate on the controlling railroad is a certified engineer who is qualified to operate on that track segment; and (3) Each locomotive engineer who is called to operate on another railroad shall: (i) Be qualified on the segment of track upon which he or she will operate in accordance with the requirements set forth by the controlling railroad; and, (ii) Immediately notify the railroad upon which he or she is employed if he or she is not qualified to perform that service. (d) A railroad that controls joint operations and certifies locomotive engineers from a different railroad may comply with the requirements of paragraph (a) of this section by noting its supplemental certification decision on the original certificate as provided for in §240.223(c). (e) A railroad responsible for controlling the conduct of joint operations with another railroad shall be deemed to be in compliance with paragraph (a) of this section when it provides a qualified person to accompany a locomotive engineer who lacks joint operations certification during that engineer's operations in joint operations territory. As used in this section qualified person means either a designated supervisor of locomotive engineers or a certified train service engineer determined by the controlling railroad to have the necessary knowledge concerning the controlling railroad's operating rules and to have the necessary operating skills including familiarity with its physical characteristics concerning the joint operations territory. (f) A railroad that is responsible for controlling the conduct of joint operations with another railroad may permit a certified locomotive engineer to operate a locomotive in any class of train or engine service without determining that the person has been certified as a qualified locomotive engineer for the purposes of joint operations when a minimal joint operation is involved. For the purposes of this section a minimal joint operation exists when a locomotive or train belonging to one railroad is being operated on the same track on which operations are conducted by the railroad controlling operations, under the following conditions: (1) The maximum authorized speed for operations on the track does not exceed 20 miles per hour; (2) The track is other than a main track; (3) Operations are conducted under operating rules that require every locomotive and train to proceed at a speed that permits stopping within one half the range of vision of the locomotive engineer; and (4) The maximum distance for joint operations on the track does not exceed one mile. [56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993; 64 FR 60993, Nov. 8, 1999] § 240.231 Requirements for locomotive engineers unfamiliar with physical characteristics in other than joint operations.(a) Except as provided in paragraph (b) of this section, no locomotive engineer shall operate a locomotive over a territory unless he or she is qualified on the physical characteristics of the territory pursuant to the railroad's certification program. (b) Except as provided in paragraph (c) of this section, if a locomotive engineer lacks qualification on the physical characteristics required by paragraph (a) of this section, he or she shall be assisted by a pilot qualified over the territory pursuant to the railroad's certification program. (1) For a locomotive engineer who has never been qualified on the physical characteristics of the territory over which he or she is to operate a locomotive or train, the pilot shall be a person qualified and certified as a locomotive engineer who is not an assigned crew member. (2) For a locomotive engineer who was previously qualified on the physical characteristics of the territory over which he or she is to operate a locomotive or train, but whose qualification has expired, the pilot may be any person, who is not an assigned crew member, qualified on the physical characteristics of the territory. (c) Pilots are not required if the movement is on a section of track with an average grade of less than 1% over 3 continuous miles, and (1) The track is other than a main track; or (2) The maximum distance the locomotive or train will be operated does not exceed one mile; or (3) The maximum authorized speed for any operation on the track does not exceed 20 miles per hour; or (4) Operations are conducted under operating rules that require every locomotive and train to proceed at a speed that permits stopping within one half the range of vision of the locomotive engineer. [64 FR 60993, Nov. 8, 1999] Browse Previous | Browse Next
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