Appendix B to Part 242 - Procedures for Submission and Approval of Conductor Certification Programs
49:4.1.1.1.36.8.137.1.104 : Appendix B
Appendix B to Part 242 - Procedures for Submission and Approval of
Conductor Certification Programs
This appendix establishes procedures for the submission and
approval of a railroad's program concerning the training, testing,
and evaluating of persons seeking certification or recertification
as a conductor in accordance with the requirements of this part. It
also contains guidance on how FRA will exercise its review and
approval responsibilities.
Submission by a Railroad
As provided for in § 242.101, each railroad must have a program
for determining the certification of each person it permits or
requires to perform as a conductor or as a passenger conductor.
Each railroad must submit its individual program to FRA for
approval as provided for in § 242.103. Each program must be
accompanied by a request for approval organized in accordance with
this appendix. Requests for approval must contain appropriate
references to the relevant portion of the program being discussed.
Requests should be submitted in writing on standard sized paper (8
1/2 × 11) and can be in letter or narrative format. The railroad's
submission shall be sent to the Associate Administrator for
Railroad Safety/Chief Safety Officer, FRA. The mailing address for
FRA is 1200 New Jersey Avenue SE., Washington, DC 20590.
Simultaneous with its filing with the FRA, each railroad must serve
a copy of its submission on the president of each labor
organization that represents the railroad's employees subject to
this part.
Each railroad is authorized to file by electronic means any
program submissions required under this part. Prior to any person
submitting a railroad's first program submission electronically,
the person shall provide the Associate Administrator with the
following information in writing:
(1) The name of the railroad;
(2) The names of two individuals, including job titles, who will
be the railroad's points of contact and will be the only
individuals allowed access to FRA's secure document submission
site;
(3) The mailing addresses for the railroad's points of
contact;
(4) The railroad's system or main headquarters address located
in the United States;
(5) The email addresses for the railroad's points of contact;
and
(6) The daytime telephone numbers for the railroad's points of
contact.
A request for electronic submission or FRA review of written
materials shall be addressed to the Associate Administrator for
Railroad Safety/Chief Safety Officer, Federal Railroad
Administration, 1200 New Jersey Avenue SE., Washington, DC 20590.
Upon receipt of a request for electronic submission that contains
the information listed above, FRA will then contact the requestor
with instructions for electronically submitting its program.
A railroad that electronically submits an initial program or new
portions or revisions to an approved program required by this part
shall be considered to have provided its consent to receive
approval or disapproval notices from FRA by email. FRA may
electronically store any materials required by this part regardless
of whether the railroad that submits the materials does so by
delivering the written materials to the Associate Administrator and
opts not to submit the materials electronically. A railroad that
opts not to submit the materials required by this part
electronically, but provides one or more email addresses in its
submission, shall be considered to have provided its consent to
receive approval or disapproval notices from FRA by email or
mail.
Organization of the Submission
Each request should be organized to present the required
information in the following standardized manner. Each section must
begin by giving the name, title, telephone number, and mailing
address of the person to be contacted concerning the matters
addressed by that section. If a person is identified in a prior
section, it is sufficient to merely repeat the person's name in a
subsequent section.
Section 1 of the Submission: General Information and Elections
The first section of the request must contain the name of the
railroad, the person to be contacted concerning the request
(including the person's name, title, telephone number, and mailing
address) and a statement electing either to accept responsibility
for educating previously untrained persons to be certified
conductors or recertify only conductors previously certified by
other railroads. See § 242.103(b).
If a railroad elects not to provide initial conductor training,
the railroad is obligated to state so in its submission. A railroad
that makes this election will be limited to recertifying persons
initially certified by another railroad. A railroad that makes this
election can rescind it by obtaining FRA approval of a modification
of its program. See § 242.103(f).
If a railroad elects to accept responsibility for training
persons not previously trained to be conductors, the railroad is
obligated to submit information on how such persons will be trained
but has no duty to actually conduct such training. A railroad that
elects to accept the responsibility for the training of such
persons may authorize another railroad or a non-railroad entity to
perform the actual training effort. The electing railroad remains
responsible for assuring that such other training providers adhere
to the training program the railroad submits. This section must
also state which types of service the railroad will employ.
See § 242.107.
Section 2 of the Submission: Training Persons Previously Certified
The second section of the request must contain information
concerning the railroad's program for training previously certified
conductors. As provided for in § 242.119(l) each railroad must have
a program for the ongoing education of its conductors to assure
that they maintain the necessary knowledge concerning operating
rules and practices, familiarity with physical characteristics, and
relevant Federal safety rules.
Section 242.119(l) provides a railroad latitude to select the
specific subject matter to be covered, duration of the training,
method of presenting the information, and the frequency with which
the training will be provided. The railroad must describe in this
section how it will use that latitude to assure that its conductors
remain knowledgeable concerning the safe discharge of their
responsibilities so as to comply with the performance standard set
forth in § 242.119(l). This section must contain sufficient detail
to permit effective evaluation of the railroad's training program
in terms of the subject matter covered, the frequency and duration
of the training sessions, the training environment employed (for
example, use of classroom, use of computer based training, use of
film or slide presentations, and use of on-job-training) and which
aspects of the program are voluntary or mandatory.
Time and circumstances have the capacity to diminish both
abstract knowledge and the proper application of that knowledge to
discrete events. Time and circumstances also have the capacity to
alter the value of previously obtained knowledge and the
application of that knowledge. In formulating how it will use the
discretion being afforded, each railroad must design its program to
address both loss of retention of knowledge and changed
circumstances, and this section of the submission to FRA must
address these matters.
For example, conductors need to have their fundamental knowledge
of operating rules and procedures refreshed periodically. Each
railroad needs to advise FRA how that need is satisfied in terms of
the interval between attendance at such training, the nature of the
training being provided, and methods for conducting the training. A
matter of particular concern to FRA is how each railroad acts to
ensure that conductors remain knowledgeable about the territory
over which a conductor is authorized to perform but from which the
conductor has been absent. The railroad must have a plan for the
familiarization training that addresses the question of how long a
person can be absent before needing more education and, once that
threshold is reached, how the person will acquire the needed
education. Similarly, the program must address how the railroad
responds to changes such as the introduction of new technology, new
operating rule books, or significant changes in operations
including alteration in the territory conductors are authorized to
work over.
In addition to stating how long a conductor must be absent from
a territory before their qualification on the physical
characteristics of the territory expires, railroads must also state
in their programs 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 § 242.301(c). Since territories differ in
their complexity, railroads will be given discretion to determine
how many times a conductor must pass over a territory to be
considered to have “regularly traversed” a territory.
Section 3 of the Submission: Testing and Evaluating Persons
Previously Certified
The third section of the request must contain information
concerning the railroad's program for testing and evaluating
previously certified conductors. As provided for in § 242.121, each
railroad must have a program for the ongoing testing and evaluating
of its conductors to assure that they have the necessary knowledge
and skills concerning operating rules and practices, familiarity
with physical characteristics of the territory, and relevant
Federal safety rules. Similarly, each railroad must have a program
for ongoing testing and evaluating to assure that its conductors
have the necessary vision and hearing acuity as provided for in §
242.117.
Section 242.121 requires that a railroad rely on written
procedures for determining that each person can demonstrate his or
her knowledge of the railroad's rules and practices and skill at
applying those rules and practices for the safe performance as a
conductor. Section 242.121 directs that, when seeking a
demonstration of the person's knowledge, a railroad must employ a
written test that contains objective questions and answers and
covers the following subject matters: (i) Safety and operating
rules; (ii) timetable instructions; (iii) physical characteristics
of the territory; and (iv) compliance with all applicable Federal
regulations. The test must accurately measure the person's
knowledge of all of these areas.
Section 242.121 provides a railroad latitude in selecting the
design of its own testing policies (including the number of
questions each test will contain, how each required subject matter
will be covered, weighting (if any) to be given to particular
subject matter responses, selection of passing scores, and the
manner of presenting the test information). The railroad must
describe in this section how it will use that latitude to assure
that its conductors will demonstrate their knowledge concerning the
safe discharge of their responsibilities so as to comply with the
performance standard set forth in § 242.121.
Section 242.117 provides a railroad latitude to rely on the
professional medical opinion of the railroad's medical examiner
concerning the ability of a person with substandard acuity to
safely perform as a conductor. The railroad must describe in this
section how it will assure that its medical examiner has sufficient
information concerning the railroad's operations to effectively
form appropriate conclusions about the ability of a particular
individual to safely perform as a conductor.
Section 4 of the Submission: Training, Testing, and Evaluating
Persons Not Previously Certified
Unless a railroad has made an election not to accept
responsibility for conducting the initial training of persons to be
conductors, the fourth section of the request must contain
information concerning the railroad's program for educating,
testing, and evaluating persons not previously trained as
conductors. As provided for in § 242.119(d), a railroad that is
issuing an initial certification to a person to be a conductor must
have a program for the training, testing, and evaluating of its
conductors to assure that they acquire the necessary knowledge and
skills concerning operating rules and practices, familiarity with
physical characteristics of the territory, and relevant Federal
safety rules.
Section 242.119 establishes a performance standard and gives a
railroad latitude in selecting how it will meet that standard. A
railroad must describe in this section how it will use that
latitude to assure that its conductors will acquire sufficient
knowledge and skill and demonstrate their knowledge and skills
concerning the safe discharge of their responsibilities. This
section must contain the same level of detail concerning initial
training programs as that described for each of the components of
the overall program contained in sections 2 through 4 of this
Appendix. A railroad that plans to accept responsibility for the
initial training of conductors may authorize another railroad or a
non-railroad entity to perform the actual training effort. The
authorizing railroad may submit a training program developed by
that authorized trainer but the authorizing railroad remains
responsible for assuring that such other training providers adhere
to the training program submitted. Railroads that elect to rely on
other entities, to conduct training away from the railroad's own
territory, must indicate how the student will be provided with the
required familiarization with the physical characteristics for its
territory.
Section 5 of the Submission: Monitoring Operational Performance by
Certified Conductors
The fifth section of the request must contain information
concerning the railroad's program for monitoring the operation of
its certified conductors. As provided for in § 242.123, each
railroad must have a program for the ongoing monitoring of its
conductors to assure that they perform in conformity with the
railroad's operating rules and practices and relevant Federal
safety rules.
Section 6 of the Submission: Procedures for Routine Administration
of the Conductor Certification Program
The final section of the request must contain a summary of how
the railroad's program and procedures will implement the various
specific aspects of the regulatory provisions that relate to
routine administration of its certification program for conductors.
At a minimum this section needs to address the procedural aspects
of the rule's provisions identified in the following paragraph.
Section 242.109 provides that each railroad must have procedures
for review and comment on adverse prior safety conduct, but allows
the railroad to devise its own system within generalized
parameters. Sections 242.111, 242.115 and 242.403 require a
railroad to have procedures for evaluating data concerning prior
safety conduct as a motor vehicle operator and as railroad workers,
yet leave selection of many details to the railroad. Sections
242.109, 242.201, and 242.401 place a duty on the railroad to make
a series of determinations but allow the railroad to select what
procedures it will employ to assure that all of the necessary
determinations have been made in a timely fashion; who will be
authorized to conclude that person will or will be not certified;
and how it will communicate adverse decisions. Documentation of the
factual basis the railroad relied on in making determinations under
§§ 242.109, 242.117, 242.119 and 242.121 is required, but these
sections permit the railroad to select the procedures it will
employ to accomplish compliance with these provisions. Sections
242.125 and 242.127 permit reliance on certification/qualification
determinations made by other entities and permit a railroad
latitude in selecting the procedures it will employ to assure
compliance with these provisions. Similarly, § 242.301 permits the
use of railroad selected procedures to meet the requirements for
certification of conductors performing service in joint operations
territory. Sections 242.211 and 242.407 allow a railroad a certain
degree of discretion in complying with the requirements for
replacing lost certificates or the conduct of certification
revocation proceedings.
This section of the request should outline in summary fashion
the manner in which the railroad will implement its program so as
to comply with the specific aspects of each of the rule's
provisions described in the preceding paragraph.
FRA Review
The submissions made in conformity with this appendix will be
deemed approved within 30 days after the required filing date or
the actual filing date whichever is later. No formal approval
document will be issued by FRA. FRA has taken the responsibility
for notifying a railroad when it detects problems with the
railroad's program. FRA retains the right to disapprove a program
that has obtained approval due to the passage of time as provided
for in section § 242.103.
Rather than establish rigid requirements for each element of the
program, FRA has given railroads discretion to select the design of
their individual programs within a specified context for each
element. The rule, however, provides a good guide to the
considerations that should be addressed in designing a program that
will meet the performance standards of this rule.
In reviewing program submissions, FRA will focus on the degree
to which a particular program deviates from the norms identified in
its rule. To the degree that a particular program submission
materially deviates from the norms set out in its rule, FRA's
review and approval process will be focused on determining the
validity of the reasoning relied on by a railroad for selecting its
alternative approach and the degree to which the alternative
approach is likely to be effective in producing conductors who have
the knowledge and ability to safely perform as conductors.
[76 FR 69841, Nov. 9, 2011, as amended at 77 FR 6491, Feb. 8, 2012]