FRA Conductor cheat sheet
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Program and Eligibility Requirements
Certification is issued by the railroad under a program filed with FRA; a person may serve as a conductor only if certified or otherwise authorized under 49 CFR Part 242.
Eligibility baseline: the candidate must be at least 18, have acceptable prior safety conduct, meet vision and hearing acuity standards, complete required training, and pass the knowledge and skills examination.
Prior safety conduct review covers motor vehicle records, railroad operating-rule violations, and any revocation or suspension of a certificate; disqualifying records must be evaluated, not automatically ignored.
Vision standard: acuity of at least 20/40 in each eye with or without corrective lenses, field of vision at least 70 degrees in the horizontal meridian, and ability to distinguish the colors red, green, and yellow.
Hearing standard: ability to hear a forced whisper at 5 feet with or without a hearing aid, or equivalent audiometric threshold testing; failure requires review before certification.
Substance abuse: candidates are subject to Part 219 drug and alcohol testing; a violation or refusal creates a bar to certification until the return-to-duty process is completed.
Training must cover railroad operating rules, safety rules, territory familiarization, and the conductor's duties; the railroad determines curriculum and must document completion.
Knowledge testing must be written and cover the railroad's operating and safety rules; the railroad sets the passing score and records the result in the certification file.
Monitoring operational performance: the railroad must conduct periodic unannounced efficiency tests, rule-compliance observations, and ride-alongs, and must document the results for each certified conductor.
Administration of the Certification Program
A certificate is valid for a maximum of 3 years from the date of issuance; the railroad must recertify before expiration or the conductor may not continue to serve.
The railroad must retain the certification record for each conductor for at least 3 years after the certificate expires or is revoked, and longer if litigation or an FRA investigation is pending.
The certification record must include the eligibility determination, training records, knowledge-test results, vision and hearing results, and the operational-performance monitoring results.
Required certificate components: the person's name, the railroad's name, the effective date and expiration date, and the type of service the conductor is certified to perform.
A lost, stolen, or damaged certificate must be replaced by the issuing railroad; the replacement carries the original expiration date rather than a new 3-year term.
Multiple certifications: a conductor may hold certificates from more than one railroad, but each railroad must maintain its own certification record and conduct its own monitoring.
Railroad oversight: the railroad must designate a supervisor responsible for the program, audit its own records, and make them available to FRA on request.
FRA may review and disapprove a program that does not meet Part 242; the railroad must amend and resubmit the program within the time FRA allows.
Territorial Qualification and Joint Operations
A conductor must be qualified on the physical characteristics of each territory before operating over it, including signals, switches, crossings, grades, and special instructions.
Territorial qualification is documented by a ride-over, a written or oral examination, or both, and the record is retained with the certification file.
When a conductor has not operated over a territory for an extended period, the railroad must require a re-familiarization trip before the conductor works that territory again.
Joint operations: where two railroads operate over the same track, the dispatching railroad's rules govern train movements, but each railroad remains responsible for certifying and monitoring its own conductors.
A conductor qualified on one railroad's territory is not automatically qualified on an adjacent railroad's territory; separate qualification is required.
Territory qualification records must identify the specific subdivision or segment, the date qualified, and the method used to establish qualification.
Pilot or unfamiliar-territory movements require a qualified employee on the locomotive or leading unit when the crew is not qualified on the territory.
Denial and Revocation of Certification
A railroad must deny certification to a person who fails the knowledge test, fails the vision or hearing standard, or has a disqualifying prior safety conduct record that has not been resolved.
A railroad must revoke certification when the conductor refuses a drug or alcohol test, tests positive, or is convicted of certain operating-rule violations while on duty.
Revocation is also required when the conductor fails to complete required training or fails to demonstrate continued territorial qualification.
Before denying or revoking, the railroad must give the person written notice of the reason and an opportunity to respond; the decision must be documented in the record.
A revoked certificate may not be reinstated until the conductor completes the return-to-duty process required by Part 219 and any required retraining and reexamination.
When a certificate is revoked or denied, the railroad must notify FRA and record the action, the date, and the basis in the certification file.
A person whose certification is denied or revoked may challenge the railroad's decision through the Part 242 dispute-resolution process rather than through the railroad alone.
Dispute Resolution Procedures
A conductor may request review of a denial, revocation, or other adverse certification decision by filing a written petition with the railroad within the time the railroad's program specifies.
If the railroad denies the petition, the conductor may appeal to the FRA Administrator; the appeal must be in writing and state the grounds and the relief requested.
FRA may convene a review board to hear the appeal; the board's recommendation is advisory to the Administrator, who issues the final decision.
A hearing, when granted, must give the conductor notice of the issues, an opportunity to present evidence and witnesses, and a written decision.
The railroad bears the burden of showing that its action was supported by the record; the conductor may submit records, test results, and witness statements.
Appeals to FRA must be filed within the time limit stated in the program or FRA's notice; late filings may be dismissed unless good cause is shown.
A final FRA decision is subject to judicial review in the appropriate U.S. Court of Appeals under the statute governing the program.
General Provisions
Purpose: Part 242 establishes minimum federal standards for the certification of conductors to ensure they are qualified and safe to perform their duties.
Scope: the rule applies to railroads that operate in the United States, including commuter and intercity passenger railroads, and to persons who perform conductor duties.
Definitions: 'conductor' means a person who is responsible for the movement of a train or who performs the duties of a conductor; 'certificate' means the document issued by the railroad.
A railroad may request a waiver from any requirement of Part 242; FRA may grant it if the waiver provides an equivalent level of safety and does not conflict with statute.
Penalties: a violation of Part 242 may result in civil penalties assessed against the railroad or the individual, and willful violations may result in criminal penalties.
Records required by Part 242 must be made available to FRA representatives on request and must be kept accurate and current.
The rule does not relieve a railroad of any obligation under Part 219 (drug and alcohol) or Part 240 (locomotive engineers); those programs operate alongside conductor certification.
Program and Eligibility Requirements (continued)
The railroad's certification program must describe how it will determine eligibility, train, test, and monitor conductors, and must be filed with FRA before it takes effect.
A person may not perform conductor duties until the railroad has made a written eligibility determination and issued the certificate.
Prior safety conduct review must include a check of the person's motor vehicle record for the preceding 3 years and any railroad operating-rule violations.
Vision and hearing tests must be conducted by a qualified person and the results recorded; a conductor who fails must be removed from service until the standard is met.
Substance abuse records are confidential and may be disclosed only as Part 219 permits; the certification file should reference the return-to-duty status rather than the underlying test result.
Training must be completed before the knowledge test, and the railroad must retain a record of the training content and the date completed.
Knowledge testing must be conducted under conditions that prevent cheating, and a failed test may be retaken only after additional training.
Operational performance monitoring must be conducted at least once each calendar year for each certified conductor, with the results reviewed by a supervisor.
Administration of the Certification Program (continued)
The 3-year certificate term runs from the effective date on the certificate; a railroad may not extend it by amendment, only by recertification.
Recertification requires a new eligibility determination, a new knowledge test, current vision and hearing results, and a review of the monitoring record for the prior term.
If a conductor's certificate expires while the conductor is on duty, the conductor may complete the trip but may not begin another until recertified.
The railroad must maintain a roster of certified conductors and update it when a certificate is issued, replaced, revoked, or expires.
Certificate replacement requests must be logged, and the railroad must verify the identity of the requester before issuing a duplicate.
A conductor who holds certificates from multiple railroads must carry the certificate for the railroad on which the conductor is currently operating.
FRA may inspect the railroad's certification records without advance notice; the railroad must produce them within the time FRA allows.
The railroad must report to FRA any program change that affects eligibility, testing, or monitoring before the change takes effect.
Territorial Qualification and Joint Operations (continued)
Territory qualification must be renewed when the physical characteristics change materially, such as a new signal system or a relocated switch.
Joint operations require a written agreement between the railroads identifying which railroad's rules and which railroad's certification records govern each segment.
A conductor working a joint-operations segment must be qualified on both railroads' rules to the extent the agreement requires.
Territory qualification records must be available to FRA and to the other railroad in a joint operation on request.
A conductor who transfers to a new territory must complete qualification before working a train over that territory, even if the conductor is certified.
Territory familiarization may be conducted by ride-over, by simulator, or by written examination, but the method must be documented.
Denial and Revocation of Certification (continued)
A railroad must not certify a person whose prior safety conduct record shows a revocation that has not been resolved through the required process.
A conductor who is convicted of a felony involving a train or hazardous material must be reviewed for revocation.
Revocation must be recorded with the date, the reason, and the name of the railroad official who made the decision.
A conductor whose certificate is revoked must surrender the certificate to the railroad; the railroad must mark the record as revoked.
Reinstatement after revocation requires a new eligibility determination and a new certificate, not a reactivation of the old one.
The railroad must notify the conductor in writing of the right to appeal a denial or revocation to FRA.
Dispute Resolution Procedures (continued)
A petition for review must identify the decision being challenged, the date of the decision, and the specific relief sought.
The railroad must respond to a petition in writing within the time its program specifies, and the response becomes part of the record.
If the railroad fails to respond, the conductor may appeal directly to FRA on the ground that the railroad did not follow its own program.
A review board convened by FRA may include representatives of labor and management; the board hears evidence and issues a written recommendation.
The Administrator's decision on appeal is the final agency action and must be in writing with the reasons stated.
A conductor may be represented by counsel or a union representative at any stage of the dispute-resolution process.
General Provisions (continued)
A waiver granted under Part 242 is published in the Federal Register and may be conditioned or time-limited.
A railroad that operates under a waiver must still comply with all requirements not expressly waived.
Civil penalties for Part 242 violations are adjusted for inflation under the Federal Civil Penalties Inflation Adjustment Act.
A person who knowingly and willfully falsifies a certification record may be subject to criminal penalties under 49 U.S.C. 21311.
Part 242 does not preempt state laws that impose additional requirements, but a conflict with federal law is resolved in favor of federal law.
Definitions: 'designated supervisor' means the railroad official responsible for administering the certification program; 'FRA' means the Federal Railroad Administration.
Program and Eligibility Requirements (continued)
A candidate must provide a written consent for the railroad to obtain the candidate's motor vehicle and safety-conduct records.
A candidate who refuses to consent to the records check may not be certified.
The railroad must evaluate a candidate's prior safety conduct using the criteria in its FRA-approved program, not ad hoc judgment.
A candidate with a vision or hearing deficiency may be certified if the deficiency is correctable and the corrected standard is met.
The knowledge test must include questions on the railroad's operating rules, safety rules, and the conductor's specific duties.
The railroad must retain the candidate's test answers and the passing score for the certification record.
Monitoring results that show a pattern of rule violations must trigger retraining or a review of the conductor's certification.
Administration of the Certification Program (continued)
The railroad must keep a copy of each certificate on file and make it available to FRA on request.
A certificate must be carried by the conductor while on duty and produced for inspection by an FRA representative or a railroad official.
The railroad must have a written procedure for replacing a lost or destroyed certificate within a stated time.
A conductor who changes name or railroad must obtain a new certificate reflecting the change.
The railroad must audit its certification records at least annually to confirm that expired certificates are not in use.
FRA may require the railroad to submit a corrective action plan if the audit reveals program deficiencies.
Territorial Qualification and Joint Operations (continued)
A conductor must be qualified on the territory before acting as a conductor on that territory, not merely before the trip begins.
Joint operations agreements must identify the point where one railroad's territory ends and the other's begins.
A conductor qualified on a segment under one railroad's program must complete the other railroad's qualification before working that railroad's trains.
Territory qualification records must be retained for the same period as the certification record.
A conductor who has not worked a territory for 12 months must complete re-familiarization before working it again, unless the railroad's program sets a shorter period.
Denial and Revocation of Certification (continued)
A railroad must deny certification to a person who is currently subject to a revocation by another railroad that has not been resolved.
A conductor who fails a recertification knowledge test must be removed from service until the test is passed.
A conductor who fails the vision or hearing standard on recertification must be removed from service until the standard is met.
The railroad must give the conductor written notice of the denial or revocation within the time its program specifies.
A denial or revocation decision must be reviewed by a designated supervisor before it takes effect.
The conductor may request a hearing before the railroad's review board as the first step in the dispute process.
Dispute Resolution Procedures (continued)
A hearing must be held within the time the program specifies, and the conductor must receive notice of the date, time, and place.
The hearing record must include the evidence presented, the findings, and the decision.
The conductor may request that the hearing be transcribed, and the transcript becomes part of the record on appeal.
An appeal to FRA must be filed within 60 days of the railroad's final decision unless the program sets a different period.
FRA may remand a decision to the railroad for further proceedings if the record is incomplete.
A conductor who prevails on appeal must be reinstated and the certificate restored without loss of seniority.
General Provisions (continued)
A railroad must designate an official responsible for filing the certification program and any amendments with FRA.
A program amendment must be filed with FRA before it takes effect and must be accompanied by a description of the change.
FRA may disapprove a program amendment that does not meet Part 242.
A railroad must post notice of its certification program where employees can see it.
A railroad must train supervisors on the certification requirements and the monitoring procedures.
A violation of Part 242 by an individual may result in the individual's certification being denied or revoked.
Program and Eligibility Requirements (continued)
The eligibility determination must be made in writing and signed by the designated supervisor.
The railroad must verify the candidate's identity before issuing a certificate.
The railroad must confirm that the candidate has completed the required training hours before administering the knowledge test.
A candidate who fails the knowledge test may retake it after additional training, but the railroad must document the additional training.
A candidate who fails the vision or hearing test may be retested after correction of the deficiency.
A candidate with a disqualifying prior safety conduct record may be certified only if the railroad's program provides a process for resolving the record and the process is completed.
Administration of the Certification Program (continued)
The railroad must keep a log of all certificates issued, replaced, revoked, and expired during the year.
The railroad must reconcile the log with the roster of certified conductors at least annually.
The railroad must report to FRA any certificate that is revoked for a drug or alcohol violation.
The railroad must keep the certification record in a secure location and limit access to authorized personnel.
The railroad must provide a copy of the certification record to the conductor on request.
The railroad must retain the certification record for at least 3 years after the certificate expires or is revoked.
Territorial Qualification and Joint Operations (continued)
A conductor must be qualified on the territory's physical characteristics, including signals, switches, crossings, grades, and special instructions.
The railroad must document the method used to establish territory qualification for each conductor.
A conductor who has not worked a territory for the period set in the program must complete re-familiarization.
Joint operations agreements must be in writing and must be available to FRA on request.
A conductor working a joint-operations segment must be qualified on the rules of the railroad whose trains the conductor is working.
The railroad must notify the other railroad when a conductor's territory qualification lapses.
Denial and Revocation of Certification (continued)
A railroad must revoke a certificate when the conductor refuses a drug or alcohol test.
A railroad must revoke a certificate when the conductor tests positive for a prohibited drug or alcohol concentration.
A railroad must revoke a certificate when the conductor is convicted of an operating-rule violation that the program lists as disqualifying.
The railroad must record the basis for revocation in the certification file.
The railroad must notify the conductor in writing of the revocation and the right to appeal.
A revoked certificate may not be reinstated until the conductor completes the return-to-duty process and any required retraining.
Dispute Resolution Procedures (continued)
A petition for review must be filed with the railroad within the time the program specifies.
The railroad must respond to the petition in writing.
If the railroad denies the petition, the conductor may appeal to FRA.
FRA may convene a review board to hear the appeal.
The board's recommendation is advisory to the Administrator.
The Administrator's decision is the final agency action and must be in writing.
General Provisions (continued)
A waiver under Part 242 must be requested in writing and must describe the alternative means of compliance.
FRA may grant a waiver only if it provides an equivalent level of safety.
A waiver may be conditioned or time-limited.
A railroad operating under a waiver must still comply with all requirements not expressly waived.
Civil penalties for Part 242 violations are adjusted for inflation.
A person who knowingly falsifies a certification record may be subject to criminal penalties.
Program and Eligibility Requirements (continued)
The railroad must obtain the candidate's written consent to check motor vehicle and safety-conduct records.
A candidate who refuses consent may not be certified.
The railroad must evaluate prior safety conduct using the criteria in its FRA-approved program.
A correctable vision or hearing deficiency does not bar certification if the corrected standard is met.
The knowledge test must cover operating rules, safety rules, and the conductor's duties.
The railroad must retain the test answers and the passing score.
A pattern of rule violations in monitoring must trigger retraining or a certification review.
Administration of the Certification Program (continued)
The railroad must keep a copy of each certificate on file.
A conductor must carry the certificate while on duty.
The railroad must have a written procedure for replacing a lost or destroyed certificate.
A conductor who changes name or railroad must obtain a new certificate.
The railroad must audit its certification records at least annually.
FRA may require a corrective action plan if the audit reveals deficiencies.
Territorial Qualification and Joint Operations (continued)
A conductor must be qualified on the territory before acting as conductor on that territory.
Joint operations agreements must identify the boundary between the railroads' territories.
A conductor must complete the other railroad's qualification before working that railroad's trains.
Territory qualification records must be retained for the same period as the certification record.
A conductor who has not worked a territory for the period set in the program must complete re-familiarization.
Denial and Revocation of Certification (continued)
A railroad must deny certification to a person currently subject to an unresolved revocation by another railroad.
A conductor who fails a recertification knowledge test must be removed from service until the test is passed.
A conductor who fails the vision or hearing standard on recertification must be removed from service until the standard is met.
The railroad must give written notice of the denial or revocation within the time the program specifies.
A denial or revocation must be reviewed by a designated supervisor before it takes effect.
The conductor may request a hearing before the railroad's review board.
Dispute Resolution Procedures (continued)
A hearing must be held within the time the program specifies.
The conductor must receive notice of the date, time, and place of the hearing.
The hearing record must include the evidence, findings, and decision.
The conductor may request a transcript of the hearing.
An appeal to FRA must be filed within 60 days of the railroad's final decision unless the program sets a different period.
FRA may remand a decision to the railroad for further proceedings.
General Provisions (continued)
A railroad must designate an official responsible for filing the certification program with FRA.
A program amendment must be filed with FRA before it takes effect.
FRA may disapprove a program amendment that does not meet Part 242.
A railroad must post notice of its certification program where employees can see it.
A railroad must train supervisors on the certification requirements and monitoring procedures.
An individual's violation of Part 242 may result in denial or revocation of certification.
Program and Eligibility Requirements (continued)
The eligibility determination must be in writing and signed by the designated supervisor.
The railroad must verify the candidate's identity before issuing a certificate.
The railroad must confirm completion of required training hours before administering the knowledge test.
A candidate who fails the knowledge test may retake it after additional training, which must be documented.
A candidate who fails the vision or hearing test may be retested after correction of the deficiency.
A candidate with a disqualifying prior safety conduct record may be certified only if the program's resolution process is completed.
Administration of the Certification Program (continued)
The railroad must keep a log of all certificates issued, replaced, revoked, and expired during the year.
The railroad must reconcile the log with the roster of certified conductors at least annually.
The railroad must report to FRA any certificate revoked for a drug or alcohol violation.
The railroad must keep the certification record in a secure location with limited access.
The railroad must provide a copy of the certification record to the conductor on request.
The railroad must retain the certification record for at least 3 years after the certificate expires or is revoked.