Certification Program Lacks Testing and Recertification Limits
A regional railroad with 60 dispatchers adopts a new dispatcher certification program and provides it to FRA during a program audit. The program provides: (1) candidates with 10 or more years of dispatching experience may be certified on the written recommendation of the chief dispatcher, without a written or performance test; (2) all other candidates must pass a 50-question written test and a 30-minute CAD simulation; (3) recertification occurs every five years by supervisor evaluation; (4) an employee who fails the written test may not retest for 12 months; and (5) the program does not describe a hearing for employees whose certification is denied. The railroad's vice president says the experienced-dispatcher exception is justified because experienced dispatchers have never caused a serious error. FRA's reviewer must identify deficiencies and direct corrections before the program is implemented.
1. Identify the deficiencies in the proposed program under Part 243 and explain why each matters.
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The experienced-dispatcher exception is the most serious deficiency. Part 243 requires a certification program to include a written knowledge test and a performance test for candidates. Experience may inform training or evaluation, but it cannot replace the tests. The five-year recertification period also exceeds the maximum certification period allowed under Part 243, which is three years. The recertification method is deficient because supervisor evaluation alone does not establish current knowledge and performance; recertification must include appropriate testing. The missing hearing procedure is a denial-and-revocation defect: an employee whose certification is denied must receive a hearing consistent with Part 243 Subpart D. The 12-month retest bar is not automatically unlawful, but it must be consistent with the program's remediation and appeal procedures. Finally, the program must provide for records of tests, certifications, and training.
2. May the railroad use experience as a substitute for the written knowledge test? What role can experience play?
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No. Experience is relevant to qualification, but it is not a substitute for the written knowledge test or the performance test. Part 243 requires the railroad to determine that a dispatcher has the knowledge and skills needed for the position, and the regulation prescribes testing as part of that determination. The railroad can use experience to shorten classroom training, to design scenario-based performance tests, to set a higher starting level for experienced hires, and to evaluate judgment during simulation. It can also require experienced candidates to demonstrate unfamiliar local rules or CAD functions. But every candidate must still pass the required written and performance tests. The program should say so explicitly and should keep test records for each candidate.
3. Draft the corrective program provisions the railroad should adopt.
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The corrected program should state that all candidates, regardless of experience, must complete the railroad's dispatcher training and pass a written knowledge test and a performance test. The written test should have a defined passing score and coverage of applicable rules, territory, and dispatch procedures. The performance test should use realistic CAD scenarios and be scored by a qualified evaluator. Certification should be valid for no more than three years. Recertification should include a written test and a performance evaluation, not merely a supervisor's review. The program should include a hearing procedure for denial and revocation with notice, representation, evidence, an impartial hearing officer, a written decision, and an appeal. It should also require retention of certification, training, and test records and make them available to FRA.