Expired Certification, Recertification Class, and Dispatch Logs
An FRA inspector conducts a records audit at a terminal railroad. Dispatcher M. Alvarez's certification expired on March 31. On April 2 and April 3, Alvarez worked two 8-hour shifts alone at the desk because the relief dispatcher called in sick. The chief dispatcher explains that Alvarez was already in the recertification class and that his written test is scheduled for May 15. The railroad's program states that certifications are valid for three years and that recertification requires a written knowledge test and a performance evaluation. The records show Alvarez's last performance evaluation was completed four years ago. The only evidence of the April shifts is the computer dispatch log, which shows Alvarez's login. The railroad has no written certification record showing a current certification for Alvarez, and the training file contains a class roster but no test results. The inspector is considering a violation for permitting an uncertified dispatcher to perform safety-related duties.
1. What violations, if any, has the railroad committed? Explain.
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The railroad permitted Alvarez to perform safety-related dispatcher duties after his certification expired. Attendance in a recertification class is not certification; until the railroad completes the required written test and performance evaluation and issues a new certification, Alvarez is not certified. The railroad also failed to maintain a complete certification record showing the effective and expiration dates, test results, and performance evaluation. The performance evaluation was overdue even before expiration. The dispatch log alone is not an adequate certification record, although it is evidence that Alvarez worked the shifts. Each of these failures can support a violation: using an uncertified dispatcher, failing to recertify, and failing to keep required records. The fact that the relief dispatcher was sick does not excuse the violation; the railroad had to find another certified dispatcher or curtail operations.
2. What should the railroad have done when it learned Alvarez's certification had expired?
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The railroad should have removed Alvarez from safety-related service immediately. It could have assigned a certified dispatcher or supervisor to the desk, even if that required overtime or delaying operations. It should not have allowed Alvarez to work while waiting for the May test date. The railroad should have scheduled the written test and performance evaluation promptly, documented the lapse, and issued a new certification only after both were passed. If no certified dispatcher was available, the railroad should have reduced or suspended operations rather than use an uncertified employee. It should also have reviewed why the expiration was missed and assigned a responsible manager to track certification dates.
3. What records must be created or corrected, and what corrective action should the railroad take?
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The railroad should create a certification record for Alvarez showing the prior certification period, the lapse, the date he was removed from service, the dates of the written test and performance evaluation, the scores, and the effective date and expiration date of any new certification. It should correct the training file by adding the test results and performance evaluation. It should document the April shifts and the reason a certified dispatcher was not used. The railroad should then audit every dispatcher's certification and performance-evaluation dates, fix any other gaps, and adopt a tracking system with advance notices. It should retain the records and make them available to FRA. Depending on the circumstances, the railroad should also consider self-reporting the lapse to FRA and disciplining managers responsible for the oversight.