cfr_sections
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39 rows where part_number = 246 and title_number = 49 sorted by section_id
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 49:49:4.1.1.1.40.1.137.1 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | A | Subpart A—General | § 246.1 Purpose and scope. | FRA | (a) The purpose of this part is to ensure that only those persons who meet minimum Federal safety standards serve as certified signal employees, to reduce the rate and number of accidents and incidents, and to improve railroad safety. (b) This part prescribes minimum Federal safety standards for the eligibility, training, testing, certification and monitoring of all signal employees to whom it applies. This part does not restrict a railroad from adopting and enforcing additional or more stringent requirements consistent with this part. (c) The signal employee certification requirements prescribed in this part apply to any person who meets the definition of signal employee contained in § 246.7, regardless of the fact that the person may have a job classification title other than that of signal employee. | |||||
| 49:49:4.1.1.1.40.1.137.2 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | A | Subpart A—General | § 246.3 Application and responsibility for compliance. | FRA | (a) This part applies to all railroads, except: (1) Railroads that do not have a signal system as defined in § 246.7; (2) Railroads that operate only on track inside an installation that is not part of the general railroad system of transportation ( i.e., plant railroads, as defined in § 246.7); (3) Tourist, scenic, historic, or excursion operations that are not part of the general railroad system of transportation as defined in § 246.7; or (4) Rapid transit operations in an urban area that are not connected to the general railroad system of transportation. (b) Although the duties imposed by this part are generally stated in terms of the duty of a railroad, each person, as defined in § 246.7, who performs any function required by this part must perform that function in accordance with this part. | |||||
| 49:49:4.1.1.1.40.1.137.3 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | A | Subpart A—General | § 246.5 Effect and construction. | FRA | (a) FRA does not intend, by use of the term signal employee in this part, to alter the terms, conditions, or interpretation of existing collective bargaining agreements that employ other job classification titles when identifying a person who is engaged in installing, troubleshooting, testing, repair, or maintenance of railroad signal systems and signal-related technology. (b) FRA does not intend by issuance of these regulations to alter the authority of a railroad to initiate disciplinary sanctions against its employees, including managers and supervisors, in the normal and customary manner, including those contained in its collective bargaining agreements. (c) Except as provided in § 246.213, nothing in this part shall be construed to create or prohibit an eligibility or entitlement to employment in other service for the railroad as a result of denial, suspension, or revocation of certification under this part. (d) Nothing in this part shall be deemed to abridge any additional procedural rights or remedies not inconsistent with this part that are available to the employee under a collective bargaining agreement, the Railway Labor Act, or (with respect to employment at will) at common law with respect to removal from service or other adverse action taken as a consequence of this part. | |||||
| 49:49:4.1.1.1.40.1.137.4 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | A | Subpart A—General | § 246.7 Definitions. | FRA | [89 FR 44873, May 21, 2024, as amended at 90 FR 28128, July 1, 2025] | As used in this part: Administrator means the Administrator of the FRA or the Administrator's delegate. Alcohol means ethyl alcohol (ethanol) and includes use or possession of any beverage, mixture, or preparation containing ethyl alcohol. Contractor means a person under contract with a railroad, including but not limited to, a prime contractor or a subcontractor. Controlled substance has the meaning assigned by 21 U.S.C. 802 and includes all substances listed on Schedules I through V as they may be revised from time to time (21 CFR parts 1301 through 1316). Disable means to render a device or system incapable of proper and effective action or to materially impair the functioning of that device or system. Drug means any substance (other than alcohol) that has known mind or function-altering effects on a human subject, specifically including any psychoactive substance and including, but not limited to, controlled substances. Drug and alcohol counselor (DAC) means a person who meets the credentialing and qualification requirements of a “Substance Abuse Professional” (SAP), as provided in 49 CFR part 40. File, filed, and filing mean submission of a document under this part on the date when the Docket Clerk receives it, or if sent by mail, the date mailing was completed. FRA means the Federal Railroad Administration. FRA representative means the FRA Associate Administrator for Railroad Safety/Chief Safety Officer and the Associate Administrator's delegate, including any safety inspector employed by the Federal Railroad Administration and any qualified State railroad safety inspector acting under part 212 of this chapter. Ineligible or ineligibility means that a person is legally disqualified from serving as a certified signal employee. The term covers a number of circumstances in which a person may not serve as a certified signal employee. Revocation of certification pursuant to § 246.307 and denial of certification pursuant to § 246.301 are two examples in which a person would be ineligible… | ||||
| 49:49:4.1.1.1.40.1.137.5 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | A | Subpart A—General | § 246.9 Waivers. | FRA | (a) A person subject to a requirement of this part may petition FRA for a waiver of compliance with such requirement. The filing of such a petition does not affect that person's responsibility for compliance with that requirement while the petition is being considered. (b) Each petition for a waiver under this section must be filed in the manner and contain the information required by part 211 of this chapter. (c) If FRA finds that a waiver of compliance is in the public interest and is consistent with railroad safety, FRA may grant the waiver subject to any conditions FRA deems necessary. | |||||
| 49:49:4.1.1.1.40.1.137.6 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | A | Subpart A—General | § 246.11 Penalties and consequences for noncompliance. | FRA | (a) Any person, as defined in § 246.7, who violates any requirement of this part or causes the violation of any such requirement is subject to a civil penalty of at least the minimum civil monetary penalty and not more than the ordinary maximum civil monetary penalty per violation. However, penalties may be assessed against individuals only for willful violations, and a penalty not to exceed the aggravated maximum civil monetary penalty per violation may be assessed, where: (1) A grossly negligent violation, or a pattern of repeated violations, has created an imminent hazard of death or injury to persons, or (2) A death or injury has occurred. See 49 CFR part 209, appendix A. (b) Each day a violation continues constitutes a separate offense. (c) A person who violates any requirement of this part or causes the violation of any such requirement may be subject to disqualification from all safety-sensitive service in accordance with part 209 of this chapter. (d) A person who knowingly and willfully falsifies a record or report required by this part may be subject to criminal penalties under 49 U.S.C. 21311. (e) In addition to the enforcement methods referred to in paragraphs (a) through (d) of this section, FRA may address violations of this part by use of the emergency order, compliance order, and/or injunctive provisions of the Federal rail safety laws. (f) FRA's website at https://railroads.dot.gov/ contains a schedule of civil penalty amounts used in connection with this part. | |||||
| 49:49:4.1.1.1.40.2.137.1 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.101 Certification program required. | FRA | (a) Each railroad subject to this part shall have a written signal employee certification program. (b) Each certification program shall include all of the following: (1) If applicable, an explanation and discussion of the occupational categories and subcategories of certified signal service that comply with the requirements in § 246.107; (2) A procedure for evaluating prior safety conduct as a motor vehicle operator that complies with the criteria established in § 246.111; (3) A procedure for evaluating prior safety conduct as an employee or certified signal employee with other railroads that complies with the criteria established in § 246.113; (4) A procedure for evaluating potential substance abuse disorders and compliance with railroad alcohol and drug rules that complies with the criteria established in § 246.115; (5) A procedure for evaluating visual and hearing acuity that complies with the criteria established in §§ 246.117 and 246.118; (6) A procedure for training that complies with the criteria established in § 246.119; (7) A procedure for qualifying persons on its signal system and signal-related technology that complies with the criteria established in § 246.120; (8) A procedure for knowledge testing that complies with the criteria established in § 246.121; (9) A procedure for monitoring operational performance that complies with the criteria established in § 246.123; and (10) A procedure for mentoring uncertified signal employees that complies with the criteria established in § 246.124. (c) Each certification program shall be version controlled. Any change from the previous FRA-approved version of the certification program must be tracked. | |||||
| 49:49:4.1.1.1.40.2.137.10 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.117 Visual acuity. | FRA | (a) After FRA has approved a railroad's signal employee certification program, the railroad shall determine, prior to issuing any person a signal employee certificate, that the person meets the standards for visual acuity prescribed in this section and appendix B to this part. (b) Any examination required under this section shall be performed by or under the supervision of a medical examiner or a licensed physician's assistant. (c) Except as provided in paragraph (d) of this section, each certified signal employee shall have visual acuity that meets or exceeds the following thresholds: (1) For distant viewing, either: (i) Distant visual acuity of at least 20/40 (Snellen) in each eye without corrective lenses; or (ii) Distant visual acuity separately corrected to at least 20/40 (Snellen) with corrective lenses and distant binocular acuity of at least 20/40 (Snellen) in both eyes with or without corrective lenses; (2) A field of vision of at least 70 degrees in the horizontal meridian in each eye; and (3) The ability to recognize and distinguish between the colors of railroad signals as demonstrated by successfully completing one of the tests in appendix B to this part. (d) A person not meeting the thresholds in paragraph (c) of this section shall, upon request of the certification candidate, be subject to further medical evaluation by a railroad's medical examiner to determine that person's ability to safely perform as a certified signal employee. In such cases, the following procedures will apply: (1) In accordance with the guidance prescribed in appendix B to this part, a person is entitled to: (i) One retest without making any showing; and (ii) An additional retest if the person provides evidence that circumstances have changed since the last test to the extent that the person may now be able to safely perform as a certified signal employee. (2) The railroad shall provide its medical examiner with a copy of this part, including all appendices. (3) If, after consultation with a railroad officer, the… | |||||
| 49:49:4.1.1.1.40.2.137.11 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.118 Hearing acuity. | FRA | (a) After FRA has approved a railroad's signal employee certification program, the railroad shall determine, prior to issuing any person a signal employee certificate, that the person meets the standards for hearing acuity prescribed in this section and appendix B to this part. (b) Any examination required under this section shall be performed by or under the supervision of a medical examiner or a licensed physician's assistant. (c) Except as provided in paragraph (d) of this section, each certified signal employee shall have hearing acuity that meets or exceeds the following thresholds with or without use of a hearing aid: The person does not have an average hearing loss in the better ear greater than 40 decibels at 500 hertz (Hz), 1,000 Hz, and 2,000 Hz. The hearing test or audiogram used to show a person's hearing acuity shall meet the requirements of one of the following: (1) As required in 29 CFR 1910.95(h) (Occupational Safety and Health Administration); (2) As required in § 227.111 of this chapter; or (3) Conducted using an audiometer that meets the specifications of, and is maintained and used in accordance with, a formal industry standard such as American National Standards Institute (ANSI) S3.6, “Specifications for Audiometers.” (d) A person not meeting the thresholds in paragraph (c) of this section shall, upon request of the certification candidate, be subject to further medical evaluation by a railroad's medical examiner to determine that person's ability to safely perform as a certified signal employee. In such cases, the following procedures will apply: (1) In accordance with the guidance prescribed in appendix B to this part, a person is entitled to: (i) One retest without making any showing; and (ii) An additional retest if the person provides evidence that circumstances have changed since the last test to the extent that the person may now be able to safely perform as a certified signal employee. (2) The railroad shall provide its medical examiner with a copy of this part, including al… | |||||
| 49:49:4.1.1.1.40.2.137.12 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.119 Training requirements. | FRA | (a) After FRA has approved a railroad or parent company's certification program, the railroad or parent company shall determine, prior to issuing any person a signal employee certificate, that the person has successfully completed training, in accordance with the requirements of this section. (b) A railroad or parent company that elects to accept responsibility to provide initial signal employee training to persons who have not been previously certified as signal employees shall state in its certification program whether it will conduct the training or authorize another railroad or non-railroad entity to provide the training. (c) A railroad or parent company that elects to accept responsibility to provide initial signal employee training to persons not previously certified as signal employees shall submit a training program which, at a minimum, includes the following: (1) An explanation of how training will be structured, developed, and delivered, including an appropriate combination of classroom, simulator, computer-based, correspondence, practical demonstration, on-the-job training, or other formal training. The curriculum shall be designed to impart knowledge of, and ability to comply with, applicable Federal railroad safety laws, regulations, and orders, as well as any relevant railroad rules and procedures promulgated to implement those Federal railroad safety laws, regulations, and orders. The training shall document a person's knowledge of, and ability to comply with, Federal railroad safety laws, regulations, and orders, as well as railroad rules and procedures. (2) An on-the-job training component which shall include the following: (i) A syllabus describing content, required tasks, and related steps the person learning the job shall be able to perform within a specified timeframe. If the railroad or parent company has elected to classify its certified signal employees into more than one occupational category or subcategory, this syllabus shall include all safety-related tasks and subtasks performed … | |||||
| 49:49:4.1.1.1.40.2.137.13 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.120 Requirements for qualification. | FRA | (a) After FRA has approved a railroad's certification program, a railroad shall not permit or require a person to serve as a signal employee, as defined in § 246.7, unless that railroad determines that: (1) The person is a certified signal employee; and (2) The person either: (i) Is qualified, as defined in § 246.7, on the signal system equipment and signal-related technology (whether existing or new) and therefore may reasonably be expected to be proficient on all safety related tasks the person is assigned to perform; or (ii) Is working under the direct and immediate supervision of a mentor or qualified instructor. (b) If a person is called to perform work on signal system equipment or signal-related technology that they are not qualified on, the person must immediately notify the railroad that they are not qualified on the signal system equipment or signal-related technology. (c) A person shall no longer be considered qualified on signal system equipment or signal-related technology if they have not performed work that requires certification pursuant to this part on signal system equipment or signal-related technology in the previous 12 months. (d) Each railroad shall adopt and comply with a program meeting the requirements of this section. When any person (including but not limited to a railroad; any manager, supervisor, official, or agent of a railroad; any owner, manufacturer, lessor, or lessee of railroad equipment, track, or facilities; any employee of such owner, manufacturer, lessor, lessee, or independent contractor or subcontractor) violates any requirement of a program which complies with the requirements of this section, that person shall be considered to have violated the requirements of this section. | |||||
| 49:49:4.1.1.1.40.2.137.14 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.121 Knowledge testing. | FRA | (a) After FRA has approved a railroad's signal employee certification program, the railroad shall determine, prior to issuing any person a signal employee certificate and in accordance with the requirements of this section, that the person has demonstrated sufficient knowledge of the railroad's signal standards, test procedures, and instructions for the installation, operation, testing, maintenance, troubleshooting, and repair of the railroad's signal system equipment and signal-related technology. (b) To make the knowledge determination required by paragraph (a) of this section, a railroad shall have procedures for testing a person being evaluated for certification as a signal employee that: (1) Are designed to examine a person's knowledge of: (i) All applicable Federal railroad safety laws, regulations, and orders governing signal systems and signal-related technology; (ii) All applicable railroad safety and operating rules; and (iii) All applicable railroad standards, procedures, and instructions for the installation, operation, testing, maintenance, troubleshooting, and repair of the railroad's signal systems and signal-related technology, including: (A) The railroad's rules and standards for disabling and removing signal systems from service; and (B) The railroad's rules and standards for placing signal systems back in service; (2) Are objective in nature; (3) Include a practical demonstration component; (4) Are in written or electronic form; (5) Are sufficient to accurately measure the person's knowledge of the subjects listed in paragraph (b)(1) of this section; and (6) Allow for testing conducted with reference to books and other written materials, as addressed in the railroad's certification program. (c) The railroad shall provide the certification candidate with an opportunity to consult with a mentor, signal instructor or qualified instructor to explain one or more test questions. (d) If a person fails the test, no railroad shall permit or require that person to work as a certified signal… | |||||
| 49:49:4.1.1.1.40.2.137.15 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.123 Monitoring operational performance. | FRA | (a) Each railroad's certification program shall describe how it will monitor the operational performance of its certified signal employees by including procedures for: (1) Giving each certified signal employee at least one unannounced compliance test each calendar year in one of the following areas: the railroad's signal system standards and test procedures, or Federal regulations concerning signal systems, except as provided for in paragraph (d) of this section; (2) Giving unannounced compliance tests to certified signal employees who return to signal work that requires certification pursuant to this part, as described in paragraph (d) of this section; (3) What actions the railroad will take if it finds deficiencies in a certified signal employee's performance during an unannounced compliance test; and (4) Monitoring the performance of signal-related tasks. (b) An unannounced compliance test shall: (1) Be performed by a certified signal employee; and (2) Be given to each certified signal employee at least once each calendar year, except as provided for in paragraph (d) of this section. (c) If the railroad's certification program classifies signal employees pursuant to § 246.107, the unannounced compliance test shall be within scope of the certified signal employee's classification. (d) A certified signal employee who is not performing signal work that requires certification pursuant to this part does not need to be given an unannounced compliance test. However, when the certified signal employee returns to signal work that requires certification pursuant to this part, the railroad shall: (1) Give the certified signal employee an unannounced compliance test within 30 days of their return to signal work that requires certification; and (2) Retain a written record that includes the following information: (i) The date the certified signal employee stopped performing work that required certification pursuant to this part; (ii) The date the certified signal employee returned to signal work that required c… | |||||
| 49:49:4.1.1.1.40.2.137.16 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.124 Mentoring. | FRA | (a) Each railroad's certification program shall include procedures for the mentoring of persons who have not been certified by the railroad. Each railroad shall identify potential scenarios in which mentoring of non-certified persons will be provided. (b) After FRA has approved a railroad's certification program pursuant to this part, the railroad shall not permit or require any person to perform work on a signal system or signal-related technology on its territory that requires certification unless the railroad first determines that: (1) The person is a certified signal employee who has been certified by the railroad and qualified on all applicable signal system equipment and signal-related technology deployed on the railroad; or (2) The person is working under the direct and immediate supervision of a mentor or qualified instructor. (c) If the railroad elects to classify its certified signal employees into more than one occupational category or subcategory pursuant to § 246.107: (1) The railroad shall address in its certification program how mentoring will be provided for certified signal employees who move into a different occupational category or subcategory of certified signal service; and (2) Mentors shall be certified within the occupational category or subcategory of the task being performed by the person or persons working under their direct and immediate supervision. (d) If allowed by the railroad's certification program, any work on a signal system performed by a person whose signal employee certification has been revoked shall be performed under the direct and immediate supervision of a mentor or qualified instructor. (e) Each railroad's certification program shall address how mentoring will be provided to ensure that mentors are located in close proximity to each person or persons they are mentoring to allow the mentor to take immediate action to prevent a violation of § 246.303(e) from occurring. Each railroad's certification program shall also address how mentors will be held accountable fo… | |||||
| 49:49:4.1.1.1.40.2.137.17 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.125 Certification determinations made by other railroads. | FRA | (a) A railroad or parent company that is considering certification of a person as a signal employee (“certifying railroad or parent company”) may rely on certain determinations made by another railroad or parent company concerning that person's certification. (b) A certifying railroad or parent company that relies on the certification determinations made by another railroad shall be responsible for making the following determinations: (1) The person's signal employee certification is still valid under §§ 246.201 and 246.307; (2) The person has been qualified on the signal system equipment and signal-related technology deployed on the railroad territory on which the person is expected to work in accordance with § 246.119; and (3) The person has demonstrated the necessary knowledge concerning the certifying railroad or parent company's signal standards, test procedures, and instructions for the installation, operation, testing, maintenance, troubleshooting, and repair of the certifying railroad or parent company's signal system equipment and signal-related technology in accordance with § 246.121. | |||||
| 49:49:4.1.1.1.40.2.137.2 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.103 FRA review of certification programs. | FRA | (a) Certification program submission schedule for railroads with signal systems in operation. With the exception of railroads exempted by § 246.3(a), each railroad with a signal system in operation as of July 22, 2024, shall submit its signal employee certification program to FRA, in accordance with the procedures and requirements contained in § 246.106, according to the following schedule: (1) All Class I railroads (including the National Railroad Passenger Corporation) and railroads providing commuter service shall submit their programs to FRA no later than March 17, 2025. (2) All Class II railroads and Class III railroads (including a switching, terminal, or other railroad not otherwise classified) shall submit their programs to FRA no later than November 12, 2025. (b) Certification program submission for new railroads. Each railroad that commences operations after July 22, 2024 shall submit to FRA, and obtain FRA approval of, its written signal employee certification program, in accordance with the procedures and requirements contained in § 246.106, prior to installing, implementing, or operating a signal system subject to this part. (c) Method for submitting certification programs to FRA. (1) Railroads must submit their written certification programs and their requests for FRA approval (described in § 246.106(a)) by emailing the program and the request for FRA approval to FRASIGNALCERTPROG@dot.gov. (2) A parent company may submit a written certification program on behalf of one or more subsidiary railroads in accordance with § 246.106(a). (d) Notification requirements. Each railroad or parent company that submits a certification program to FRA must: (1) Simultaneously with its submission, provide a copy of the program and the request for FRA approval to the president of each labor organization that represents the railroad's signal employees and to all of the railroad's signal employees who are subject to this part; and (2) Include in its submission to FRA, a statement affirming that the rail… | |||||
| 49:49:4.1.1.1.40.2.137.3 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.105 Implementation schedule for certification programs. | FRA | (a) Each railroad that submits its signal employee certification program to FRA in accordance with § 246.103(a), may continue rail operations while it awaits approval of its program by FRA. However, if FRA disapproves a railroad's program on two occasions and the railroad continues rail operations, FRA may consider such actions to be a failure to implement a program. (b) Each railroad that submits its signal employee certification program to FRA in accordance with § 246.103(b), must have its program approved by FRA prior to installing, implementing, or operating signal systems subject to this part. If a railroad installs, implements, or operates a signal system before its program is approved by FRA, FRA may consider such actions to be a failure to implement a program. (c) By March 17, 2025, each railroad shall: (1) In writing, designate as certified signal employees all persons authorized by the railroad to perform the duties of a certified signal employee as of March 17, 2025; and (2) Issue a certificate that complies with § 246.207 to each person that it designates. (d) Between March 17, 2025 and the date FRA approves the railroad's certification program, each railroad shall: (1) In writing, designate as a certified signal employee any person who has been authorized by the railroad to perform the duties of a certified signal employee between March 17, 2025 and the date FRA approves the railroad's certification program; and (2) Issue a certificate that complies with § 246.207 to each person that it designates. (e) After March 17, 2025, no railroad shall permit or require a person to perform service as a certified signal employee unless that person is a certified signal employee. (f) No railroad shall permit or require a person, designated as a certified signal employee under the provisions of paragraph (c) or (d) of this section, to perform service as a certified signal employee for more than three years after the date FRA approves the railroad's certification program unless that person has been tested … | |||||
| 49:49:4.1.1.1.40.2.137.4 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.106 Requirements for certification programs. | FRA | (a) Railroad and parent company certification program submission. (1)(i) A railroad's certification program submission must include a copy of its certification program and a request for FRA approval. (ii) Any parent company that submits a single certification program for one or more subsidiary railroads shall provide a list of its railroads that will utilize the program. (iii) If a parent company submits a certification program on behalf of one or more of its subsidiary railroads, the parent company shall assume responsibility for compliance with this part for all railroads identified on the list required by paragraph (a)(1)(ii) of this section. (2) For a railroad or parent company's initial certification program submission, the request for FRA approval can be in letter or narrative format and shall include a statement that the railroad or parent company is seeking approval of its program from FRA. (3) If a railroad or parent company is making a material modification to a program that has been previously approved by FRA, the request for FRA approval can be in letter or narrative format and shall include a copy of the modified certification program that identifies all proposed changes from the last FRA-approved version of the program. (4) A railroad or parent company will receive approval or disapproval notices from FRA by email. (5) FRA may electronically store any materials required by this part. (b) Organization of the certification program. Each certification program must be organized to present the required information in paragraphs (b)(1) through (6) of this section. Each section of the certification program must begin with the name, title, telephone number, and email 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. (1) Section One of the certification program: General information and elections. (i) The first section of the certificati… | |||||
| 49:49:4.1.1.1.40.2.137.5 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.107 Signal service classifications. | FRA | (a) A railroad may classify its certified signal employees in occupational categories or subcategories by class, task, location, or other suitable terminology, in accordance with an FRA-approved certification program that complies with the requirements of this part. (b) Any person called to work on a signal system or signal-related technology on which they have not been certified shall immediately notify the railroad or their employer that they are not certified to work on the signal system or signal-related technology. (c) After FRA has approved a railroad's certification program pursuant to this part, no railroad shall permit a person to work on a signal system or signal-related technology on which the person has not been certified and qualified, unless the person works under the direct and immediate supervision of a mentor or qualified instructor in accordance with § 246.124. | |||||
| 49:49:4.1.1.1.40.2.137.6 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.109 Determinations required for certification and recertification. | FRA | (a) After FRA has approved a railroad's signal employee certification program, the railroad, prior to initially certifying or recertifying any person as a signal employee, shall, in accordance with its FRA-approved program, determine in writing that: (1) The individual meets the prior safety conduct eligibility requirements of §§ 246.111 and 246.113; (2) The individual meets the eligibility requirements of §§ 246.115 and 246.303; (3) The individual meets the visual and hearing acuity standards of §§ 246.117 and 246.118; (4) If applicable, the individual has completed a training program that meets the requirements of § 246.119; (5) The individual meets the qualification requirements of § 246.120; and (6) The individual has the necessary knowledge, as demonstrated by successfully completing testing and practical demonstration that meet the requirements of § 246.121. (b) Nothing in this section, § 246.111, or § 246.113 shall be construed to prevent persons subject to this part from entering into an agreement that results in a railroad obtaining the information needed for compliance with this subpart in a different manner than that prescribed in § 246.111 or § 246.113. | |||||
| 49:49:4.1.1.1.40.2.137.7 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.111 Prior safety conduct as motor vehicle operator. | FRA | (a) Except as provided in paragraphs (b) through (e) of this section, after FRA has approved a railroad's signal employee certification program, the railroad, prior to certifying or recertifying any person as a signal employee, shall determine that the person meets the eligibility requirements of this section involving prior conduct as a motor vehicle operator. (b) A railroad shall certify a person as a signal employee for 60 days if the person: (1) Requested the information required by paragraph (g) of this section at least 60 days prior to the date of the decision to certify that person; and (2) Otherwise meets the eligibility requirements provided in § 246.109(a)(1) through (6). (c) A railroad shall recertify a person as a signal employee for 60 days from the expiration date of that person's certification if the person: (1) Requested the information required by paragraph (g) of this section at least 60 days prior to the date of the decision to recertify that person; and (2) Otherwise meets the eligibility requirements provided in § 246.109(a)(1) through (6). (d) Except as provided in paragraph (e) of this section, if a railroad who certified or recertified a person for 60 days pursuant to paragraph (b) or (c) of this section does not obtain and evaluate the information requested pursuant to paragraph (g) of this section within those 60 days, that person will be ineligible to perform as a certified signal employee until the information can be evaluated by the railroad. (e) If a person requests the information required pursuant to paragraph (g) of this section but is unable to obtain it, that person or the railroad certifying or recertifying that person may petition for a waiver of the requirements of paragraph (a) of this section in accordance with the provisions of part 211 of this chapter. A railroad shall certify or recertify a person during the pendency of the waiver request if the person otherwise meets the eligibility requirements provided in § 246.109(a)(1) through (6). (f) Except for persons de… | |||||
| 49:49:4.1.1.1.40.2.137.8 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.113 Prior safety conduct with other railroads. | FRA | (a) After FRA has approved a railroad's signal employee certification program, the railroad shall determine, prior to issuing any person a signal employee certificate, that the certification candidate meets the eligibility requirements of this section. (b) If the certification candidate has not been employed or certified by any other railroad in the previous five years, they do not have to submit a request in accordance with paragraph (c) of this section, but they must notify the railroad of this fact in accordance with procedures established by the railroad in its certification program. (c) Except as provided for in paragraph (b) of this section, each person seeking certification or recertification under this part shall submit a written request to each railroad that employed or certified the person within the previous five years to provide the following information to the railroad that is considering whether to certify or recertify that person as a signal employee: (1) Information about that person's compliance with § 246.111 within the three years preceding the date of the request; (2) Information about that person's compliance with § 246.115 within the five years preceding the date of the request; and (3) Information about that person's compliance with § 246.303 within the five years preceding the date of the request. (d) Each person submitting a written request required by paragraph (c) of this section shall: (1) Submit the request no more than one year before the date of the railroad's decision on certification or recertification; and (2) Take any additional actions, including providing any necessary consent required by State or Federal law to make information concerning their service record available to the railroad. (e) Within 30 days after receipt of a written request that complies with paragraph (c) of this section, a railroad shall provide the information requested to the railroad designated in the written request. (f) If a railroad is unable to provide the information requested within 30 days… | |||||
| 49:49:4.1.1.1.40.2.137.9 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | B | Subpart B—Program and Eligibility Requirements | § 246.115 Substance abuse disorders and alcohol drug rules compliance. | FRA | (a) Eligibility determination. After FRA has approved a railroad's signal employee certification program, the railroad shall determine, prior to issuing any person a signal employee certificate, that the person meets the eligibility requirements of this section. (b) Documentation. In order to make the determination required under paragraph (c) of this section, a railroad shall have on file documents pertinent to that determination, including a written document from its DAC which states their 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. (c) Fitness requirement. (1) A person who has an active substance abuse disorder shall be denied certification or recertification as a signal employee. (2) Except as provided in paragraph (e) of this section, a certified signal employee who is determined to have an active substance abuse disorder shall be ineligible to hold certification. Consistent with other provisions of this part, certification may be reinstated as provided in paragraph (e) of this section. (3) In the case of a current employee of a railroad evaluated as having an active substance abuse disorder (including a person identified under the procedures of § 246.111), the employee may, if otherwise eligible, voluntarily self-refer for substance abuse counseling or treatment under the policy required by § 219.1001(b)(1) of this chapter; and the railroad shall then treat the substance abuse evaluation as confidential except with respect to ineligibility for certification. (d) Prior alcohol/drug conduct; Federal rule compliance. (1) In determining whether a person may be or remain certified as a signal employee, a railroad shall consider conduct described in paragraph (d)(2) of this section that occurred within a period of five consecutive years prior to the review. A review of certification shall be initiated promptly upon the occurrence and documentatio… | |||||
| 49:49:4.1.1.1.40.3.137.1 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | C | Subpart C—Administration of the Certification Program | § 246.201 Time limitations for certification. | FRA | (a) After FRA approves a railroad's signal employee certification program, that railroad shall not certify or recertify a person as a signal employee if the railroad is making: (1) A determination concerning eligibility under §§ 246.111, 246.113, 246.115, and 246.303 and the eligibility data being relied on was furnished more than one year before the date of the railroad's certification decision; (2) A determination concerning vision or hearing acuity and the medical examination being relied on was conducted more than 450 days before the date of the railroad's certification decision; or (3) A determination concerning demonstrated knowledge and the knowledge examination being relied on was conducted more than one year before the date of the railroad's certification decision, or more than two years before the date of the railroad's certification decision if the railroad administers knowledge testing pursuant to § 246.121 at intervals that do not exceed two years. (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 § 246.125. (c) Except if a person is designated as a certified signal employee under § 246.105(c) or (d), no railroad shall certify a person as a signal employee for an interval of more than three years. (d) Each railroad shall issue each certified signal employee a certificate that complies with § 246.207 no later than 30 days from the date of its decision to certify or recertify that person. | |||||
| 49:49:4.1.1.1.40.3.137.2 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | C | Subpart C—Administration of the Certification Program | § 246.203 Retaining information supporting determinations. | FRA | (a) After FRA approves a railroad's signal employee certification program, any time the railroad issues, denies, or revokes a certificate after making the determinations required under § 246.109, it shall maintain a record for each certified signal employee and certification candidate. Each record shall contain the information, described in paragraph (b) of this section, that the railroad relied on in making the determinations required under § 246.109. (b) A railroad shall retain the following information: (1) Relevant data from the railroad's records concerning the person's prior safety conduct and eligibility; (2) Relevant data furnished by another railroad; (3) Relevant data furnished by a governmental agency concerning the person's motor vehicle driving record; (4) Relevant data furnished by the person seeking certification concerning their eligibility; (5) The relevant test results data concerning visual and hearing acuity; (6) If applicable, the relevant data concerning the professional opinion of the railroad's medical examiner on the adequacy of the person's visual or hearing acuity; (7) Relevant data from the railroad's records concerning the person's success or failure on knowledge test(s) under § 246.121; (8) A sample copy of the written knowledge test or tests administered; and (9) The relevant data from the railroad's records concerning the person's success or failure on unannounced tests the railroad performed to monitor the person's performance in accordance with § 246.123. (c) If a railroad is relying on successful completion of a training program conducted by another entity, the relying railroad shall maintain a record for each certification candidate that contains the relevant data furnished by the training entity concerning the person's demonstration of knowledge relied on by the railroad in making its determinations. (d) If a railroad is relying on a certification decision initially made by another railroad, the relying railroad shall maintain a record for each certification candid… | |||||
| 49:49:4.1.1.1.40.3.137.3 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | C | Subpart C—Administration of the Certification Program | § 246.205 List of certified signal employees and recordkeeping. | FRA | (a) After a railroad's certification program has received its initial approval from FRA, pursuant to § 246.103(f)(1), the railroad must maintain a list of each person who is currently certified as a signal employee by the railroad. The list must include the date of the railroad's certification decision and the date the person's signal employee certification expires. If a railroad classifies its certified signal employees into occupational categories or subcategories by class, task, location, or other suitable terminology, the list must indicate the occupational categories and subcategories in which each certified signal employee is certified to perform service. (b) The list shall: (1) Be updated at least annually; (2) Be made available, upon request, to FRA representatives in a timely manner; and (3) Be available either: (i) In electronic format pursuant to paragraph (c) of this section; or (ii) At the divisional or regional headquarters of the railroad. (c) If a railroad elects to maintain its list in an electronic format, it must: (1) Maintain an information technology security program adequate to ensure the integrity of the electronic data storage system, including the prevention of unauthorized access to the program logic or the list; (2) Have its program and data storage system protected by a security system that utilizes an employee identification number and password, or a comparable method, to establish appropriate levels of program access meeting all of the following standards: (i) No two individuals have the same electronic identity; and (ii) An entry on the list cannot be deleted or altered by any individual after the entry is certified by the employee who created the entry; (3) Have any amendment to the list either: (i) Electronically stored apart from the entry on the list that it amends; or (ii) Electronically attached to the entry on the list as information without changing the original entry; (4) Ensure that each amendment to the list uniquely identifies the person making the amendme… | |||||
| 49:49:4.1.1.1.40.3.137.4 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | C | Subpart C—Administration of the Certification Program | § 246.207 Certificate requirements. | FRA | (a) Each person who becomes a certified signal employee in accordance with this part shall be issued a paper or electronic certificate that: (1)(i) Identifies the railroad issuing the certificate; or (ii) Identifies the parent company issuing the certificate, if a parent company submits a certification program for one or more of its subsidiary railroads. The certificate issued by the parent company shall also list each subsidiary railroad on which the person is certified to work as a signal employee; (2) Indicates it is a signal employee certificate and, if applicable, lists all signal employee occupational categories or subcategories developed pursuant to § 246.107 in which the person is certified; (3) Provides the following information about the certified signal employee: (i) Name; (ii) Employee identification number; and (iii) Either a physical description or photograph of the person; (4) Identifies any conditions or limitations, including conditions to ameliorate vision or hearing acuity deficiencies, that restrict, limit, or alter the person's abilities to work as a certified signal employee; (5) Shows the effective date of the certification; (6) Shows the expiration date of the certification unless the certificate was issued pursuant to § 246.105(c) or (d); (7) Has been signed by an individual designated in accordance with paragraph (b) of this section; and (8) Is electronic or of sufficiently small size to permit being carried in an ordinary pocket wallet. (b) Each railroad or parent company shall designate in writing any person it authorizes to sign the certificates described in this section. The designation shall identify such persons by name or job title. (c) Nothing in this section shall prohibit any railroad or parent company from including additional information on the certificate or supplementing the certificate through other documents. (d) It shall be unlawful for any railroad or parent company to knowingly or any individual to willfully: (1) Make, cause to be made, or participate i… | |||||
| 49:49:4.1.1.1.40.3.137.5 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | C | Subpart C—Administration of the Certification Program | § 246.213 Multiple certifications. | FRA | (a) A person who holds a signal employee certificate may: (1) Hold a signal employee certificate for multiple types of signal service; and (2) Be certified in other crafts, such as a locomotive engineer or conductor. (b) A railroad that issues multiple certificates to a person, shall, to the extent possible, coordinate the expiration date of those certificates. (c) Paragraphs (c)(1) through (3) of this section apply to persons who are currently certified as a signal employee for multiple railroads or are seeking to become certified signal employees for multiple railroads. (1) A person who holds a current signal employee certificate from more than one railroad shall immediately notify the other certifying railroad(s) if they are denied signal employee certification or recertification under § 246.301 by a railroad or have their signal employee certification suspended or revoked under § 246.307 by a railroad. (2) If a person has their signal employee certification suspended or revoked by a railroad under § 246.307, they shall not work as a certified signal employee for any railroad during the period that their certification is suspended or revoked, except as provided for in § 246.124(d). (3) If a person has their signal employee certification suspended or revoked by a railroad under § 246.307, they shall notify any railroad from whom they are seeking signal employee certification that their signal employee certification is currently suspended or revoked by another railroad. (d) Paragraphs (d)(1) through (3) of this section apply to persons who are currently certified as a signal employee and also currently certified in another railroad craft, such as a locomotive engineer or conductor: (1) If a person's signal employee certification is revoked under § 246.307 for a violation of § 246.303(e)(11), they shall not work in another certified railroad craft, such as a locomotive engineer or conductor, during the period of revocation. (2) If a person's signal employee certification is revoked under § 246.307 for a… | |||||
| 49:49:4.1.1.1.40.3.137.6 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | C | Subpart C—Administration of the Certification Program | § 246.215 Railroad oversight responsibilities. | FRA | (a) No later than March 31 of each year (beginning in calendar year 2027), each Class I railroad (including the National Railroad Passenger Corporation), each railroad providing commuter service, and each Class II railroad shall conduct a formal annual review and analysis concerning the administration of its program for responding to detected instances of poor safety conduct by certified signal employees during the prior calendar year. (b) Each review and analysis shall involve: (1) The number and nature of the instances of detected poor safety conduct including the nature of the remedial action taken in response thereto; (2) The number and nature of FRA reported accidents/incidents attributed to poor safety performance by signal employees; and (3) The number and type of operational monitoring test failures recorded by certified signal employees conducting compliance tests pursuant to § 246.123. (c) Based on that review and analysis, each railroad shall determine what action(s) it will take to improve the safety of railroad operations to reduce or eliminate future accidents/incidents of that nature. (d) If requested in writing by FRA, by the president of a labor organization that represents the railroad's signal employees, or by a railroad's certified signal employee who is not represented by a labor organization, the railroad shall provide a report of the findings and conclusions reached during such annual review and analysis effort. (e) For reporting purposes, information about the nature of detected poor safety conduct shall be capable of segregation for study and evaluation purposes into the following categories: (1) Incidents involving noncompliance with railroad rules and procedures governing the removal from service of: (i) Highway-rail and pathway grade crossing warning devices and systems; and (ii) Wayside signal devices and systems; (iii) Other devices or signal systems subject to this part. (2) Incidents involving noncompliance with railroad rules and procedures governing the restoration of… | |||||
| 49:49:4.1.1.1.40.4.137.1 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | D | Subpart D—Denial and Revocation of Certification | § 246.301 Process for denying certification. | FRA | (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 candidate a reasonable opportunity to explain or rebut that adverse information in writing prior to denying certification. A railroad shall provide the candidate with any documents or records, including written statements, related to failure to meet a requirement of this part that support its pending denial decision. (b) If a railroad denies a person certification or recertification, it shall issue a decision that complies with all of the following requirements: (1) It must be in writing. (2) It must explain the basis for the railroad's denial decision. (3) It must address any explanation or rebuttal information that the candidate provides pursuant to paragraph (a) of this section. (4) It must include the date of the railroad's decision. (5) It must be served on the person no later than 10 days after the railroad's decision. (c) A railroad shall not deny the person's certification for failing to comply with a railroad test procedure, signal standard, or practice which constitutes a violation under § 246.303(e)(1) through (10) if sufficient evidence exists to establish that an intervening cause prevented or materially impaired the person's ability to comply with that railroad test procedure, signal standard, or practice. | |||||
| 49:49:4.1.1.1.40.4.137.2 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | D | Subpart D—Denial and Revocation of Certification | § 246.303 Criteria for revoking certification. | FRA | (a) It shall be unlawful to fail to comply with any of the railroad rules or practices described in paragraph (e) of this section. (b) A certified signal employee who fails to comply with a railroad test procedure, signal standard or practice described in paragraph (e) of this section shall have their certification revoked. (c) A certified signal employee who is assigned to monitor, mentor, or instruct a signal employee and fails to take appropriate action to prevent a violation of paragraph (e) of this section shall have their certification revoked. (d) A certified signal employee who is called by a railroad to perform a duty other than that of a signal employee shall not have their signal employee certification revoked based on actions taken or not taken while performing that duty except for violations described in paragraph (e)(11) of this section. (e) When determining whether to revoke a person's signal employee certification, a railroad shall only consider violations of Federal regulatory provisions or railroad rules, procedures, signal standards, and practices that involve: (1) Interfering with the normal functioning of a highway-rail grade crossing warning system under § 234.209 of this chapter, or signal system under § 236.4 of this chapter, without providing an alternative means of protection. (Railroads shall only consider those violations that result in an activation failure or false proceed signal.) (2) Failure to comply with a railroad rule or procedure when removing from service: (i) Highway-rail or pathway grade crossing warning devices and systems; (ii) Wayside signal devices or signal systems; or (iii) Other devices or signal systems subject to this part. (3) Failure to comply with railroad rule or procedure when placing in service or restoring to service: (i) Highway-rail and pathway grade crossing warning devices and systems; (ii) Wayside signal devices or signal systems; or (iii) Other devices or signal systems subject to this part. (4) Failure to perform an inspection or test to… | |||||
| 49:49:4.1.1.1.40.4.137.3 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | D | Subpart D—Denial and Revocation of Certification | § 246.305 Periods of ineligibility. | FRA | (a) The starting date for a period of ineligibility described in this section shall be: (1) For a person not currently certified, the date of the railroad's written determination that the most recent incident has occurred; or (2) For a person currently certified, the date of the railroad's notification to the person that recertification has been denied or certification has been suspended. (b) A period of ineligibility shall be determined according to the following standards: (1) In the case of a single incident involving a violation of one or more of the Federal regulatory provisions or railroad rules, procedures, signal standards, or practices described in § 246.303(e)(1) through (10), the person shall have their certificate revoked for a period of 30 calendar days. (2) In the case of two separate incidents involving a violation of one or more of the Federal regulatory provisions or railroad rules, procedures, signal standards, or practices described in § 246.303(e)(1) through (10), that occurred within 24 months of each other, the person shall have their certificate revoked for a period of six months. (3) In the case of three separate incidents involving violations of one or more of the Federal regulatory provisions or railroad rules, procedures, signal standards, or practices, described in § 246.303(e)(1) through (11), that occurred within 36 months of each other, the person shall have their certificate revoked for a period of one year. (4) In the case of four separate incidents involving violations of one or more of the Federal regulatory provisions or railroad rules, procedures, signal standards, or practices, described in § 246.303(e)(1) through (11), that occurred within 36 months of each other, the person shall have their certificate revoked for a period of three years. (5) Where, based on the occurrence of violations described in § 246.303(e)(11), different periods of ineligibility may result under the provisions of this section and § 246.115, the longest period of revocation shall control. (c) … | |||||
| 49:49:4.1.1.1.40.4.137.4 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | D | Subpart D—Denial and Revocation of Certification | § 246.307 Process for revoking certification. | FRA | (a) If a railroad determines that a person, who is currently certified as a signal employee by the railroad, has violated a Federal regulatory provision, railroad test procedure, signal standard or practice described in § 246.303(e), the railroad shall revoke the person's signal employee certification in accordance with the procedures and requirements of this section. (b) Except as provided for in § 246.115(f), if a railroad acquires reliable information that a person, who is currently certified as a signal employee by the railroad, has violated a Federal regulatory provision, railroad rule, procedure, signal standard, or practice described in § 246.303(e) or § 246.115(d), the railroad shall undertake the following process to determine whether revocation of the person's signal employee certification is warranted: (1) The person's signal employee certification shall be suspended immediately. (2) The person's employer(s) (if different from the suspending railroad) shall be immediately notified of the certification suspension and the reason for the certification suspension. (3) Prior to or upon suspending the person's signal employee certification, the railroad shall provide the person with notice of: the reason for the suspension; the pending revocation; and an opportunity for a hearing before a presiding officer other than the investigating officer. This notice may initially be given either orally or in writing. If given orally, the notice must be subsequently confirmed in writing in a manner that conforms with the notification provisions of the applicable collective bargaining agreement. If there is no applicable collective bargaining agreement notification provision, the written notice must be made within four days of the date the certification was suspended. (4) The railroad must convene the hearing within the time frame required under the applicable collective bargaining agreement. If there is no applicable collective bargaining agreement or the applicable collective bargaining agreement does not include … | |||||
| 49:49:4.1.1.1.40.5.137.1 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | E | Subpart E—Dispute Resolution Procedures | § 246.401 Review board established. | FRA | (a) Any person who has been denied certification or recertification, or has had their certification revoked and believes that a railroad incorrectly determined that they failed to meet the certification requirements of this part when making the decision to deny or revoke certification, may petition the Administrator to review the railroad's decision. (b) The Administrator has delegated initial responsibility for adjudicating such disputes to the Certification Review Board (Board). The Board shall be composed of FRA employees. | |||||
| 49:49:4.1.1.1.40.5.137.2 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | E | Subpart E—Dispute Resolution Procedures | § 246.403 Petition requirements. | FRA | (a) To obtain review of a railroad's decision to deny certification, deny recertification, or revoke certification, a person shall file a petition for review that complies with this section. (b) Each petition shall: (1) Be in writing; (2) Be filed no more than 120 days after the date the railroad's denial or revocation decision was served on the petitioner, except as provided for in paragraph (d) of this section; (3) Be filed on https://www.regulations.gov; (4) Include the following contact information for the petitioner and petitioner's representative (if petitioner is represented): (i) Full name; (ii) Daytime telephone number; and (iii) Email address; (5) Include the name of the railroad and the name of the petitioner's employer (if different from the railroad that revoked petitioner's certification); (6) Contain the facts that the petitioner believes constitute the improper action by the railroad and the arguments in support of the petition; and (7) Include all written documents in the petitioner's possession or reasonably available to the petitioner that document the railroad's decision. (c) If requested by the Board, the petitioner must provide a copy of the information under 49 CFR 40.329 that laboratories, medical review officers, and other service agents are required to release to employees. The petitioner must provide a written explanation in response to a Board request if written documents, that should be reasonably available to the petitioner, are not supplied. (d) The Board may extend the petition filing period in its discretion provided the petitioner provides good cause for the extension and: (1) The request for an extension is filed before the expiration of the period provided for in paragraph (b)(2) of this section; or (2) The failure to timely file was the result of excusable neglect. (e) A party aggrieved by a Board decision to deny a petition as untimely or not in compliance with the requirements of this section may file an appeal with the Administrator in accordance with § 246… | |||||
| 49:49:4.1.1.1.40.5.137.3 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | E | Subpart E—Dispute Resolution Procedures | § 246.405 Processing certification review petitions. | FRA | (a) Each petition shall be acknowledged in writing by FRA. The acknowledgment shall be sent to the petitioner (if an email address is provided), petitioner's representative (if any), the railroad, and petitioner's employer (if different from the railroad that revoked petitioner's certification). The acknowledgment shall contain the docket number assigned to the petition and will notify the parties where the petition can be accessed. (b) Within 60 days from the date of the acknowledgment provided in paragraph (a) of this section, the railroad may submit to FRA any information that the railroad considers pertinent to the petition and shall supplement the record with any relevant documents in its possession, such as hearing transcripts and exhibits, that were not submitted by the petitioner. Late filings will only be considered to the extent practicable. A railroad that submits such information shall: (1) Identify the petitioner by name and the docket number for the petition; (2) Provide the railroad's email address; (3) Serve a copy of the information being submitted to the petitioner and petitioner's representative (if any); and (4) Be filed on https://www.regulations.gov. (c) The petition will be referred to the Board for a decision after a railroad's response is received or 60 days from the date of the acknowledgment provided in paragraph (a) of this section, whichever is earlier. Based on the record, the Board shall have the authority to grant, deny, dismiss, or remand the petition. If the Board finds that there is insufficient basis for granting or denying the petition, the Board may issue an order affording the parties an opportunity to provide additional information or argument consistent with its findings. (d) When considering procedural issues, the Board will grant the petition if the petitioner shows: (1) That a procedural error occurred; and (2) The procedural error caused substantial harm to the petitioner. (e) When considering factual issues, the Board will grant the petition if the petition… | |||||
| 49:49:4.1.1.1.40.5.137.4 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | E | Subpart E—Dispute Resolution Procedures | § 246.407 Request for a hearing. | FRA | (a) If adversely affected by the Board's decision, either the petitioner before the Board or the railroad involved shall have a right to an administrative proceeding as prescribed by § 246.409. (b) To exercise that right, the adversely affected party shall file a written request for a hearing within 20 days of service of the Board's decision on that party. The request must be filed in the docket on https://www.regulations.gov that was used when the case was before the Board. (c) A written request for a hearing must contain the following: (1) The name, telephone number, and email address of the requesting party and the party's designated representative (if any); (2) The name, telephone number, and email address of the respondent; (3) The docket number for the case while it was before the Board; (4) The specific factual issues, industry rules, regulations, or laws that the requesting party alleges need to be examined in connection with the certification decision in question; and (5) The signature of the requesting party or the requesting party's representative (if any). (d) Upon receipt of a hearing request complying with paragraph (c) of this section, FRA shall arrange for the appointment of a presiding officer who shall schedule the hearing for the earliest practicable date. (e) If a party fails to request a hearing within the period provided in paragraph (b) of this section, the Board's decision will constitute final agency action. | |||||
| 49:49:4.1.1.1.40.5.137.5 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | E | Subpart E—Dispute Resolution Procedures | § 246.409 Hearings. | FRA | (a) An administrative hearing for a signal employee certification petition shall be conducted by a presiding officer, who can be any person authorized by the Administrator. (b) The presiding officer shall convene and preside over the hearing. The hearing shall be a de novo hearing to find the relevant facts and determine the correct application of this part to those facts. The presiding officer may determine that there is no genuine issue covering some or all material facts and limit evidentiary proceedings to any issues of material fact as to which there is a genuine dispute. (c) The presiding officer may exercise the powers of the Administrator to regulate the conduct of the hearing for the purpose of achieving a prompt and fair determination of all material issues in controversy. (d) The presiding officer may authorize discovery of the types and quantities which in the presiding officer's discretion will contribute to a fair hearing without unduly burdening the parties. The presiding officer may impose appropriate non-monetary sanctions, including limitations as to the presentation of evidence and issues, for any party's willful failure or refusal to comply with approved discovery requests. (e) Every petition, motion, response, or other authorized or required document shall be signed by the party filing the same, or by a duly authorized officer or representative of record, or by any other person. If signed by such other person, the reason therefor must be stated and the power of attorney or other authority authorizing such other person to subscribe the document must be filed with the document. The signature of the person subscribing any document constitutes a certification that they have read the document; that to the best of their knowledge, information, and belief, every statement contained in the document is true and no such statements are misleading; and that it is not interposed for delay or to be vexatious. (f) After the request for a hearing is filed, all documents filed or served upon one party … | |||||
| 49:49:4.1.1.1.40.5.137.6 | 49 | Transportation | II | 246 | PART 246—CERTIFICATION OF SIGNAL EMPLOYEES | E | Subpart E—Dispute Resolution Procedures | § 246.411 Appeals. | FRA | (a) Any party aggrieved by the presiding officer's decision may file an appeal in the presiding officer's docket. The appeal must be filed within 35 days of issuance of the decision. A copy of the appeal shall be served on each party. The appeal shall set forth objections to the presiding officer's decision, supported by reference to applicable laws and regulations and with specific reference to the record. If no appeal is timely filed, the presiding officer's decision constitutes final agency action. (b) A party may file a reply to the appeal within 25 days of service of the appeal. The reply shall be supported by reference to applicable laws and regulations and with specific reference to the record, if the party relies on evidence contained in the record. (c) The Administrator may extend the period for filing an appeal or a reply for good cause shown, provided that the written request for extension is served before expiration of the applicable period provided in this section. (d) The Administrator has sole discretion to permit oral argument on the appeal. On the Administrator's own initiative or written motion by any party, the Administrator may grant the parties an opportunity for oral argument. (e) The Administrator may remand, vacate, affirm, reverse, alter, or modify the decision of the presiding officer and the Administrator's decision constitutes final agency action except where the terms of the Administrator's decision (for example, remanding a case to the presiding officer) show that the parties' administrative remedies have not been exhausted. (f) An appeal from a Board decision pursuant to § 246.403(e) must be filed in the Board's docket within 35 days of issuance of the decision. A copy of the appeal shall be served on each party. The Administrator may affirm or vacate the Board's decision, and may remand the petition to the Board for further proceedings. An Administrator's decision to affirm the Board's decision constitutes final agency action. |
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