FOR IMMEDIATE RELEASE U.S. DEPARTMENT OF TRANSPORTATION Wednesday, June 12, 1991 DOT RULE REQUIRES CERTIFICATION OF ALL RAILROAD ENGINEERS The U. S. Department of Transportation's Federal Railroad Administration (FRA) today issued a final rule that requires railroads to evaluate and certify the competency of prospective locomotive operators. The rule- making, required by the Rail Safety Improvement Act of 1988, is in direct response to the 1987 Amtrak-Conrail accident at Chase, MD. Under the rule, currently employed operators will be "grandfathered" for up to three years and railroad carriers are prohibited from requiring or permitting anyone without a certificate to operate a locomotive. To be certified, each prospective operator must pass a written exam and a performance skills test. The railroad also must review the person's motor vehicle record and previous railroad experience as well as determine that the prospective employee has the necessary hearing and visual acuity to operate a train. FRA Administrator Gil Carmichael said, "We must assure that all locomotive engineers are fully qualified for this important responsibility. This rule is another milestone in FRA's long-term program to improve railroad safety." Nearly 500 railroads and 34,000 locomotive engineers will be affected by the rule, which will become effective 90 days after publication in the FEDERAL REGISTER. Railroads must begin compliance, on a phase-in basis, by Jan. 1, 1992. Certifications must be renewed every three years. Railroads also are required to conduct both overt and covert periodic monitoring of locomotive engineers' safety performance, in addition to a formal annual evaluation. In addition, railroads must establish initial and continuing train safety education programs. The rule also establishes procedures for review where certification is denied. Such reviews are to be conducted promptly by the FRA. Provision is made for further appeals before a hearing officer and to the FRA administrator, if necessary. Certain unsafe practices by train operators, such as excessive speeding, which are not currently covered by specific regulation, will now be subject to civil penalty and disqualification procedures. SUMMARY OF LOCOMOTIVE ENGINEER CERTIFICATION RULE, JUNE 11, 1991 Applies to -- Operation of any locomotive, with or without cars. All railroads in the general system (but not plant railroads or tourist operations outside the general system). Requires -- 1. Visual and hearing acuity. 2. Training. 3. Written examination. 4. Performance skills test (simulator or actual operation). 5. Annual monitoring. 6. Suitable record of past conduct as a railroad employee. 7. Use of motor vehicle data to identify employees with active substance abuse disorders for referral to employee assistance program. 8. Recertification every 36 months after initial certification. Establishes categories of certified engineers: Train service engineers; Locomotive servicing engineers; and Student engineers. Misconduct on the job may affect certification status. The following specific types of rule violations affect certification status: Failure to obey signal indication. Speeding. Failure to observe procedures for use of train or engine brakes. Entering track segment without authority. Tampering with safety device. The period of disqualification for violations of these rules is as follows: First incident: 1 month. Second incident within 36 months: 1 year (However, the period of ineligibility may be reduced up to one half after remedial training, if the designated supervisor so determines.) Third incident within 60 months: 5 years. Misconduct involving alcohol and drugs will result in specific consequences: The following types of alcohol/drug misconduct are pertinent: Section 219.102 violation -- use of a controlled substance without medical authorization, on or off the job. (Normally discovered through a positive urine drug test.) Section 219.101 violation -- On-the-Job use, possession or intoxication by alcohol or a controlled substance. (Normally discovered as a result of unusual conduct or a post-accident test.) Numbers of types of violations within a 60-month period and resulting period of disqualification: One 219.102 violation -- suspension during evaluation and treatment. Two 219.102 violations -- 3 years. Three 219.102 violations -- 5 years. One 219.101 violation -- 9 months. One each, violation of 219.101 and 219.102 -- 3 years. Two violations of 219.101 -- 5 years. Return to work is contingent upon successful completion of any necessary substance abuse treatment (i.e., the engineer must be free from any active substance abuse disorder). NOTE: A 219.101 violation is also counted with other On-the-Job conduct whithin the 36 and 60 month windows for operating rule violations. NOTE: Only misconduct occurring after the effective date of the rule is considered with respect to certification of locomotive engineers, due to considerations of fairness and Federal case law. Applies to railroad rule violations, alcohol/drug violations, and motor vehicle data. Motor Vehicle Records -- Alcohol and drug related convictions within past 36 months trigger evaluation to determine if person has active substance abuse disorder. Other driving offenses are not considered under final rule, since the extent of correlation between off-duty and on-duty conduct is not known. Research is now underway will determine the weight these offenses should be given. Transition -- No change on effective date (90 days after publication in Federal Register); engineers continue to work as before. By December 31, 1991, all present engineers receive certificate based on "grandfathering". In 1992, all railroads must begin annual compliance monitoring (check ride and test). Railroads must implement programs of certification according to the following schedule: File Implement Class I/Commuter Nov. 15, 1991 Jan. 1, 1992 Class II May 1, 1992 June 1, 1992 Class III Nov. 1, 1992 Dec. 1, 1992 On and after the implementation dates listed immediately above -- NEW engineers must be tested, evaluated and determined to be qualified under the terms of the program in order to commence service; GRANDFATHERED engineers must be tested, evaluated and determined to be qualified under the terms of the program within 36 months of program implementation (by January 1, 1995, June 1, 1995, and Dec. 1, 1995, for Class I, II and III, respectively); and ANY engineer is subject to suspension or decertification based on job-related misconduct. Appeal of railroad action to deny or revoke certification will be considered first by an internal FRA review board. If the railroad's action is upheld by the board, the employee may demand an on-the- record hearing and appeal any adverse ruling to the Administrator. The final rule also prohibits specific conduct, with respect to which FRA will engage in direct enforcement -- Operation of train overspeed by 10 MPH or 50%, whichever is less. Passing absolute restrictive signal. Entering track segment without authority. (Tampering with safety devices is already separately prohibited.)