DOT 49 CFR PART 240-2010 QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS.pdf

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1、885 Federal Railroad Administration, DOT Pt. 240 63 FR 24676, May 4, 1998, as amended at 69 FR 30595, May 28, 2004; 73 FR 79704, Dec. 30, 2008 PART 240QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS Subpart AGeneral Sec. 240.1 Purpose and scope. 240.3 Application and responsibility for compl

2、iance. 240.5 Preemptive effect and construction. 240.7 Definitions. 240.9 Waivers. 240.11 Penalties and consequences for non-compliance. 240.13 Information collection requirements. Subpart BComponent Elements of the Certification Process 240.101 Certification program required. 240.103 Approval of de

3、sign of individual rail-road programs by FRA. 240.104 Criteria for determining whether movement of roadway maintenance equipment or a dual purpose vehicle re-quires a certified locomotive engineer. 240.105 Criteria for selection of designated supervisors of locomotive engineers. 240.107 Criteria for

4、 designation of classes of service. 240.109 General criteria for eligibility based on prior safety conduct. 240.111 Individuals duty to furnish data on prior safety conduct as motor vehicle op-erator. 240.113 Individuals duty to furnish data on prior safety conduct as an employee of a different rail

5、road. 240.115 Criteria for consideration of prior safety conduct as a motor vehicle oper-ator. 240.117 Criteria for consideration of oper-ating rules compliance data. 240.119 Criteria for consideration of data on substance abuse disorders and alcohol/ drug rules compliance. 240.121 Criteria for visi

6、on and hearing acu-ity data. 240.123 Criteria for initial and continuing education. 240.125 Criteria for testing knowledge. 240.127 Criteria for examining skill perform-ance. 240.129 Criteria for monitoring operational performance of certified engineers. Subpart CImplementation of the Certification

7、Process 240.201 Implementation. 240.203 Determinations required as a pre-requisite to certification. 240.205 Procedures for determining eligi-bility based on prior safety conduct. 240.207 Procedures for making the deter-mination on vision and hearing acuity. 240.209 Procedures for making the deter-m

8、ination on knowledge. 240.211 Procedures for making the deter-mination on performance skills. 240.213 Procedures for making the deter-mination on completion of training pro-gram. 240.215 Retaining information supporting determinations. 240.217 Time limitations for making deter-minations. 240.219 Den

9、ial of certification. 240.221 Identification of qualified persons. 240.223 Criteria for the certificate. 240.225 Reliance on qualification determina-tions made by other railroads. 240.227 Reliance on qualification require-ments of other countries. 240.229 Requirements for joint operations territory.

10、 240.231 Requirements for locomotive engi-neers unfamiliar with physical charac-teristics in other than joint operations. Subpart DAdministration of the Certification Programs 240.301 Replacement of certificates. 240.303 Operational monitoring require-ments. 240.305 Prohibited conduct. 240.307 Revoc

11、ation of certification. 240.309 Railroad oversight responsibilities. Subpart EDispute Resolution Procedures 240.401 Review board established. 240.403 Petition requirements. 240.405 Processing qualification review peti-tions. 240.407 Request for a hearing. 240.409 Hearings. 240.411 Appeals. APPENDIX

12、A TO PART 240SCHEDULE OF CIVIL PENALTIES APPENDIX B TO PART 240PROCEDURES FOR SUBMISSION AND APPROVAL OF LOCO-MOTIVE ENGINEER QUALIFICATION PRO-GRAMS APPENDIX C TO PART 240PROCEDURES FOR OBTAINING AND EVALUATING MOTOR VEHI-CLE DRIVING RECORD DATA APPENDIX D TO PART 240IDENTIFICATION OF STATE AGENCIE

13、S THAT PERFORM NATIONAL DRIVER REGISTER CHECKS APPENDIX E TO PART 240RECOMMENDED PRO-CEDURES FOR CONDUCTING SKILL PER-FORMANCE TESTS APPENDIX F TO PART 240MEDICAL STAND-ARDS GUIDELINES VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00895 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones

14、on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-886 49 CFR Ch. II (10110 Edition) 240.1 AUTHORITY: 49 U.S.C. 20103, 20107, 20135, 21301, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49. SOURCE: 56 FR 28254, June 19, 1991

15、, unless otherwise noted. Subpart AGeneral 240.1 Purpose and scope. (a) The purpose of this part is to en-sure that only qualified persons oper-ate a locomotive or train. (b) This part prescribes minimum Federal safety standards for the eligi-bility, training, testing, certification and monitoring o

16、f all locomotive engi-neers to whom it applies. This part does not restrict a railroad from adopt-ing and enforcing additional or more stringent requirements not incon-sistent with this part. (c) The qualifications for locomotive engineers prescribed in this part are pertinent to any person who oper

17、ates a locomotive, unless that person is spe-cifically excluded by a provision of this part, regardless of the fact that a per-son may have a job classification title other than that of locomotive engineer. 56 FR 28254, June 19, 1991, as amended at 64 FR 60988, Nov. 8, 1999 240.3 Application and res

18、ponsibility for compliance. (a) Except as provided in paragraph (b) of this section, this part applies to all railroads. (b) This part does not apply to (1) A railroad that operates only on track inside an installation that is not part of the general railroad system of transportation; or (2) Rapid t

19、ransit operations in an urban area that are not connected to the general railroad system of trans-portation. (c) Although the duties imposed by this part are generally stated in terms of the duty of a railroad, each person, including a contractor for a railroad, who performs any function covered by

20、this part must perform that function in accordance with this part. 64 FR 60988, Nov. 8, 1999 240.5 Preemptive effect and con-struction. (a) Under 49 U.S.C. 20106, issuance of the regulations in this part preempts any State law, regulation, or order cov-ering the same subject matter, except an additi

21、onal or more stringent law, regulation, or order that is necessary to eliminate or reduce an essentially local safety hazard; is not incompatible with a law, regulation, or order of the United States Government; and does not impose an unreasonable burden on interstate commerce. (b) FRA does not inte

22、nd by issuance of these regulations to preempt provi-sions of State criminal law that impose sanctions for reckless conduct that leads to actual loss of life, injury, or damage to property, whether such pro-visions apply specifically to railroad employees or generally to the public at large. (c) FRA

23、 does not intend, by use of the term locomotive engineer in this part, to preempt or otherwise alter the terms, conditions, or interpretation of existing collective bargaining agree-ments that employ other job classifica-tion titles when identifying persons au-thorized by a railroad to operate a lo-

24、comotive. (d) FRA does not intend by issuance of these regulations to preempt or oth-erwise alter the authority of a railroad to initiate disciplinary sanctions against its employees, including man-agers and supervisors, in the normal and customary manner, including those contained in its collective

25、 bar-gaining agreements. (e) Nothing in this part shall be con-strued to create or prohibit an eligi-bility or entitlement to employment in other service for the railroad as a re-sult of denial, suspension, or revoca-tion of certification under this part. (f) Nothing in this part shall be deemed to

26、abridge any additional pro-cedural rights or remedies not incon-sistent with this part that are avail-able to the employee under a collective bargaining agreement, the Railway Labor Act, or (with respect to employ-ment at will) at common law with re-spect to removal from service or other VerDate Mar

27、2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00896 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-887 Federal Railroad Administration, DOT 240.7 adverse action taken as a

28、 consequence of this part. 56 FR 28254, June 19, 1991, as amended at 58 FR 19002, Apr. 9, 1993; 64 FR 60988, Nov. 8, 1999 240.7 Definitions. As used in this part Administrator means the Adminis-trator of the Federal Railroad Admin-istration or the Administrators dele-gate. Alcohol means ethyl alcoho

29、l (ethanol) and includes use or possession of any beverage, mixture, or preparation con-taining ethyl alcohol. 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 13011316).

30、Current Employee is any employee with at least one year of experience in transportation service on a railroad. Designated Supervisor of Locomotive Engineers is a person designated as such by a railroad in accordance with the provisions of 240.105 of this part. Drug means any substance (other than al

31、cohol) that has known mind or function-altering effects on a human subject, specifically including any psychoactive substance and including, but not limited to, controlled sub-stances. Dual purpose vehicle means a piece of on-track equipment that is capable of moving railroad rolling stock and may a

32、lso function as roadway maintenance equipment. EAP Counselor means a person quali-fied by experience, education, or train-ing to counsel people affected by sub-stance abuse problems and to evaluate their progress in recovering from or controlling such problems. An EAP Counselor can be a qualified fu

33、ll-time salaried employee of a railroad, a qualified practitioner who contracts with the railroad on a fee-for-service or other basis, or a qualified physician designated by the railroad to perform functions in connection with alcohol or substance abuse evaluation or coun-seling. As used in this rul

34、e, the EAP Counselor owes a duty to the railroad to make an honest and fully informed evaluation of the condition and progress of an employee. 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 on or after Sep-tember

35、 4, 2001, the date mailing was completed. FRA means the Federal Railroad Ad-ministration. FRA Representative means the Asso-ciate Administrator for Safety, FRA, and the Associate Administrators del-egate, including any safety inspector employed by the Federal Railroad Ad-ministration and any qualifi

36、ed state railroad safety inspector acting under part 212 of this chapter. Instructor Engineer means a person who (1) Is a qualified locomotive engineer under this part, (2) Has been selected by the railroad to teach others proper train handling procedures, and (3) Has demonstrated an adequate knowle

37、dge of the subjects under in-struction. Joint Operations means rail oper-ations conducted by more than one railroad on the same track regardless of whether such operations are the re-sult of (1) Contractual arrangement between the railroads, (2) Order of a governmental agency or a court of law, or (

38、3) Any other legally binding direc-tive. Knowingly means having actual knowledge of the facts giving rise to the violation or that a reasonable per-son acting in the circumstances, exer-cising due care, would have had such knowledge. Locomotive means a piece of on-track equipment (other than special

39、ized roadway maintenance equipment or a dual purpose vehicle operating in ac-cordance with 240.104(a)(2): (1) With one or more propelling mo-tors designed for moving other equip-ment; (2) With one or more propelling mo-tors designed to carry freight or pas-senger traffic or both; or (3) Without prop

40、elling motors but with one or more control stands. Locomotive engineer means any person who moves a locomotive or group of lo-comotives regardless of whether they VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00897 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with

41、 CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-888 49 CFR Ch. II (10110 Edition) 240.7 are coupled to other rolling equipment except: (1) A person who moves a locomotive or group of locomotives within the con-fines of a locomotive repair or serv

42、-icing area as provided for in 49 CFR 218.5 and 218.29(a)(1); or (2) A person who moves a locomotive or group of locomotives for distances of less than 100 feet and this incidental movement of a locomotive or loco-motives is for inspection or mainte-nance purposes. Main track means a track upon whic

43、h the operation of trains is governed by one or more of the following methods of operation: timetable; mandatory di-rective; signal indication; or any form of absolute or manual block system. Medical examiner means a person li-censed as a doctor of medicine or doc-tor of osteopathy. A medical examin

44、er can be a qualified full-time salaried employee of a railroad, a qualified practitioner who contracts with the railroad on a fee-for-service or other basis, or a qualified practitioner des-ignated by the railroad to perform functions in connection with medical evaluations of employees. As used in

45、this rule, the medical examiner owes a duty to the railroad to make an honest and fully informed evaluation of the condition of an employee. Newly hired employee is any person who is hired with no prior railroad ex-perience, or one with less than one year of experience in transportation service on t

46、hat railroad or another railroad. Person means an entity of any type covered under 1 U.S.C. 1, including but not limited to the following: a railroad; a manager, supervisor, official, or other employee or agent of a railroad; any owner, manufacturer, lessor, or lessee of railroad equipment, track, o

47、r facilities; any independent contractor providing goods or services to a rail-road; and any employee of such owner, manufacturer, lessor, lessee, or inde-pendent contractor. Qualified means a person who has passed all appropriate training and testing programs required by the rail-road and this part

48、 and who, therefore, has actual knowledge or may reason-ably be expected to have knowledge of the subject on which the person is qualified. Railroad means any form of non-highway ground transportation that runs on rails or electromagnetic guide-ways and any entity providing such transportation, incl

49、uding (1) Commuter or other short-haul railroad passenger service in a metro-politan or suburban area and com-muter railroad service that was oper-ated by the Consolidated Rail Corpora-tion on January 1, 1979; and (2) High speed ground transportation systems that connect metropolitan areas, without regard to whether those systems use new technologies not asso-ciated with traditional railroads; but does not include rapid transit oper-ations in an urban a