[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR240.215]

[Page 628-629]
 
                        TITLE 49--TRANSPORTATION
 
       CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF 
                             TRANSPORTATION
 
PART 240--QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS--Table of Contents
 
         Subpart C--Implementation of the Certification Process
 
Sec. 240.215  Retaining information supporting determinations.

    (a) After the pertinent date in paragraphs (e), (f) or (g) of 
Sec. 240.201, a railroad that issues, denies, or revokes a certificate 
after making the determinations required under Sec. 240.203 shall 
maintain a record for each certified engineer or applicant for 
certification that contains the information the railroad relied on in 
making the determinations.
    (b) The information concerning eligibility that the railroad shall 
retain includes:
    (1) Any relevant data from the railroad's records concerning the 
person's prior safety conduct;
    (2) Any relevant data furnished by another railroad;

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    (3) Any relevant data furnished by a governmental agency concerning 
the person's motor vehicle driving record; and
    (4) Any relevant data furnished by the person seeking certification 
concerning his or her eligibility.
    (c) The information concerning vision and hearing acuity that the 
railroad shall retain includes:
    (1) The relevant test results data concerning acuity; and,
    (2) If applicable, the relevant data concerning the professional 
opinion of the railroad's medical examiner on the adequacy of the 
person's acuity.
    (d) The information concerning demonstrated knowledge that the 
railroad shall retain includes:
    (1) Any relevant data from the railroad's records concerning the 
person's success or failure of the passage of knowledge test(s); and
    (2) A sample copy of the written knowledge test or tests 
administered.
    (e) The information concerning demonstrated performance skills that 
the railroad shall retain includes:
    (1) The relevant data from the railroad's records concerning the 
person's success or failure on the performance skills test(s) that 
documents the relevant operating facts on which the evaluation is based 
including the observations and evaluation of the designated supervisor 
of locomotive engineers;
    (2) If a railroad relies on the use of a locomotive operations 
simulator to conduct the performance skills testing required under this 
part, the relevant data from the railroad's records concerning the 
person's success or failure on the performance skills test(s) that 
documents the relevant operating facts on which the determination was 
based including the observations and evaluation of the designated 
supervisor of locomotive engineers; and;
    (3) The relevant data from the railroad's records concerning the 
person's success or failure on tests the railroad performed to monitor 
the engineer's operating performance in accordance with Sec. 240.129.
    (f) If a railroad is relying on successful completion of an approved 
training program conducted by another entity, the relying railroad shall 
maintain a record for each certified engineer that contains the relevant 
data furnished by the training entity concerning the person's 
demonstration of knowledge and performance skills and relied on by the 
railroad in making its determinations.
    (g) If a railroad is relying on a certification decision initially 
made by another railroad, the relying railroad shall maintain a record 
for each certified engineer that contains the relevant data furnished by 
the other railroad which it relied on in making its determinations.
    (h) All records required under this section shall be retained for a 
period of six years from the date of the certification, recertification, 
denial or revocation decision and shall be made available to FRA 
representatives upon request during normal business hours.
    (i) It shall be unlawful for any railroad to knowingly or any 
individual to willfully:
    (1) Make, cause to be made, or participate in the making of a false 
entry on the record(s) required by this section; or
    (2) Otherwise falsify such records through material misstatement, 
omission, or mutilation.
    (j) Nothing in this section precludes a railroad from maintaining 
the information required to be retained under this section in an 
electronic format provided that:
    (1) The railroad adequately limits and controls those who have 
access to such information;
    (2) The railroad employs a system for data storage that permits 
reasonable access and retrieval of the information in usable format when 
requested to furnish data by FRA representatives; and
    (3) Information retrieved from the system can be easily produced in 
a printed format which can be readily provided to FRA representatives 
and authenticated by a designated representative of the railroad as a 
true and accurate copy of the railroad's records if requested to do so 
by FRA representatives.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993]

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