[Code of Federal Regulations]

[Title 49, Volume 4]

[Revised as of October 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 49CFR240.215]



[Page 750-751]

 

                        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;

    (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



[[Page 751]]



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]