--(c)(3) Fitness requirement--      553 railroads........  2 self-referrals.....  10 minutes...........  .33..................       115.24        38.03
 Voluntarily self-referral by
 signal employee for substance
 abuse counseling or treatment
 under the policy required by Sec.
   219.1003 of this chapter.
--(d)(1)-(d)(2) Prior alcohol/drug  553 railroads........  1,535 certification    10 minutes...........  255.83...............       115.24    29,481.85
 conduct; Federal rule compliance.                          reviews.
--(d)(3)(i) Written determination   553 railroads........  30 written             1 hour...............  30.00................       115.24     3,457.20
 that most recent incident has                              determinations.
 occurred.
--(d)(3)(ii) Notification to        553 railroads........  30 notifications.....  30 minutes...........  15.00................        77.44     1,161.60
 person that recertification has
 been denied.

--(d)(4) Persons/conductors         553 railroads........  20 waived              10 minutes...........  3.33.................        77.44       257.88
 waiving investigation/de-                                  investigations.
 certifications.
246.117(a)-(c)--Vision acuity--     553 railroads........  400 records..........  2 minutes............  13.33................        71.89       958.29
 Determination vision standards
 met--Medical examiner certificate/
 record.
--(d)(1) Request for retest and     553 railroads........  10 records...........  2 minutes............  .33..................        71.89        23.72
 another medical evaluation--
 Medical examiner certificate/
 record.
--(d)(2) Railroad to provide a      553 railroads........  400 copies...........  5 minutes............  33.33................        71.89     2,396.09
 copy of this part to medical
 examiner.
--(d)(3) Consultations by medical   553 railroads........  5 consultations + 5    30 minutes + 10        3.33.................        71.89       239.39
 examiners with railroad officer                            conditional            minutes.
 and issue of conditional                                   certifications.
 certification.
--(g) Notification by certified     553 railroads........  1 notification.......  10 minutes...........  .17..................        71.89        12.22
 signal employee of deterioration
 of vision.
246.118--Hearing acuity--           553 railroads........  400 medical records..  2 minutes............  13.33................        71.89       958.29
 Determination hearing standards
 met--Medical records.
--(d)(1) Request for retest and     553 railroads........  10 records...........  2 minutes............  .33..................        71.89        23.72
 another medical evaluation--
 Medical examiner certificate/
 record.
--(d)(2) Railroad to provide a      553 railroads........  400 copies...........  5 minutes............  33.33................        71.89     2,396.09
 copy of this part to medical
 examiner.
--(d)(3) Consultations by medical   553 railroads........  5 consultations + 5    30 minutes + 10        3.33.................        71.89       239.39
 examiners with railroad officer                            conditional            minutes.
 and issue of conditional                                   certifications.
 certification.
--(g) Notification by certified     553 railroads........  25 notifications.....  10 minutes...........  4.17.................        71.89       299.78
 signal employee of deterioration
 of hearing.
                                   ---------------------------------------------------------------------------------------------------------------------
246.119(b)-(c)--Training            The paperwork burden for this requirement is covered under Sec.   246.101/.103.
 requirements--A railroad's
 election for the training of
 signal employees shall be stated
 in its certification program.
                                   ---------------------------------------------------------------------------------------------------------------------
--(d) Initial training program for  553 railroads........  184 training programs  3 hours..............  553.00...............       115.24    63,727.72
 previously untrained person to be
 a signal employee.
                                   ---------------------------------------------------------------------------------------------------------------------
--(d)(3) Modification to training   The paperwork burden for this requirement is outside the scope of the 3-year PRA review period.
 program when new safety-related
 railroad laws, regulations and
 etc. are introduced into the
 workplace.
                                   ---------------------------------------------------------------------------------------------------------------------
--(e) Relevant information or       The paperwork burden for this requirement is covered under Sec.   246.101/.103.
 materials on safety or other
 rules made available to
 certification candidates.
                                   ---------------------------------------------------------------------------------------------------------------------
--(f) and (g) Completion of         553 railroads........  3,781 written          10 minutes...........  630.17...............        77.44    48,800.36
 initial training program by a                              documents or records.
 person being certified as a
 signal employee--Written
 documentation showing completed
 training program that complies
 with paragraph (d) of this
 section.
                                   ---------------------------------------------------------------------------------------------------------------------
--(f)(3) Employee consultation      The paperwork burden for this requirement is covered under Sec.   246.119.
 with qualified supervisory
 employee if given written test to
 fulfill this requirement, the
 railroad must provide the
 certification candidate with an
 opportunity to consult with a
 qualified instructor to explain a
 question.
                                   ---------------------------------------------------------------------------------------------------------------------
--(h) Certification program is      The paperwork burden for this requirement is covered under Sec.   246.101/.103.
 submitted in accordance with the
 procedures and requirements
 described in Sec.   246.106.
                                   ---------------------------------------------------------------------------------------------------------------------
--(i) Familiarization training for  FRA anticipates zero submissions.
 signal employee of acquiring
 railroad from selling company/
 railroad prior to commencement of
 new operation.
                                   ---------------------------------------------------------------------------------------------------------------------
--(j) Continuing education of       553 railroads........  2,000 training         15 minutes...........  500.00...............        71.89    35,945.00
 certified signal employees.                                records.
                                   ---------------------------------------------------------------------------------------------------------------------
246.120--Requirements for           The paperwork burden for this requirement is covered under Sec.   246.119.
 qualification--Determining
 eligibility and.
                                   ---------------------------------------------------------------------------------------------------------------------
--(b) Notification by persons not   The paperwork burden for this requirement is covered under Sec.   246.119.
 qualified on the signal system.
                                   ---------------------------------------------------------------------------------------------------------------------
246.121(a)-(c)--Knowledge testing-- 553 railroads........  2,000 test records...  5 minutes............  166.67...............        77.44    12,906.92
 Determining eligibility.
--(d) Reexamination of the failed   553 railroads........  20 examination         5 minutes............  1.67.................        77.44       129.32
 test.                                                      records.

246.123(c)--Monitoring operational  553 railroads........  7,348 records........  2 minutes............  244.93...............        77.44    18,967.38
 performance--Unannounced
 compliance tests--Retention of a
 written record.
246.125--Certification              553 railroads........  11.00 determinations.  30 minutes...........  5.50.................        77.44       425.92
 determinations made by other
 railroads.
246.203(b)--Retaining information   553 railroads........  2,000 record           15 minutes...........  500.00...............        77.44    38,720.00
 supporting determination--Records.                         retentions.
--(g) Amended electronic records..  553 railroads........  2 amended record.....  15 minutes...........  .50..................        77.44        38.72
                                   ---------------------------------------------------------------------------------------------------------------------
246.205--List of certified signal   The paperwork requirement for this burden is covered under Sec.   246.105(c)(1)-(d)(1).
 employees and recordkeeping..
                                   ---------------------------------------------------------------------------------------------------------------------
246.207(a)-(f)--Certificate         The paperwork requirement for this burden is covered under Sec.   246.105(c)(2)-(d)(2).
 requirements.
                                   ---------------------------------------------------------------------------------------------------------------------
--(b) Notification by signal        553 railroads........  110 notifications....  30 seconds...........  .92..................        71.89        66.14
 employees that railroad request
 to serve exceeds certification.
--(g)-(h) Replacement of            553 railroads........  45 replacement         5 minutes............  3.75.................        77.44       290.40
 certificates.                                              certificates.
246.213(a)-(h)--Multiple            553 railroads........  3 notifications......  10 minutes...........  .50..................        77.44        38.72
 Certificates--Notification of
 denial of certification by
 individuals holding multiple
 certifications.
                                   ---------------------------------------------------------------------------------------------------------------------
--(i) In lieu of issuing multiple   The paperwork requirement for this burden is covered under Sec.   246.105.
 certificates, a railroad may
 issue one certificate to a person
 who is certified in multiple
 crafts.
                                   ---------------------------------------------------------------------------------------------------------------------
246.215--Railroad oversight         553 railroads........  17.33 annual reviews   8 hours..............  138.64...............       115.24    15,976.87
 responsibility--Review and                                 and analyses.
 analysis of administration of
 certification program.
--(d) Report of findings and        553 railroads........  2 reports............  4 hours..............  8.00.................       115.24       921.92
 conclusions reached during annual
 review by railroad to FRA (if
 requested in writing by FRA)
 review and analysis effort..
246.301(a)--Denial of               553 railroads........  6 notices + 3          1 hour...............  9.00.................        77.44       696.96
 certification--Notification to                             responses.
 candidate of information that and
 candidate response forms basis
 for denying certification.
--(b) Denial Decision               553 railroads........  6 notifications......  1 hour...............  6.00.................        77.44       464.64
 Requirements--Written
 notification of denial of
 certification by railroad to
 candidate.
246.307(b)(1)-(b)(4)--Process for   553 railroads........  15 suspended           30 minutes...........  7.50.................        77.44       580.80
 revoking certification--Immediate                          certification
 suspension of signal employee's                            letters and
 certification.                                             documentations.
                                   ---------------------------------------------------------------------------------------------------------------------
--(b)(5)-(b)(6) Determinations      The paperwork requirement for this burden is covered under Sec.   246.307(e).
 based on the record of the
 hearing, whether revocation of
 the certification is warranted.
                                   ---------------------------------------------------------------------------------------------------------------------
--(b)(7) Retention of record of     553 railroads........  15 records...........  15 minutes...........  3.75.................        77.44       290.40
 the hearing for three years after
 the date the decision is rendered.
--(d)(9) Hearing Procedures--       553 railroads........  3 written waivers....  10 minutes...........  .50..................        59.00        29.50
 Written waiver of right to
 hearing.
--(e) Revocation Decision           553 railroads........  15 written decisions   2 hours..............  30.00................       115.24     3,457.20
 Requirements--Written decisions                            and service of
 by railroad official.                                      decisions.
--(g) Revocation of certification   553 railroads........  3 revoked              10 minutes...........  .50..................       115.24        57.62
 based on information that another                          certifications.
 railroad has done so.
                                   ---------------------------------------------------------------------------------------------------------------------
--(j) Placing relevant information  The paperwork requirement for this burden is covered under Sec.   246.307(b)(7).
 in record if sufficient evidence
 meeting the criteria in paragraph
 (h) or (i) of this section
 becomes available.
                                   ---------------------------------------------------------------------------------------------------------------------
--(k) Good faith determination....  553 railroads........  3 good faith           1 hour...............  3.00.................        77.44       232.32
                                                            determinations.
                                   ---------------------------------------------------------------------------------------------------------------------
Subpart E--Dispute Resolution       The requirements under these provisions are exempted from the PRA under 5 CFR 1320.4(a)(2). Since these provisions
 Procedures--Sec.   246.401          pertain to an administrative action or investigation, there is no PRA burden associated with these requirements.
 through Sec.   246.411.
                                   ---------------------------------------------------------------------------------------------------------------------
Appendix A to Part 246--Procedures  The paperwork requirements described in this appendix are accounted for throughout this table.
 for Obtaining and Evaluating
 Motor Vehicle Driving Record Data.
                                   ---------------------------------------------------------------------------------------------------------------------
Appendix B to Part 246--Medical     The paperwork requirements described in this appendix are accounted for throughout this table.
 Standards Guidelines.
                                   ---------------------------------------------------------------------------------------------------------------------

    Totals \35\...................  553 railroads +        35,577 responses.....  N/A..................  7,682................          N/A      747,257
                                     ASLRRA and holding
                                     companies.
--------------------------------------------------------------------------------------------------------------------------------------------------------

    All estimates include the time for reviewing instructions;
searching existing data sources; gathering or maintaining the needed
data; and reviewing the information. Pursuant to 44 U.S.C.
3506(c)(2)(B), FRA solicits comments concerning: Whether these
information collection requirements are necessary for the proper
performance of the functions of FRA, including whether the information
has practical utility; the accuracy of FRA's estimates of the burden of
the information collection requirements; the quality, utility, and
clarity of the information to be collected; and whether the burden of
collection of information on those who are to respond, including
through the use of automated collection techniques or other forms of
information technology, may be minimized. For information or a copy of
the paperwork package submitted to OMB, contact Ms. Arlette Mussington,
Information Collection Clearance Officer, at email:
[email protected] or telephone:<PHONE_NUMBER> or Ms. Joanne
Swafford, Information Collection Clearance Officer, at email:
[email protected] or telephone:<PHONE_NUMBER>. Organizations and
individuals desiring to submit comments on the collection of
information requirements should direct them via email to Ms. Mussington
at [email protected] or Ms. Swafford at
[email protected].
---------------------------------------------------------------------------

    \34\ Throughout the tables in this document, the dollar
equivalent cost is derived from the 2020 Surface Transportation
Board's Full Year Wage A&B data series using the appropriate
employee group hourly wage rate that includes 75-percent overhead
charges.
    \35\ Totals may not add due to rounding.
---------------------------------------------------------------------------

    OMB is required to decide concerning the collection of information
requirements contained in this rule between 30 and 60 days after
publication of this document in the Federal Register. Therefore, a
comment to OMB is best assured of having its full effect if OMB
receives it within 30 days of publication. FRA is not authorized to
impose a penalty on persons for violating information collection
requirements that do not display a current OMB control number, if
required. FRA intends to obtain current OMB control numbers for any new
information collection requirements resulting from this rulemaking
action prior to the effective date of the final rule. The OMB control
number, when assigned, will be announced by separate notice in the
Federal Register.

D. Federalism Implications

    Executive Order 13132, Federalism,\36\ requires FRA to develop an
accountable process to ensure ``meaningful and timely input by State
and local officials in the development of regulatory policies that have
federalism implications.'' ``Policies that have federalism
implications'' are defined in the Executive Order to include
regulations that have ``substantial direct effects on the States, on
the relationship between the national government and the States, or on
the distribution of power and responsibilities among the various levels
of government.'' Under Executive Order 13132, the agency may not issue
a regulation with federalism implications that imposes substantial
direct compliance costs and that is not required by statute, unless the
Federal government provides the funds necessary to pay the direct
compliance costs incurred by State and local governments, the agency
consults with State and local governments, or the agency consults with
State and local government officials early in the process of developing
the regulation. Where a regulation has federalism implications and
preempts State law, the agency seeks to consult with State and local
officials in the process of developing the regulation.
---------------------------------------------------------------------------

    \36\ 64 FR 43255 (Aug. 10, 1999).
---------------------------------------------------------------------------

    FRA has analyzed this proposed rule in accordance with the
principles and criteria contained in Executive Order 13132. FRA has
determined that this proposed rule has no federalism implications,
other than the possible preemption of State laws under 49 U.S.C. 20106.
Therefore, the consultation and funding requirements of Executive Order
13132 do not apply, and preparation of a federalism summary impact
statement for the proposed rule is not required.

E. International Trade Impact Assessment

    The Trade Agreements Act of 1979 \37\ prohibits Federal agencies
from engaging in any standards or related activities that create
unnecessary obstacles to the foreign commerce of the United States.
Legitimate domestic objectives, such as safety, are not considered
unnecessary obstacles. The statute also requires consideration of
international standards and, where appropriate, that they be the basis
for U.S. standards. This proposed rule is purely domestic in nature and
is not expected to affect trade opportunities for U.S. firms doing
business overseas or for foreign firms doing business in the United
States.
---------------------------------------------------------------------------

    \37\ 19 U.S.C. Ch. 13.
---------------------------------------------------------------------------

F. Environmental Impact

    FRA has evaluated this proposed rule consistent with the National
Environmental Policy Act \38\ (NEPA), the Council on Environmental
Quality's NEPA implementing regulations,\39\ and FRA's NEPA
implementing regulations \40\ and determined that it is categorically
excluded from environmental review and therefore does not require the
preparation of an environmental assessment (EA) or environmental impact
statement (EIS). Categorical exclusions (CEs) are actions identified in
an agency's NEPA implementing regulations that do not normally have a
significant impact on the environment and therefore do not require
either an EA or EIS.\41\ Specifically, FRA has determined that this
proposed rule is categorically excluded from detailed environmental
review.\42\
---------------------------------------------------------------------------

    \38\ 42 U.S.C. 4321 et seq.
    \39\ 40 CFR parts 1500-1508.
    \40\ 23 CFR part 771.
    \41\ 40 CFR 1508.4.
    \42\ See 23 CFR 771.116(c)(15) (categorically excluding
``[p]romulgation of rules, the issuance of policy statements, the
waiver or modification of existing regulatory requirements, or
discretionary approvals that do not result in significantly
increased emissions of air or water pollutants or noise'').
---------------------------------------------------------------------------

    The main purpose of this rulemaking is to establish certification
requirements for signal employees. This rule would not directly or
indirectly impact any environmental resources and would not

result in significantly increased emissions of air or water pollutants
or noise. In analyzing the applicability of a CE, FRA must also
consider whether unusual circumstances are present that would warrant a
more detailed environmental review.\43\ FRA has concluded that no such
unusual circumstances exist with respect to this proposed rule and it
meets the requirements for categorical exclusion.\44\
---------------------------------------------------------------------------

    \43\ 23 CFR 771.116(b).
    \44\ 23 CFR 771.116(c)(15).
---------------------------------------------------------------------------

    Pursuant to Section 106 of the National Historic Preservation Act
and its implementing regulations, FRA has determined this undertaking
has no potential to affect historic properties.\45\ FRA has also
determined that this rulemaking does not approve a project resulting in
a use of a resource protected by Section 4(f).\46\ Further, FRA
reviewed this proposed rulemaking and found it consistent with
Executive Order 14008, ``Tackling the Climate Crisis at Home and
Abroad.''
---------------------------------------------------------------------------

    \45\ See 16 U.S.C. 470.
    \46\ See Department of Transportation Act of 1966, as amended
(Public Law 89-670, 80 Stat. 931); 49 U.S.C. 303.
---------------------------------------------------------------------------

G. Executive Order 12898 (Environmental Justice)

    Executive Order 12898, ``Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations,'' and DOT
Order 5610.2C \47\ require DOT agencies to achieve environmental
justice as part of their mission by identifying and addressing, as
appropriate, disproportionately high and adverse human health or
environmental effects, including interrelated social and economic
effects, of their programs, policies, and activities on minority
populations and low-income populations. The DOT Order instructs DOT
agencies to address compliance with Executive Order 12898 and
requirements within the DOT Order in rulemaking activities, as
appropriate, and also requires consideration of the benefits of
transportation programs, policies, and other activities where minority
populations and low-income populations benefit, at a minimum, to the
same level as the general population as a whole when determining
impacts on minority and low-income populations. FRA has evaluated this
proposed rule under Executive Order 12898 and the DOT Order and has
determined it would not cause disproportionately high and adverse human
health and environmental effects on minority populations or low-income
populations.
---------------------------------------------------------------------------

    \47\ Available at https://www.transportation.gov/sites/dot.gov/files/Final-for-OST-C-210312-003-signed.pdf.
---------------------------------------------------------------------------

H. Unfunded Mandates Reform Act of 1995

    Under section 201 of the Unfunded Mandates Reform Act of 1995,\48\
each Federal agency ``shall, unless otherwise prohibited by law, assess
the effects of Federal regulatory actions on State, local, and Tribal
governments, and the private sector (other than to the extent that such
regulations incorporate requirements specifically set forth in law).''
Section 202 of the Act \49\ further requires that ``before promulgating
any general notice of proposed rulemaking that is likely to result in
promulgation of any rule that includes any Federal mandate that may
result in the expenditure by State, local, and Tribal governments, in
the aggregate, or by the private sector, of $100,000,000 or more
(adjusted annually for inflation) in any 1 year, and before
promulgating any final rule for which a general notice of proposed
rulemaking was published, the agency shall prepare a written
statement'' detailing the effect on State, local, and Tribal
governments and the private sector. This proposed rule would not result
in the expenditure, in the aggregate, of $100,000,000 or more (as
adjusted annually for inflation) in any one year, and thus preparation
of such a statement is not required.
---------------------------------------------------------------------------

    \48\ Public Law 104-4, 2 U.S.C. 1531.
    \49\ 2 U.S.C. 1532.
---------------------------------------------------------------------------

I. Energy Impact

    Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' requires
Federal agencies to prepare a Statement of Energy Effects for any
``significant energy action.'' \50\ FRA evaluated this proposed rule
under Executive Order 13211 and determined that this regulatory action
is not a ``significant energy action'' within the meaning of Executive
Order 13211.
---------------------------------------------------------------------------

    \50\ 66 FR 28355 (May 22, 2001).
---------------------------------------------------------------------------

J. Privacy Act Statement

    In accordance with 5 U.S.C. 553(c), DOT solicits comments from the
public to better inform its rulemaking process. DOT posts these
comments, without edit, to www.regulations.gov, as described in the
system of records notice, DOT/ALL-14 FDMS, accessible through
www.dot.gov/privacy. To facilitate comment tracking and response, we
encourage commenters to provide their name, or the name of their
organization; however, submission of names is completely optional.
Whether or not commenters identify themselves, all timely comments will
be fully considered. If you wish to provide comments containing
proprietary or confidential information, please contact the agency for
alternate submission instructions.

K. Executive Order 13175 (Tribal Consultation)

    FRA has evaluated this proposed rule in accordance with the
principles and criteria contained in Executive Order 13175,
Consultation and Coordination with Indian Tribal Governments, dated
November 6, 2000. The proposed rule would not have a substantial direct
effect on one or more Indian Tribes, would not impose substantial
direct compliance costs on Indian Tribal governments, and would not
preempt Tribal laws. Therefore, the funding and consultation
requirements of Executive Order 13175 do not apply, and a Tribal
summary impact statement is not required.

List of Subjects in 49 CFR Part 246

    Administrative practice and procedure, Signal Employee, Penalties,
Railroad employees, Railroad safety, Reporting and recordkeeping
requirements.

The Proposed Rule

0
For the reasons discussed in the preamble, FRA proposes to amend
chapter II, subtitle B, of title 49 of the Code of Federal Regulations,
by adding part 246 to read as follows:

PART 246--CERTIFICATION OF SIGNAL EMPLOYEES

Sec.
Subpart A--General
246.1 Purpose and scope.
246.3 Application and responsibility for compliance.
246.5 Effect and construction.
246.7 Definitions.
246.9 Waivers.
246.11 Penalties and consequences for noncompliance.
Subpart B--Program and Eligibility Requirements
246.101 Certification program required.
246.103 FRA review of certification programs.
246.105 Implementation schedule for certification programs.
246.106 Requirements for certification programs.
246.107 Signal service classifications.
246.109 Determinations required for certification and
recertification.
246.111 Prior safety conduct as motor vehicle operator.

246.113 Prior safety conduct with other railroads.
246.115 Substance abuse disorders and alcohol drug rules compliance.
246.117 Vision acuity.
246.118 Hearing acuity.
246.119 Training requirements.
246.121 Knowledge testing.
246.123 Monitoring operational performance.
246.124 Mentoring.
246.125 Certification determinations made by other railroads.
Subpart C--Administration of the Certification Program
246.201 Time limitations for certification.
246.203 Retaining information supporting determinations.
246.205 List of certified signal employees and recordkeeping.
246.207 Certificate requirements.
246.213 Multiple certifications.
246.215 Railroad oversight responsibilities.
Subpart D--Denial and Revocation of Certification
246.301 Process for denying certification.
246.303 Criteria for revoking certification.
246.305 Periods of ineligibility.
246.307 Process for revoking certification.
Subpart E--Dispute Resolution Procedures
246.401 Review board established.
246.403 Petition requirements.
246.405 Processing certification review petitions.
246.407 Request for a hearing.
246.409 Hearings.
246.411 Appeals.
Appendix A to Part 246--Procedures for Obtaining and Evaluating
Motor Vehicle Driving Record Data
Appendix B to Part 246--Medical Standards Guidelines

    Authority: 49 U.S.C. 20103, 20107, 20162, 21301, 21304, 21311;
28 U.S.C. 2461 note; 49 CFR 1.89; and Public Law 110-432, sec. 402,
122 Stat. 4884.

Subpart A--General

Sec.  246.1  Purpose and scope.

    (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 Sec.  246.7, regardless of the fact that the
person may have a job classification title other than that of signal
employee.

Sec.  246.3  Application and responsibility for compliance.

    (a) This part applies to all railroads, except:
    (1) Railroads that do not have a signal system as defined in Sec.
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 Sec.  246.7);
    (3) Tourist, scenic, historic, or excursion operations conducted
only on track used exclusively for that purpose (i.e., there is no
freight, intercity passenger, or commuter passenger railroad operations
on the track) and only on track inside an installation that is insular;
i.e., the operations are limited to a separate enclave in such a way
that there is no reasonable expectation that the safety of the public--
except a business guest, a licensee of the railroad or an affiliated
entity, or a trespasser--would be affected by the operation. An
operation will not be considered insular, for purposes of this part, if
one or more of the following exists on its line:
    (i) A public highway-rail grade crossing that is in use;
    (ii) A public pathway grade crossing that is in use;
    (iii) An at-grade rail crossing that is in use;
    (iv) A bridge over a public road or waters used for commercial
navigation; or
    (v) A common corridor with a railroad, i.e., its operations are
within 30 feet of those of any railroad; 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 Sec.
246.7, who performs any function required by this part must perform
that function in accordance with this part.

Sec.  246.5  Effect and construction.

    (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.
    (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 Sec.  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.

Sec.  246.7  Definitions.

    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
Sec.  246.307 and denial of certification pursuant to Sec.  246.301 are
two examples in which a person would be ineligible to serve as a
certified signal employee. A period of ineligibility may end when a
condition or conditions are met, such as when a person meets the
conditions to serve as a certified signal employee following an alcohol
or drug violation pursuant to Sec.  246.115.
    Knowingly means having actual knowledge of the facts giving rise to
the violation or that a reasonable person acting in the circumstances,
exercising due care, would have had such knowledge.
    Medical examiner means a person licensed as a doctor of medicine or
doctor of osteopathy. A medical examiner 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 designated by the railroad to perform functions in
connection with medical evaluations of employees. As used in this rule,
the medical examiner owes a duty to make an honest and fully informed
evaluation of the condition of an employee.
    Mentor means a certified signal employee who has at least one year
of experience as a certified signal employee. For purposes of this
part, a mentor also provides direct supervision and oversight over the
work of one or more signal employees.
    On-the-job training means job training that occurs in the
workplace, i.e., the employee learns the job while doing the job.
    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, or
facilities; any independent contractor providing goods or services to a
railroad; and any employee of such owner, manufacturer, lessor, lessee,
or independent contractor.
    Physical characteristics means the actual track profile of and
physical location for points within a specific yard or route that
affect the movement of a locomotive or train. Physical characteristics
includes how signal systems and related technology are deployed within
the territory, for purposes of this part.
    Plant railroad means a plant or installation that owns or leases a
locomotive, uses that locomotive to switch cars throughout the plant or
installation, and is moving goods solely for use in the facility's own
industrial processes. The plant or installation could include track
immediately adjacent to the plant or installation if the plant railroad
leases the track from the general system railroad and the lease
provides for (and actual practice entails) the exclusive use of that
trackage by the plant railroad and the general system railroad for
purposes of moving only cars shipped to or from the plant. A plant or
installation that operates a locomotive to switch or move cars for
other entities, even if solely within the confines of the plant or
installation, rather than for its own purposes or industrial processes,
will not be considered a plant railroad because the performance of such
activity makes the operation part of the general railroad system of
transportation.
    Qualified instructor means a person who:
    (1) Has demonstrated, pursuant to the railroad's written program,
an adequate knowledge of the subjects under instruction;
    (2) Where applicable, has the necessary experience to effectively
instruct in the field;
    (3) Is a certified signal employee under this part; and
    (4) If the railroad has designated employee representation, has
been selected by a designated railroad officer, in concurrence with the
designated employee representative, or has a minimum of one year of
service working as a certified signal employee.
    Railroad means any form of nonhighway ground transportation that
runs on rails or electromagnetic guideways and any entity providing
such transportation, including:
    (1) Commuter or other short-haul railroad passenger service in a
metropolitan or suburban area and commuter railroad service that was
operated by the Consolidated Rail Corporation 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 associated with traditional railroads; but does not
include rapid transit operations in an urban area that are not
connected to the general railroad system of transportation.
    Railroad officer means any supervisory employee of a railroad.
    Serve or service, in the context of serving documents, has the
meaning given in Rule 5 of the Federal Rules of Civil Procedure as
amended. Similarly, the computation of time provisions in Rule 6 of the
Federal Rules of Civil Procedure as amended are also applicable in this
part. See also the definition of ``filing'' in this section.
    Signal employee means a person who is engaged in installing,
troubleshooting, testing, repairing, or maintaining railroad signal
systems or related technology.
    Signal system, for purposes of this part, includes the following:
block signal systems, cab signal systems, train control systems,
positive train control systems, highway-rail and pathway grade crossing
warning systems, unusual contingency detection devices, power-assisted
switches, broken rail detection systems, switch point indicators, as
well as other safety-related devices, appliances, technology, and
systems installed on the railroad in signaled or non-signaled
territory.
    Substance abuse disorder refers to a psychological or physical
dependence on alcohol or a drug, or another identifiable and treatable
mental or physical disorder involving the abuse of alcohol or drugs as
a primary manifestation. A substance abuse disorder is ``active''
within the meaning of this part if the person is currently using
alcohol or other drugs, except under medical supervision consistent
with the restrictions described in Sec.  219.103 of this chapter or has
failed to successfully complete primary treatment or successfully
participate in aftercare as directed by a DAC or SAP.
    Substance Abuse Professional (SAP) means a person who meets the
qualifications of a substance abuse professional, as provided in 49 CFR
part 40.
    Unusual contingency detection device means a device used in the
detection of defective conditions on locomotives and rolling stock
(e.g., high-wide load, hot or defective bearing, defective wheel
detectors) or other unsafe conditions (e.g., high-water, high wind,
sliding or slumping soil, rock or snow slide detectors). These devices
need not be connected to a signal system for this part to apply.

Sec.  246.9  Waivers.

    (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.

Sec.  246.11  Penalties and consequences for noncompliance.

    (a) Any person, as defined in Sec.  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 also 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.

Subpart B--Program and Eligibility Requirements

Sec.  246.101  Certification program required.

    (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 of certified signal service that comply with
the requirements in Sec.  246.107;
    (2) A procedure for evaluating prior safety conduct as a motor
vehicle operator that complies with the criteria established in Sec.
246.111;
    (3) A procedure for evaluating prior safety conduct with other
railroads that complies with the criteria established in Sec.  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 Sec.  246.115;
    (5) A procedure for evaluating visual and hearing acuity that
complies with the criteria established in Sec. Sec.  246.117 and
246.118;
    (6) A procedure for training that complies with the criteria
established in Sec.  246.119;
    (7) A procedure for knowledge testing that complies with the
criteria established in Sec.  246.121;
    (8) A procedure for monitoring operational performance that
complies with the criteria established in Sec.  246.123; and
    (9) A procedure for mentoring uncertified signal employees that
complies with the criteria established in Sec.  246.124.
    (c) Each certification program shall be version controlled. Any
change from the previous version of the certification program must be
tracked.

Sec.  246.103  FRA review of certification programs.

    (a) Certification program submission schedule for railroads with
signal systems in operation. With the exception of railroads exempted
by Sec.  246.3(a), each railroad with a signal system in operation as
of [EFFECTIVE DATE OF FINAL RULE] shall submit its signal employee
certification program to FRA, in accordance with the procedures and
requirements contained in Sec.  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 [DATE 8 MONTHS AFTER
EFFECTIVE DATE OF FINAL RULE].
    (2) All Class II railroads and Class III railroads (including a
switching and terminal or other railroad not otherwise classified)
shall submit their programs to FRA no later than [DATE 16 MONTHS AFTER
EFFECTIVE DATE OF FINAL RULE].
    (b) Certification program submission for new railroads. Each
railroad that commences operations after [EFFECTIVE DATE OF FINAL RULE]
shall submit, and obtain approval of, its written signal employee
certification program to FRA, in accordance with the procedures and
requirements contained in Sec.  246.106, prior to installing,
implementing, or operating a signal system subject to this part.
    (c) Method for submitting certification programs to FRA. Railroads
must submit their written certification programs and their requests for
approval (described in Sec.  246.106(a)) by uploading the program to
FRA's secure document submission site.
    (d) Each railroad that submits a program to FRA must:
    (1) Simultaneously with its submission, provide a copy of the
program and the request for 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 railroad has provided a copy of the program and request for
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, along with a list of the names
and email addresses of each president of a labor organization who was
provided a copy of the program.
    (e) Comment period. Any designated representative of signal
employees subject to this part or any directly affected person who does
not have a designated representative may comment on a railroad's
program provided that:
    (1) The comment is submitted no later than 45 days after the date
the program was submitted to FRA;
    (2) The comment includes a concise statement of the commenter's
interest in the matter;
    (3) The commenter affirms that a copy of the comment was provided
to the railroad; and
    (4) The comment was emailed to [email protected].
    (f) FRA review period. Upon receipt of a complete program, FRA will
commence a thorough review of the

program to ensure that it satisfies all of the requirements under this
part.
    (1) If FRA determines that the program satisfies all of the
requirements under this part, FRA will issue a letter notifying the
railroad that its program has been approved. Such letter will typically
be issued within 90 days of the date the program was submitted to FRA.
    (2) If FRA determines that the program does not satisfy all of the
requirements under this part, FRA will issue a letter notifying the
railroad that its program has been disapproved. Such letter will
typically be issued within 90 days of the date the program was
submitted to FRA and will identify the deficiencies found in the
program that must be corrected before the program can be approved.
After addressing these deficiencies, railroads can resubmit their
programs in accordance with paragraph (h) of this section.
    (3) If a railroad does not receive an approval or disapproval
letter from FRA within 90 days of the date the program was submitted to
FRA, FRA's decision on the program will remain pending until such time
that FRA issues a letter either approving or disapproving the program.
A certification program is not approved until FRA issues a letter
approving the program.
    (g) Material modifications. A railroad that intends to make one or
more material modifications to its FRA-approved program must submit a
description of how it intends to modify the program and a copy of the
modified program which indicates changes from the last approved
version.
    (1) A modification is material if it would affect the program's
conformance with this part.
    (2) The description of the modification and the modified program
must conform with the procedures and requirements contained in Sec.
246.106.
    (3) The process for submission and review of material modifications
shall conform with paragraphs (c) through (f) of this section.
    (4) A railroad shall not implement a material modification to its
program until FRA issues its approval of the material modification in
accordance with paragraph (f)(1) of this section.
    (h) Resubmissions. If FRA disapproves a railroad's program or
material modification, as described in paragraph (f)(2) of this
section, the railroad may resubmit its program or material modification
after addressing all of the deficiencies noted by FRA.
    (1) The resubmission must conform with the procedures and
requirements contained in Sec.  246.106.
    (2) The process for submission and review of resubmitted programs
and resubmitted material modifications shall conform with paragraphs
(c) through (f) of this section.
    (3) The following deadlines apply for railroads that have their
programs or material modifications disapproved by FRA:
    (i) For a railroad that submitted its program pursuant to paragraph
(a) of this section, the railroad must resubmit its program within 30
days of the date that FRA notified the railroad of the deficiencies in
its program. If a railroad fails to resubmit its program within this
timeframe and continues its rail operations, FRA may consider such
actions to be a failure to implement a program.
    (ii) For a railroad that submitted its program pursuant to
paragraph (b) of this section, there is no FRA-imposed deadline for
resubmitting its program. However, pursuant to Sec.  246.105(b), the
railroad shall not install, implement, or operate signal systems
subject to this part until its program has been approved by FRA.
    (iii) For a railroad that submitted a material modification to its
FRA-approved program, there is no FRA-imposed deadline for resubmitting
the material modification. However, pursuant to paragraph (g)(4) of
this section, the railroad cannot implement the material modification
until it has been approved by FRA.
    (i) Rescinding prior approval of program. FRA reserves the right to
revisit its prior approval of a railroad's program at any time.
    (1) If upon such review FRA discovers deficiencies in the program,
FRA shall issue the railroad a letter rescinding its prior approval of
the program and notifying the railroad of the deficiencies in its
program that must be addressed.
    (2) Within 30 days of FRA notifying the railroad of the
deficiencies in its program, the railroad must address these
deficiencies and resubmit its program to FRA. The resubmitted program
must conform with the procedures and requirements contained in Sec.
246.106.
    (3) The process for submission and review of resubmitted programs
under this paragraph shall conform with paragraphs (c) through (f) of
this section.
    (4) If a railroad fails to resubmit its program to FRA within the
timeframe prescribed in paragraph (i)(2) of this section and the
railroad continues its rail operations, FRA may consider such actions
to be a failure to implement a program.
    (5) If FRA issues a letter disapproving the railroad's resubmitted
program, the railroad shall continue to resubmit its program in
accordance with this paragraph (i).
    (6) A program that has its approval rescinded under paragraph
(i)(1) of this section may remain in effect until whichever of the
following happens first:
    (i) FRA approves the railroad's resubmitted program; or
    (ii) FRA disapproves the railroad's second attempt at resubmitting
its program.
    (7) If FRA disapproves a railroad's second attempt at resubmitting
its program under this paragraph and the railroad continues its rail
operations, FRA may consider such actions to be a failure to implement
a program.
    (j) Availability of certification program documents. The following
documents will be available on FRA's website (railroads.dot.gov):
    (1) A railroad's originally submitted program, a resubmission of
its program, or a material modification of its program;
    (2) Any comments, submitted in accordance with paragraph (e) of
this section, to a railroad's originally submitted program, a
resubmission of its program, or a material modification of its program;
and
    (3) Any approval or disapproval letter issued by FRA in response to
a railroad's originally submitted program, a resubmission of its
program, or a material modification of its program.

Sec.  246.105  Implementation schedule for certification programs.

    (a) Each railroad that submits its signal employee certification
program to FRA in accordance with Sec.  246.103(a), must comply with 49
CFR parts 233, 234, 235, and 236 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 Sec.  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 [DATE 8 MONTHS AFTER EFFECTIVE DATE OF FINAL RULE], 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 or, if

applicable, each category or subcategory of certified signal employee
identified by the railroad pursuant to Sec.  246.107 as of [EFFECTIVE
DATE OF FINAL RULE]; and
    (2) Issue a certificate that complies with Sec.  246.207 to each
person that it designates.
    (d) After [DATE 8 MONTHS AFTER EFFECTIVE DATE OF FINAL RULE], 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 or, if applicable, any category or
subcategory of certified signal employee identified by the railroad
pursuant to Sec.  246.107 between [EFFECTIVE DATE OF FINAL RULE] and
the date FRA approves the railroad's certification program; and
    (2) Issue a certificate that complies with Sec.  246.207 to each
person that it designates.
    (e) After [DATE 8 MONTHS AFTER EFFECTIVE DATE OF FINAL RULE], 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 and evaluated
in accordance with procedures that comply with subpart B of this part.
    (1) Except as provided in paragraph (f)(3) of this section, a
person who has been designated as a certified signal employee under the
provisions of paragraph (c) or (d) of this section and who is eligible
to receive a retirement pension in accordance with the terms of an
applicable agreement or in accordance with the terms of the Railroad
Retirement Act (45 U.S.C. 231) within three years from the date the
certifying railroad's program is approved, may request, in writing,
that a railroad not recertify that person, pursuant to subpart B of
this part, until three years from the date the certifying railroad's
program is approved.
    (2) Upon receipt of a written request pursuant to paragraph (f)(1)
of this section, a railroad may wait to recertify the person making the
request until the end of the three-year period after FRA has approved
the railroad's certification program. If a railroad grants any request,
it must grant request all eligible persons to every extent possible.
    (3) A person who is subject to recertification under part 240 or
242 of this chapter may not make a request pursuant to paragraph (f)(1)
of this section.
    (g) After a railroad's certification program has been approved by
FRA, the railroad shall only certify or recertify a person as a signal
employee if that person has been tested and evaluated in accordance
with procedures that comply with subpart B of this part.

Sec.  246.106  Requirements for certification programs.

    (a) Railroad certification program submission. (1) A railroad's
certification program submission must include a copy of its
certification program and a request for approval.
    (2) The request for approval can be in letter or narrative format.
    (3) A railroad will receive approval or disapproval notices from
FRA by email.
    (4) 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 the
six sections described 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 certification program must
contain the name of the railroad, the person to be contacted to discuss
that section (including the person's name, title, telephone number, and
email address), and a statement electing either to accept
responsibility for training persons not previously certified as signal
employees or to not accept this responsibility.
    (ii) If a railroad elects not to provide certification training to
persons not previously certified as signal employees, the railroad will
be limited to recertifying signal employees initially certified by
another railroad. A railroad may change its election by obtaining FRA
approval of a material modification to its certification program in
accordance with Sec.  246.103(g).
    (iii) If a railroad elects to accept responsibility for training
persons not previously certified as signal employees, the railroad must
submit information on how such persons will be trained but is not
required to actually perform such training. A railroad that elects to
accept responsibility for the training of such persons may authorize
another railroad or a non-railroad entity to provide the training. The
electing railroad remains responsible for ensuring that the authorized
training provider(s) adhere to the training program the railroad
submits.
    (iv) If a railroad elects to classify its certified signal
employees into more than one occupational category or subcategory by
class, task, location, or other suitable terminology, the railroad
shall include the following in this section of its certification
program:
    (A) An up-to-date list and description of each occupational
category or subcategory of certified signal employee;
    (B) A statement of the roles and responsibilities of each
occupational category or subcategory of certified signal employee; and
    (C) A detailed list of the safety-related tasks and subtasks
performed by each category or subcategory of certified signal employee.
    (2) Section Two of the certification program: Training previously
certified signal employees. The second section of the certification
program must contain information concerning the railroad's program for
training previously certified signal employees, including all of the
following information:
    (i) As provided for in Sec.  246.119(j), each railroad must have a
program for the ongoing education of its certified signal employees to
ensure that they maintain the necessary knowledge concerning all
applicable Federal safety laws, regulations, and orders; knowledge
concerning all applicable railroad signal system safety and operating
rules; and knowledge concerning all applicable standards, procedures,
and instructions for the installation, operation, testing, maintenance,
troubleshooting, and repair of signal systems and related technology
deployed on the railroad. The railroad must describe in this section of
its certification program how it will ensure that its certified signal
employees maintain the necessary knowledge and skills to safely
discharge their responsibilities so as to comply with the standard set
forth in Sec.  246.119(j);
    (ii) In accordance with Sec.  246.119(h), the railroad must provide
sufficient detail in the second section of its certification program to
permit effective evaluation of the contents and scope of the railroad's
training program on the signal systems and signal-related technology
deployed on its territory. FRA anticipates that railroads will address,
in this section of their

certification programs, the frequency and duration of training sessions
(including the interval between attendance at such training sessions),
the training environment(s) that will be employed (e.g., classroom,
computer-based training, use of film or slide presentations, or on-the-
job training) and which aspects of the training program will be
voluntary or mandatory;
    (iii) How the training will address a certified signal employee's
loss of retained knowledge over time; and
    (iv) How the training will address changed circumstances over time,
such as the introduction of new or modified signal system equipment and
related technology (including software modifications), so as to comply
with the training standard set forth in Sec.  246.119.
    (3) Section Three of the certification program: Testing and
evaluating previously certified signal employees. The third section of
the certification program must contain information about the railroad's
program for testing and evaluating previously certified signal
employees, including all of the following information:
    (i) The railroad must describe in this section how it will ensure
that its previously certified signal employees demonstrate their
knowledge concerning the safe discharge of their responsibilities, so
as to comply with the standards set forth in Sec.  246.121; and
    (ii) The railroad must describe in this section how it will have
ongoing testing and evaluation to ensure that its previously certified
signal employees have the required vision and hearing acuity as
provided in Sec. Sec.  246.117 and 246.118. This section must also
address how the railroad will ensure that its medical examiners have
sufficient information concerning the railroad's operations, as well as
the safety-related tasks performed by certified signal employees, to
allow for effective and appropriate determinations about the ability of
a particular individual to safely perform as a certified signal
employee.
    (4) Section Four of the certification program: Training, testing,
and evaluating persons who have not been certified as signal employees.
Unless a railroad has made an election not to accept responsibility for
conducting the initial signal employee certification training, the
fourth section of the certification program must contain information
about the railroad's program for educating, testing, and evaluating
persons who have not been previously certified as signal employees,
including all of the following information:
    (i) As provided for in Sec.  246.119, a railroad that is issuing an
initial signal employee certification to a person must have a program
for the training, testing, and evaluation of its signal employee
certification candidates to ensure that they acquire the necessary
knowledge and skills. A railroad must describe in this section of its
certification program how it will ensure that its signal employee
certification candidates acquire sufficient knowledge and skills and
demonstrate their knowledge and skills concerning the safe discharge of
their responsibilities. A railroad must also discuss in this section of
its certification program its procedures for mentoring candidates for
signal employee certification, in accordance with Sec.  246.124;
    (ii) This section of the railroad's certification program must
contain the same level of detail concerning the initial training
program and testing and evaluation of previously uncertified signal
employees as is required for previously certified signal employees in
Sec.  246.106(b)(2) and (3) (Sections Two and Three of the railroad's
certification program);
    (iii) Railroads that elect to rely on other entities to conduct
signal employee certification training away from the railroad's own
territory must explain how training will be provided to signal employee
certification candidates on the signal systems and related technology
deployed on the railroad's territory.
    (5) Section Five of the certification program: Monitoring
operational performance by certified signal employees. The fifth
section of the certification program must contain information about the
railroad's program for monitoring the operational performance of its
certified signal employees, including all of the following information:
    (i) Section 246.123 requires that a railroad conduct ongoing
monitoring of its certified signal employees and that each certified
signal employee have an annual unannounced compliance test. A railroad
must describe in this section of its certification program how the
railroad will ensure that it has an ongoing program for monitoring its
certified signal employees that requires them to demonstrate their
ability to safely discharge their responsibilities.
    (ii) A railroad must describe in this section the scoring system
used by the railroad during operational monitoring observations and
unannounced compliance tests that are administered in accordance with
Sec.  246.123.
    (6) Section Six of the certification program: Procedures for
routine administration of the signal employee certification program.
The final section of the certification program must contain a summary
of how the railroad's program and procedures will implement various
aspects of the regulatory provisions in this part that relate to the
routine administration of the railroad's certification program for
signal employees. Specifically, this section must address the
procedural aspects of the following provisions and must describe the
manner in which the railroad will implement its program so as to comply
with each of the following provisions:
    (i) Section 246.301 which provides that each railroad must have
procedures for review and comment on adverse information;
    (ii) Sections 246.111, 246.113, 246.115, and 246.303 which require
each railroad to have procedures for evaluating data concerning prior
safety conduct as a motor vehicle operator and as a railroad worker;
    (iii) Sections 246.109, 246.201, and 246.301 which place a duty on
the railroad to make a series of determinations. When describing how it
will implement its certification program to comply with these sections,
a railroad must describe: the procedures it will utilize to ensure that
all of the necessary determinations have been made in a timely fashion;
who will be authorized by the railroad to determine whether a person
will or will not be certified; and how the railroad will communicate
adverse decisions;
    (iv) Sections 246.109, 246.117, 246.118, 246.119, and 246.121,
which place a duty on the railroad to make a series of determinations.
When describing how the railroad will implement its program to comply
with these sections, a railroad must describe how it will document the
factual basis the railroad relied upon when making determinations under
these sections;
    (v) Section 246.124 which require each railroad to have procedures
for mentoring signal employees who have not been certified;
    (vi) Section 246.125 which permits reliance on signal employee
certification determinations made by other railroads; and
    (vii) Sections 246.207 and 246.307 which contain the requirements
for replacing lost certificates and the conduct of certification
revocation proceedings.

Sec.  246.107  Signal service classifications.

    (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 certified signal employee 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) No railroad shall permit a certified signal employee to work on
a signal system or signal-related technology on which the employee has
not been certified, unless the certified signal employee works under
the direct oversight and supervision of a mentor in accordance with
Sec.  246.124.

Sec.  246.109  Determinations required for certification and
recertification.

    (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 Sec. Sec.  246.111 and 246.113;
    (2) The individual meets the eligibility requirements of Sec. Sec.
246.115 and 246.303;
    (3) The individual meets the vision and hearing acuity standards of
Sec. Sec.  246.117 and 246.118;
    (4) If applicable, the individual has completed a training program
that meets the requirements of Sec.  246.119;
    (5) The individual has the necessary knowledge, as demonstrated by
successfully completing testing and practical demonstration that meet
the requirements of Sec.  246.121.
    (b) Nothing in this section, Sec.  246.111, or Sec.  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 Sec.  246.111 or Sec.  246.113.

Sec.  246.111  Prior safety conduct as motor vehicle operator.

    (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 Sec.
246.109(a)(1) through (5).
    (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 Sec.
246.109(a)(1) through (5).
    (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
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 Sec.  246.109(a)(1) through (5).
    (f) Except for persons designated as signal employees under Sec.
246.105(c) or (d) or for persons covered by paragraph (j) of this
section, each person seeking certification or recertification under
this part shall, within one year prior to the date of the railroad's
decision on certification or recertification:
    (1) Take the actions required by paragraphs (g) through (i) of this
section to make information concerning their driving record available
to the railroad that is considering such certification or
recertification; and
    (2) Take any additional actions, including providing any necessary
consent required by State, Federal, or foreign law to make information
concerning their driving record available to that railroad.
    (g) Each person seeking certification or recertification under this
part shall request, in writing, that the chief of each driver licensing
agency identified in paragraph (h) of this section provide a copy of
that agency's available information concerning their driving record to
the railroad that is considering such certification or recertification.
    (h) Each person shall request the information required under
paragraph (g) of this section from:
    (1) The chief of the driver licensing agency of any jurisdiction,
including a State or foreign country, which last issued that person a
driver's license; and
    (2) The chief of the driver licensing agency of any other
jurisdiction, including states or foreign countries, that issued or
reissued the person a driver's license within the preceding five years.
    (i) If advised by the railroad that a driver licensing agency has
informed the railroad that additional information concerning that
person's driving history may exist in the files of a State agency or
foreign country not previously contacted in accordance with this
section, such person shall:
    (1) Request in writing that the chief of the driver licensing
agency which compiled the information provide a copy of the available
information to the prospective certifying railroad; and
    (2) Take any additional action required by State, Federal, or
foreign law to obtain that additional information.
    (j) Any person who has never obtained a motor vehicle driving
license is not required to comply with the provisions of paragraph (g)
of this section but shall notify the railroad of that fact in
accordance with procedures established by the railroad in its
certification program.
    (k) Each certified signal employee or person seeking certification
as a signal employee shall report motor vehicle incidents described in
paragraphs (m)(1) and (2) of this section to their employer(s) (if
employed by a railroad or contractor to a railroad), all prospective
certifying railroads (if applicable), and all railroad(s) with whom the
person holds a signal employee certificate within 48 hours of:
    (1) Being convicted for such violations, or
    (2) A completed State action to cancel, revoke, suspend, or deny a
motor vehicle driver's license for such violations. For purposes of
this paragraph and paragraph (m) of this section, ``State action''
means action of the jurisdiction that has issued the motor vehicle
driver's license, including a foreign country. For purposes of signal
employee certification, no railroad shall require reporting earlier
than 48 hours

after the conviction, or completed State action to cancel, revoke,
suspend, or deny a motor vehicle driver's license.
    (l) When evaluating a person's motor vehicle driving record, a
railroad shall not consider information concerning motor vehicle
driving incidents that occurred:
    (1) Prior to the effective date of this rule; or
    (2) More than three years before the date of the railroad's
certification decision; or
    (3) At a time other than that specifically provided for in Sec.
246.111, Sec.  246.113, Sec.  246.115, or Sec.  246.303.
    (m) A railroad shall only consider information concerning the
following types of motor vehicle incidents:
    (1) A conviction for, or completed State action to cancel, revoke,
suspend, or deny a motor vehicle driver's license for operating a motor
vehicle while under the influence of, or impaired by, alcohol or a
controlled substance; or
    (2) A conviction for, or completed State action to cancel, revoke,
suspend, or deny a motor vehicle driver's license for refusal to
undergo such testing as is required by State or foreign law when a law
enforcement official seeks to determine whether a person is operating a
vehicle while under the influence of alcohol or a controlled substance.
    (n) If such an incident, described in paragraph (m) of this
section, is identified:
    (1) The railroad shall provide the data to the railroad's Drug and
Alcohol Counselor (DAC), together with any information concerning the
person's railroad service record, and shall refer the person for
evaluation to determine if the person has an active substance abuse
disorder.
    (2) The person shall cooperate in the evaluation and shall provide
any requested records of prior counseling or treatment for review
exclusively by the DAC in the context of such evaluation.
    (3) If the person is evaluated as not currently affected by an
active substance abuse disorder, the subject data shall not be
considered further with respect to certification. However, the railroad
shall, on recommendation of the DAC, condition certification upon
participation in any needed aftercare and/or follow-up testing for
alcohol or drugs deemed necessary by the DAC consistent with the
technical standards specified in 49 CFR part 219, subpart H, as well as
49 CFR part 40.
    (4) If the person is evaluated as currently affected by an active
substance abuse disorder, the provisions of Sec.  246.115(c) will
apply.
    (5) If the person fails to comply with the requirements of
paragraph (n)(2) of this section, the person shall be ineligible to
perform as a certified signal employee until such time as the person
complies with the requirements.
    (o) Each railroad shall adopt and comply with a program meeting the
requirements of this section. When any person (including, but not
limited to, each railroad, railroad officer, supervisor, and employee)
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.

Sec.  246.113  Prior safety conduct with other railroads.

    (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 Sec.  246.111
within the three years preceding the date of the request;
    (2) Information about that person's compliance with Sec.  246.115
within the five years preceding the date of the request; and
    (3) Information about that person's compliance with Sec.  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 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 after receipt of a written request that complies with
paragraph (c) of this section, the railroad shall provide an
explanation, in writing, of why it cannot provide the information
within the requested time frame. If the railroad will ultimately be
able to provide the requested information, the explanation shall state
approximately how much more time the railroad needs to supply the
requested information. If the railroad will not be able to provide the
requested information, the railroad shall provide an adequate
explanation for why it cannot provide this information. Copies of this
explanation shall be provided to the railroad designated in the written
request and to the person who submitted the written request for
information.
    (g) When evaluating a person's prior safety conduct with a
different railroad, a railroad shall not consider information
concerning prior safety conduct that occurred:
    (1) Prior to [EFFECTIVE DATE OF FINAL RULE]; or
    (2) At a time other than that specifically provided for in Sec.
246.111, Sec.  246.113, Sec.  246.115, or Sec.  246.303.
    (h) Each railroad shall adopt and comply with a program that
complies with 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 contractor) violates any
requirement of a program that complies with the requirements of this
subject, that person shall be considered to have violated the
requirements of this section.

Sec.  246.115  Substance abuse disorders and alcohol drug rules
compliance.

    (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 (f) 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 Sec.  246.111), the employee may, if
otherwise eligible, voluntarily self-refer for substance abuse
counseling or treatment under the policy required by Sec.
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 documentation of any
incident of conduct described in this paragraph (d).
    (2) A railroad shall consider any violation of Sec.  219.101 or
Sec.  219.102 of this chapter and any refusal to provide a breath or
body fluid sample for testing under the requirements of part 219 of
this chapter when instructed to do so by a railroad representative.
    (3) A period of ineligibility described in this section shall
begin:
    (i) For a person not currently certified, on the date of the
railroad's written determination that the most recent incident has
occurred; or
    (ii) For a person currently certified, on the date of the
railroad's notification to the person that recertification has been
denied or certification has been suspended.
    (4) The period of ineligibility described in this section shall be
determined in accordance with the following standards:
    (i) In the case of one violation of Sec.  219.102 of this chapter,
the person shall be ineligible to hold a certificate during evaluation
and any required primary treatment as described in paragraph (e) of
this section. In the case of two violations of Sec.  219.102 of this
chapter, the person shall be ineligible to hold a certificate for a
period of two years. In the case of more than two such violations, the
person shall be ineligible to hold a certificate for a period of five
years.
    (ii) In the case of one violation of Sec.  219.102 of this chapter
and one violation of Sec.  219.101 of this chapter, the person shall be
ineligible to hold a certificate for a period of three years.
    (iii) In the case of one violation of Sec.  219.101 of this
chapter, the person shall be ineligible to hold a certificate for a
period of nine months (unless identification of the violation was
through a qualifying referral program described in Sec.  219.1001 of
this chapter and the signal employee waives investigation, in which
case the certificate shall be deemed suspended during evaluation and
any required primary treatment as described in paragraph (e) of this
section). In the case of two or more violations of Sec.  219.101 of
this chapter, the person shall be ineligible to hold a certificate for
a period of five years.
    (iv) If a person refuses to provide a breath or body fluid sample
for testing under the requirements of part 219 of this chapter when
instructed to do so by a railroad representative, the person shall be
ineligible to hold a certificate for a period of nine months.
    (e) Future eligibility to hold certificate following alcohol/drug
violation. The following requirements apply to a person who has been
denied certification or who has had their certification suspended or
revoked as a result of conduct described in paragraph (d) of this
section:
    (1) The person shall not be eligible for grant or reinstatement of
the certificate unless and until the person has:
    (i) Been evaluated by a Substance Abuse Professional (SAP) to
determine if the person currently has an active substance abuse
disorder;
    (ii) Successfully completed any program of counseling or treatment
determined to be necessary by the SAP prior to return to service; and
    (iii) In accordance with the testing procedures of 49 CFR part 219,
subpart H, has had a return-to-duty alcohol test with an alcohol
concentration of less than .02 and a return-to-duty body fluid sample
that tested negative for controlled substances.
    (2) A certified signal employee placed in service or returned to
service under the above-stated conditions shall continue in any program
of counseling or treatment deemed necessary by the SAP and shall be
subject to a reasonable program of follow-up alcohol and drug testing
without prior notice for a period of not more than five years following
return to service. Follow-up tests shall include not fewer than six
alcohol tests and six drug tests during the first year following return
to service.
    (3) Return-to-duty and follow-up alcohol and drug tests shall be
performed consistent with the requirements of 49 CFR part 219, subpart
H.
    (4) This paragraph (e) does not create an entitlement to utilize
the services of a railroad SAP, to be afforded leave from employment
for counseling or treatment, or to employment as a signal employee. Nor
does it restrict any discretion available to the railroad to take
disciplinary action based on conduct described herein.
    (f) Confidentiality protected. Nothing in this part shall affect
the responsibility of the railroad under Sec.  219.1003(f) of this
chapter to treat qualified referrals for substance abuse counseling and
treatment as confidential; and the certification status of a signal
employee who is successfully assisted under the procedures of that
section shall not be adversely affected. However, the railroad shall
include in its referral policy, as required pursuant to Sec.
219.1003(j) of this chapter, a provision that, at least with respect to
a certified signal employee or a candidate for certification, the
policy of confidentiality is waived (to the extent that the railroad
shall receive from the SAP or DAC official notice of the substance
abuse disorder and shall suspend or revoke the certification, as
appropriate) if the person at any time refuses to cooperate in a
recommended course of counseling or treatment.
    (g) Complying with certification program. Each railroad shall adopt
and comply with a program meeting the requirements of this section.
When any person (including, but not limited to, each railroad, railroad
officer, supervisor, and employee) 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.

Sec.  246.117  Vision acuity.

    (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 medical
examiner concludes that, despite not meeting the threshold(s) in
paragraph (c) of this section, the person has the ability to safely
perform as a certified signal employee, the railroad may conclude that
the person satisfies the vision acuity requirements of this section to
be a certified signal employee. Such certification will be conditioned
on any special restrictions the medical examiner determines in writing
to be necessary.
    (e) In order to make the determination required under paragraph (a)
of this section, a railroad shall have on file the following for each
certification candidate:
    (1) A medical examiner's certificate that the candidate has been
medically examined and either does or does not meet the vision acuity
standards prescribed in paragraph (c) of this section.
    (2) If necessary under paragraph (d) of this section, a medical
examiner's written professional opinion which states the basis for
their determination that:
    (i) The candidate can be certified, under certain conditions if
necessary, even though the candidate does not meet the vision acuity
standards prescribed in paragraph (c) of this section; or
    (ii) The candidate's vision acuity prevents the candidate from
being able to safely perform as a certified signal employee.
    (f) If the examination required under this section shows that the
person needs corrective lenses to meet the standards for vision acuity
prescribed in this section and appendix B to this part, that person
shall use corrective lenses at all times while performing as a
certified signal employee unless the railroad's medical examiner
subsequently determines in writing that the person can safely perform
as a certified signal employee without corrective lenses.
    (g) When a certified signal employee becomes aware that their
vision has deteriorated, they shall notify the railroad's medical
department or other appropriate railroad official of the deterioration.
Such notification must occur prior to performing any subsequent service
as a certified signal employee. The individual cannot return to service
as a certified signal employee until they are reexamined and determined
by the railroad's medical examiner to satisfy the vision acuity
standards prescribed in this section and appendix B to this part.
    (h) Each railroad shall adopt and comply with a program meeting the
requirements of this section. When any person (including, but not
limited to, each railroad, railroad officer, supervisor, and employee)
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.

Sec.  246.118  Hearing acuity.

    (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 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 Sec.  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 all appendices.
    (3) If, after consultation with a railroad officer, the medical
examiner concludes that, despite not meeting the threshold(s) in
paragraph (c) of this section, the person has the ability to safely
perform as a certified signal employee, the railroad may conclude that
the person satisfies the hearing acuity requirements of this section to
be a certified signal employee. Such certification will be conditioned
on any special restrictions the medical examiner determines in writing
to be necessary.

    (e) In order to make the determination required under paragraph (a)
of this section, a railroad shall have on file the following for each
certification candidate:
    (1) A medical examiner's certificate that the candidate has been
medically examined and either does or does not meet the hearing acuity
standards prescribed in paragraph (c) of this section.
    (2) If necessary under paragraph (d) of this section, a medical
examiner's written professional opinion which states the basis for
their determination that:
    (i) The candidate can be certified, under certain conditions if
necessary, even though the candidate does not meet the hearing acuity
standards prescribed in paragraph (c) of this section; or
    (ii) The candidate's hearing acuity prevents the candidate from
being able to safely perform as a certified signal employee.
    (f) If the examination required under this section shows that the
person needs a hearing aid to meet the standards for hearing acuity
prescribed in this section and appendix B to this part, that person
shall use a hearing aid at all times while performing as a certified
signal employee unless the railroad's medical examiner subsequently
determines in writing that the person can safely perform as a certified
signal employee without a hearing aid.
    (g) When a certified signal employee becomes aware that their
hearing has deteriorated, they shall notify the railroad's medical
department or other appropriate railroad official of the deterioration.
Such notification must occur prior to performing any subsequent service
as a certified signal employee. The person cannot return to service as
a certified signal employee until they are reexamined and determined by
the railroad's medical examiner to satisfy the hearing acuity standards
prescribed in this section and appendix B to this part.
    (h) Each railroad shall adopt and comply with a program meeting the
requirements of this section. When any person (including, but not
limited to, each railroad, railroad officer, supervisor, and employee)
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.

Sec.  246.119  Training requirements.

    (a) After FRA has approved a railroad's certification program, the
railroad 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) As further explained in Sec.  246.106, a railroad's
certification program shall state the railroad's election either:
    (1) To accept responsibility for training persons who have not been
previously certified as signal employees and thereby obtain authority
to provide signal employee certification; or
    (2) To recertify signal employees previously certified by other
railroads.
    (c) A railroad that elects to accept responsibility for the
training of persons who have not been previously certified as signal
employees shall state in its certification program whether it will
conduct the training or employ a training program conducted by another
entity on its behalf, but adopted and ratified by the railroad.
    (d) A railroad that elects to train persons not previously
certified as signal employees shall address the following requirements
in its certification program:
    (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 employee learning the job shall be able to perform within a
specified timeframe;
    (ii) A statement of the conditions (e.g., prerequisites, tools,
equipment, documentation, briefings, demonstrations, and practice)
necessary for learning transfer; and
    (iii) A statement of the standards by which proficiency is measured
through a combination of task/step accuracy, completeness, and
repetition.
    (3) A description of the processes to review and modify its
training program when new safety-related laws, regulations, orders, and
procedures are issued and when new signal systems, technologies,
software or equipment are introduced into the workplace. This
description shall also explain how the railroad will determine if
additional or refresher training is needed.
    (e) Prior to beginning the initial signal employee tasks associated
with on-the-job exercises referenced in paragraph (d)(2) of this
section, each railroad shall make any relevant information or
materials, such as signal standards, test procedures, operating rules,
safety rules, or other rules, available for referencing by
certification candidates.
    (f) Prior to initial certification of a person as a certified
signal employee, a railroad shall require the person to:
    (1) Successfully complete the formal initial training program
developed pursuant to paragraph (d) of this section and any associated
examinations covering the skills and knowledge the person will need to
perform the tasks necessary to be a certified signal employee;
    (2) Demonstrate on-the-job proficiency, with input from a qualified
instructor, by successfully completing the tasks and using the signal
systems and technology necessary to be a certified signal employee on
the certifying railroad. A certification candidate may perform such
tasks under the direct onsite supervision of a certified signal
employee who has at least one year of experience as a signal employee;
and
    (3) Demonstrate knowledge of the signal systems, technology,
software, and equipment deployed on the railroad's territory. If the
railroad uses a written test to fulfill this requirement, the railroad
must provide the certification candidate with an opportunity to consult
with a qualified instructor to explain a question.
    (g) In making the determination required under paragraph (a) of
this section, a railroad shall have written documentation showing that:
    (1) The person completed a training program that complies with
paragraph (d) of this section (if the person has not previously been
certified as a signal employee); and
    (2) The person demonstrated their knowledge by achieving a passing
grade under the testing, practical demonstration, and evaluation
procedures of the training program.
    (h) Notwithstanding the railroad's election in paragraph (b) of
this section, each railroad shall provide comprehensive training on the
installation, operation, testing, maintenance, and repair of the signal
systems (including software and equipment) and signal-related
technology deployed on its territory as part of its certification
program required

under this part and submitted in accordance with the procedures and
requirements in Sec.  246.106. In its certification program, each
railroad shall address:
    (1) How comprehensive training will be provided on the
installation, operation, testing, maintenance, and repair of the signal
systems (including software and equipment) and signal-related
technology deployed on the railroad's territory; and
    (2) How the railroad will ensure that the comprehensive training
discussed in this paragraph is provided to each certified signal
employee before the employee is required to install, operate, test,
maintain, or repair any signal system (including software and
equipment) or signal-related technology deployed on the railroad's
territory; and
    (3) The maximum time periods in which a certified signal employee
can be absent from performing safety-sensitive work on signal systems
before refresher training will be required. This time period cannot
exceed 12 months.
    (i) If ownership of a railroad is being transferred from one
company to another, the signal employees of the acquiring company may
receive familiarization training from the selling company prior to the
acquiring company commencing operation.
    (j) Each railroad shall provide for the continuing education of its
certified signal employees to ensure that each certified signal
employee maintains the necessary knowledge and skills concerning:
    (1) Compliance with all applicable Federal laws, regulations, and
orders;
    (2) Compliance with all applicable railroad signal system safety
and operating rules; and
    (3) Compliance with all applicable standards, procedures, and
instructions for the installation, operation, testing, maintenance,
troubleshooting, and repair of new and existing signal systems
(including new and existing software and equipment) and new and
existing signal-related technology deployed on the railroad.
    (k) Each railroad shall provide comprehensive training on the
installation, operation, testing, maintenance, and repair of new signal
systems (including software and equipment) and signal-related
technology to its certified signal employees before requiring any
certified signal employee to install, operate, test, maintain, or
repair any new signal system (including software or equipment) or new
signal-related technology on its territory.
    (l) Each railroad shall adopt and comply with a program meeting the
requirements of this section. When any person (including, but not
limited to, each railroad, railroad officer, supervisor, and employee)
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.

Sec.  246.121  Knowledge testing.

    (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 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 systems in accordance with the requirements of this section.
    (b) In order 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 shall be:
    (1) Designed to examine a person's knowledge of:
    (i) All applicable Federal railroad safety laws, regulations, and
orders governing signal systems and 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
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) Objective in nature;
    (3) Include a practical demonstration component;
    (4) In written or electronic form;
    (5) Sufficient to accurately measure the person's knowledge of the
subjects listed in paragraph (b)(1) of this section; and
    (6) Conducted without open reference books or other materials
except to the degree the person is being tested on their ability to use
such reference books or materials.
    (c) The railroad shall provide the certification candidate with an
opportunity to consult with a 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 employee prior to that
person's achieving a passing score during a reexamination of the test.
    (e) Each railroad shall adopt and comply with a program meeting the
requirements of this section. When any person (including, but not
limited to, each railroad, railroad officer, supervisor, and employee)
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.

Sec.  246.123  Monitoring operational performance.

    (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 on the railroad's signal system
standards, test procedures, and 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 service after performing service that
does not require 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) Test certified signal employees for compliance with one or more
signal system standards or test procedures in accordance with the
railroad's certification program and Sec.  217.9 of this chapter;
    (2) Be performed by a certified signal employee;
    (3) Be given to each certified signal employee at least once each
calendar year, except as provided for in paragraph (d) of this section;
and
    (4) If the railroad's certification program classifies signal
employees, the unannounced compliance test shall be within scope of the
signal employee's classification.
    (c) A certified signal employee who is not performing service 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

service 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 service; and
    (2) Retain a written record that includes the following
information:
    (i) The date the certified signal employee stopped performing
service that required certification pursuant to this part;
    (ii) The date the certified signal employee returned to performing
service that required certification pursuant to this part; and
    (iii) The date and the result of the unannounced compliance test
was performed following the signal employee's return to service
requiring certification.
    (d) Each railroad shall adopt and comply with a program meeting the
requirements of this section. When any person (including, but not
limited to, each railroad, railroad officer, supervisor, and employee)
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.

Sec.  246.124  Mentoring.

    (a) Each railroad's certification program shall include procedures
for mentoring signal employees who have not been certified by the
railroad.
    (b) After FRA has approved a railroad's certification program, 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; or
    (2) The person is a signal employee who is working under the direct
observation and supervision of a mentor.
    (c) If the railroad elects to classify its certified signal
employees into more than one occupational category or subcategory
pursuant to Sec.  246.107, 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.
    (d) If allowed by the railroad's certification program, any work on
a signal system performed by a signal employee whose certification has
been revoked shall be performed under the direct oversight and
supervision of a mentor.
    (e) Each railroad's certification program shall address how mentors
will be held accountable for the work performed by signal employees
when they are working under the mentor's direct oversight and
supervision.

Sec.  246.125  Certification determinations made by other railroads.

    (a) A railroad that is considering certification of a person as a
signal employee may rely on certain determinations made by another
railroad concerning that person's certification.
    (b) A railroad's certification program shall address how the
railroad will administer the training of previously uncertified signal
employees with extensive signal experience or previously certified
signal employees who have had their certification expire. If a
railroad's certification program fails to specify how it will train
these signal employees, then the railroad shall require these signal
employees to successfully complete the certifying railroad's entire
training program.
    (c) A railroad relying on certification determinations made by
another railroad shall be responsible for determining that:
    (1) The prior certification is still valid in accordance with the
provisions of Sec. Sec.  246.201 and 246.307;
    (2) The person has received training on the railroad's signal
standards, test procedures, and instructions for the installation,
operation, testing, maintenance, troubleshooting, and repair of the
railroad's signal systems, technology, software, and equipment deployed
on a railroad's territory pursuant to Sec.  246.119; and
    (3) The person has demonstrated the necessary knowledge concerning
the railroad's operating rules, territory, signal systems, technology,
software, and equipment deployed on a railroad's territory in
accordance with Sec.  246.121.

Subpart C--Administration of the Certification Program

Sec.  246.201  Time limitations for certification.

    (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 Sec. Sec.
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 visual 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;
    (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
    (4) A determination concerning demonstrated knowledge and the
knowledge examination being relied on was conducted more than two years
before the date of the railroad's recertification decision if the
railroad administers a knowledge testing program pursuant to Sec.
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 Sec.
246.125.
    (c) Except if a person is designated as a certified signal employee
under Sec.  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 Sec.  246.207 no later than 30 days from
the date of its decision to certify or recertify that person.

Sec.  246.203  Retaining information supporting determinations.

    (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 Sec.  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 Sec.  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 vision 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 vision or hearing acuity;
    (7) Relevant data from the railroad's records concerning the
person's success or failure on knowledge test(s) under Sec.  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 signal employee's performance in accordance with Sec.
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 and 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 candidate that contains the relevant data
furnished by the other railroad which it relied on in making its
determinations.
    (e) All records required under this section shall be retained by