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Conductor Decertification Discipline10.22.2012##1FRA Published RulesConductor CertificationGoes into effect on December 1, 2012.Along with certification requirements, the FRA specified six events that would result in revocation of the conductor certification, in addition to the existing 6 for locomotive engineers. New Upgrade levels apply for these events: Either with a revocation or without a revocation.Events prior to December 1, will reflect NA.##FRA Published RulesConductor CertificationIn all cases of revocation, the proposed UPGRADE level is a 4C, 5 (Drug and alcohol), or 4D.Revocation events resulting in a level 4C will be subject to the disciplinary action per the current UPGRADE policy.Revocation events resulting in a 4D will result in a suspension equal to the revocation period.Aside from suspension period associated with a revocation, a level 4D will be treated the same as a 4C relative to other elements within the UPGRADE policy (level build, retention period, repeat infractions, etc).As such, like a 4C assessment, if the progression of levels exceeds 4D or there is repetition of 4D rule violations, the result will be dismissal. ##8.2 Positions of Derail Switches8.8 - Switches Equipped with Locks, Hooks, or Latches8.9.1 - Testing Spring Switch8.11 - Switches in Sidings8.12 - Hand-Operated Crossover Switches Attached to Main Track8.19 Automatic Switches other than Main Track9.13 When Instructed to Operate Dual Control Switches by Hand Other Thank Main Track9.13.1 Hand operation of Dual Control Switches Other Than Main Track242.403(e)(6) - 218.99 - shoving or pushing movements6.5 Shoving Movements (Unprotected Shove)7.1 Switching Safely and Efficiently81.8.1 Avoiding Fouling HazardsCertification Revocations and Applicable Rules242.403UP Applicable RulesFRA Regulation RevocationsSix New Conductor-Only Revocations242.403(e)(7) - 218.101 - leaving rolling and on-track maintenance of way equipment in the clear242.403(e)(8) - 218.103 - hand operated switches including crossover switches##4RE: 218.103, conductor can potentially be decertified for failing to replace hasp or lock on switch if an event occurs, such as a derailment over the threshold. Instruct managers to go back and review 218.99 through 218.109 because there are several items identified within this section.8.2 - Position of Derail Switches8.20 - Derail Location and Position242.403(e)(9) - 218.105 - additional operational requirements for hand-operated main track switches 8.3 - Main Track Switches8.5 Clearing Main Track Before Restoring Switch8.12 Hand Operated Crossover Switches Attached to Main Track8.19 - Automatic Switches Other Than Main Track9.13 - When Instructed to Operate Dual Control Switches by Hand Other Than Main Track9.13.1 - Hand Operation of Dual Control Switches Other Than Main Track9.17 - Entering Main Track at Hand-Operated or Spring Switch10.1 - Authority to Enter CTC LimitsITEM10K - Main Track Switches5.13 - Blue Signal Protection of Workmen8.12 - Hand-Operated Crossover Switches Attached to Main TrackCertification Revocations and Applicable Rules242.403UP Applicable RulesFRA Regulation RevocationsSix New Conductor-Only Revocations242.403(e)(10) - 218.107- additional operational requirements for hand-operated crossover switches242.403(e)(11) - 218.109 - hand operated fixed derails##5RE: 218.103, conductor can potentially be decertified for failing to replace hasp or lock on switch if an event occurs, such as a derailment over the threshold. Instruct managers to go back and review 218.99 through 218.109 because there are several items identified within this section.242.403(e)(2)(i) Conductor in operating cab - Failure to take action to prevent exceeding speed by 10 mph or Restricted speed incidents causing reportable injury or accidents/incidents which exceed $9500 (2012)242.403(e)(2)(ii) Conductor NOT in operating cab - Appropriate action is when in compliance with all railroad operating rules and special instructions. (Example: Conductor must remind engineer of restriction not more than 5 miles but at least 2 miles in advance)242.403(e)(1) Failure to take action to prevent engineer from passing a signal requiring a complete stop before passing5.4.7 - Display of Red Flag or Red light9.5 - Where Stop Must Be Made6.32.2 - Automatic Warning Device 6.27 - Movement at Restricted Speed 6.28 - Movement on Other Than Main Track 6.31 - Maximum Authorized Speed (exceeds authorized speed by 10 mph)

Certification Revocations and Applicable Rules240.117 & 242.403UP Applicable RulesFRA Regulation RevocationsOriginal 6 Revocations##6242.403(e)(3) Failure to perform or have knowledge that a required train air brake test was not performed.242.403(e)(4) Failure to take action to prevent engineer from occupying main track or segment of main track without authority.30.3.2 - Initial Terminal Air Brake Test 30.4.1 - 1000 Mile Inspection Tests 30.5.1 - Transfer Train 30.7.1 - Application and Release Test 38.1.2 38.1.5 - Passenger/Commuter Brake Tests *6.3 - Main Track Authorization 15.2 - Protection by Track Bulletin Form B Certification Revocations and Applicable Rules240.117 & 242.403UP Applicable RulesFRA Regulation RevocationsOriginal 6 Revocations##7242.403(e)(5) Tampering with locomotive mounted safety devices. Knowingly fail to take action to prevent engineer from tampering with locomotive mounted safety devices. Knowingly fail to take action to prevent engineer from operating a train with unauthorized disabled safety devices.1.23.1 - Locomotive Mounted Safety Devices 35.3.1 - Operator Equipment Certification Revocations and Applicable Rules240.117 & 242.403 240.119 & 242.115 & 219.101 & 102 UP Applicable RulesFRA Regulation RevocationsOriginal 6 Revocations219.101 drugs & alcohol *On duty use of alcohol or controlled substance*On duty possession of alcohol or controlled substance*Refusal or failure to provide breath or blood sample for testing219.102 drugs *On or Off duty use of controlled substance*Refusal or failure to provide a urine sample for testing1.5 - Drug and Alcohol Currently part of Chapter 38 - not by specific rule All engineer decertification situations will also apply to conductor when conductor certification is implemented ##8