Part 240 Questions and Answers

FRA Jurisdiction

The Rail Safety Improvement Act of 1988, Pub. L. 100-342, ("RSIA") amended the Federal

Railroad Safety Act of 1970, 45 U.S.C. §§ 421, 431 et seq., to provide the Federal Railroad

Administration (FRA) broader regulatory authority over the Nation’s railroads. The term

"railroad" as used in the Act means all forms of non-highway ground transportation that run on

rails or electro-magnetic guideways, including (1) commuter or other short-haul rail passenger

service in a metropolitan or suburban area, as well as any commuter rail service that was

Plant Railroads

FRA’s regulations exclude from their reach railroads whose entire operations are confined to an

industrial installation (i.e., "plant railroads"), such as those in steel mills that do not go beyond

the plant’s boundaries. Other regulations (e.g., 49 C.F.R. §214.3, railroad workplace safety)

exclude not only plant railroads, but also any railroad that is not operated as a part of, or over the

lines of, the general railroad system of transportation. By "general railroad system of

transportation," FRA refers to the network of standard gage track over which goods may be

transported throughout the Nation and passengers may travel between cities and within

Even where a railroad operates outside the general system, other railroads that are part of that

system may have occasion to enter the railroad’s property (e.g., a major railroad goes into a

chemical or auto plant to pick up or set out cars.) In such cases, the railroad that is part of the

general system remains part of the system while inside the installation; therefore, all of its

activities are covered by FRA’s regulations during that period. The plant railroad itself, however,

does not get swept into the general system by virtue of the other railroad’s activity, except to the

extent it is liable, as the track owner, for the condition of its track over which the other railroad

operates during its incursion into the plant. Of course, in the opposite situation, where the plant

railroad itself operates on the general system, it becomes a railroad with respect to those

only cars shipped to or from the plant, the lease would remove the plant railroad’s operations on

that trackage from the general system for purposes of FRA’s regulations, as it would make that

trackage part and parcel of the industrial installation. However, the track itself would have to

meet FRA’s standards if a general system railroad operates over it. 49 CFR Part 209, App. A.

Q. 1 - I operate a plant railroad that is currently excluded from FRA regulations. However, a

building within the installation has been leased to a lumberyard for purposes of receiving and

off-loading lumber cars. Will I lose my plant railroad status if I handle cars for this new

operation in the plant and/or on the track adjacent to the plant track that I lease from the general

system railroad?

FRA exercises jurisdiction over tourist, scenic, and excursion railroad operations whether or not

they are conducted on the general railroad system of transportation. There are two exceptions:

(1) operations of less than 24-inch gage (which, historically, have never been considered

railroads under the Federal railroad safety laws); and (2) operations that are off the general

system and "insular."

Q. 2 - What does insular mean?

Answer: Insularity is an issue only regarding tourist operations over trackage outside of the

Answer: A tourist operation will not be considered insular if one or more of the following exists

on its line:

• A public highway-rail crossing that is in use;

• An at-grade rail crossing that is in use;

• A bridge over a public road or waters used for commercial navigation; or

• A common corridor with a railroad, i.e., its operations are within 30 feet of those of any

railroad.

conditions covered by those regulations or any other regulations that do not apply outside of the

general railroad system. Thus, even off-the-general-system tourist railroads should understand

that FRA has the jurisdiction to inspect their operations and to take emergency action if those

operations pose an imminent hazard of death or injury.

Q. 5 - Do any of FRA’s regulations apply to non-insular railroads?

Answer: Yes. The following regulations and laws apply: Federal signal inspection laws,

hazardous materials regulations, noise emission regulations, freight car safety standards,

accident/incident reports regulations, hours of service restrictions on duty hours, steam

Answer: It depends on each particular railroad’s circumstances and operations. A railroad should

contact FRA if it has questions about whether it is connected to the general system.

Generally, though, a tourist railroad would be considered to be operating off the general system

if its operation is conducted only on track used exclusively for that purpose. That a tourist

operation has a switch that connects to the general system does not make the tourist operation

part of the general system if the tourist trains do not enter the general system and the general

system does not use the tourist operation’s trackage for any purpose other than delivering or

picking up shipments to or from the tourist operation itself.

issue your employees its own certificates; or 3) You may submit a certification program to FRA

and certify your own engineers. Of course, as the freight railroad is the host railroad in these

operations, it has a responsibility to determine that your engineers are properly certified and

qualified to operate on its railroad.

Q. 8 - I am starting up a new railroad. Is there a specified period that my certification program

should be submitted to FRA?

Answer: Your program is approved if you do not hear from the FRA within 30 days of the filing

date. You will not be notified in writing that the program is approved. 240.103(c).

Q. 10 - What if I materially modify my program after I submit it to FRA?

Answer: You must resubmit the modified program at least 30 days before implementing the

modifications. 240.103(c).

locomotives regardless of whether they are coupled to other rolling equipment except:

(1) A person who moves a locomotive or group of locomotives within the confines of a

locomotive repair or servicing area as provided for in 49 CFR 218.5 and 218.29(a)(1); or

(2) A person who moves a locomotive or group of locomotives for a distance of less than 100

feet and this incidental movement of a locomotive or group of locomotives is for inspection or

maintenance purposes."

Q. 12 - What do 49 CFR 218.5 and 218.29(a)(1) mean when referenced to a servicing area?

"49 CFR 218.29(a)(1)" defines the limits of the locomotive servicing area. This section of the

regulation states, "A blue signal must be displayed at or near each switch providing entrance to

or departure from the area." This provision of the regulation is used to define the limits of the

locomotive servicing track area. A blue signal does not have to be actually displayed for this

exclusion to take place.

Note: Sliding (moving) blue signal limits are not allowed. The designated switch or derail at the

entrance to such facilities must be permanent . This is because locomotive service area limits are

designated in some type of instruction to the employees. These limits may not expand and

contract at will.

safety conduct do I evaluate?

Answer: You are required to evaluate the person’s: 1) prior safety conduct as a motor vehicle

operator (240.115), 2) prior operating rules compliance (240.117), and 3) prior substance abuse

disorders and alcohol/drug rules compliance (240.119).

Q. 14 - I am in the process of certifying an engineer that came from another railroad. The prior

employing railroad has not furnished me with the employee’s engineer certification records.

What may I do?

certified. While it would be better to get detailed information regarding training, testing, and

qualifications, you may rely on less detailed written notification as long as the former employing

railroad states that the engineer is certified. If the information is not provided, please make note

of this in the employee’s file and notify FRA. While you may continue with your certification

process, before issuing a certificate on your railroad, you will need to verify the prior

certification.

Q. 15 - When hiring an engineer from another railroad, is there any difference between utilizing

that railroad’s certification under 240.225, as opposed to performing a recertification on the

engineer under Section 3 of the shortline program?

yours; by carrying over the expiration date, you will prevent an engineer from exceeding three

years on the motor vehicle check, as well as the hearing and visual acuity exams.

Q. 16 - When performing the employee prior safety conduct evaluation, is there a specific time

involved?

Answer: Yes, you may only consider incidents that occurred within a period of 36 consecutive

months before the effective date of your certification decision. 240.117(d).

Evaluations (49 CFR 240.111 and 240.115).

Answer: Yes, you may not consider driving incidents that occurred more than 36 consecutive

months from the effective date of your certification decision. 240.115(b).

Q. 18 - May I consider license suspensions that involve speeding?

Answer: No. You may only consider license suspensions that result from drug and/or alcohol use

or a refusal to test. 240.115(b).

Q. 19 - I am having trouble getting an engineer’s motor vehicle records. May I certify an

engineer before his motor vehicle records have been evaluated?

Q. 20 - Is an engineer required to report to the railroad that his/her license was suspended

because of drugs or alcohol?

Answer: Yes. The engineer has 48 hours to report the suspension to the railroad after the

conviction or completed State action. 240.111(h).

Q. 21 - Some States now suspend the motor vehicle operator’s license on the spot. Is the

engineer in this situation required to report the suspension to the railroad at that time?

Answer: No. Even though the State suspended the motor vehicle operator’s license, the

Q. 22 - Once the engineer reports the suspension to the railroad, is the railroad required to

immediately suspend the engineer’s certificate? Is this a violation warranting a certificate

revocation?

Answer: The answer is "No" to both questions. The railroad is required to suspend an engineer’s

certificate once it has reliable information that the engineer violated one of the six cardinal rules

listed in the regulation. See 49 CFR 240.117(e). A motor vehicle license suspension is not a

violation of any of these rules. Therefore, no certificate suspension or revocation is warranted. A

driver’s license suspension merely indicates that the engineer may have a substance abuse

problem. The railroad’s only obligation is to refer the engineer to an Employee Assistance

Q. 23 - I am hearing rumors that the NDR is not going to perform NDR searches anymore. Is this

true?

Answer: Yes, but this will not take effect for some time. Since all States are now participants in

the NDR program, the NDR intends to transfer these duties to the individual States. According to

NDR sources, the NDR plans to hold a meeting sometime in the near future to coordinate this

transfer. Until that time, the NDR will continue to do the searches.

assume that engineers get the same tests. Railroads should verify with the clinics that the correct

tests would be performed.

Q. 25 - If the employee fails the hearing and/or visual acuity test, is the railroad required to

perform additional tests?

Answer: Yes. A person not meeting the hearing and visual acuity standards, upon request, shall

be subject to further medical evaluation. A person is entitled to one retest without making any

showing and to another retest if the person provides evidence substantiating that circumstances

have changed since the last test to the extent that the person could now arguably operate a

railroad may still certify the engineer.

Knowledge Tests (49 CFR 240.125 and 240.209)

Q. 27 - Is the knowledge test that is required prior to certification the typical railroad operating

rule test that has been given for years?

Answer: Not quite. In addition to operating-rules questions, the test should also include questions

on personal safety practices (safety rules), equipment inspections, Federal safety rules (any rules

related to regulations), and train handling practices including familiarization with territorial

Answer: Yes. Engineers must be tested on all the territories they are currently qualified on at the

time of the test.

Q. 29 - May the test be conducted in workbook fashion, where the engineers may refer to a book

to answer questions?

Answer: No. The test must be closed book (proctored). However, if portions of the test are

designed to test the engineer’s ability to use reference materials such as timetables, then these

materials may be referred to.

Answer: While the criteria for both tests could be the same, i.e., the engineer is observed while

operating a train or Type I or II simulator, the performance skills test is intended to be a more

thorough observational test than what is required in a monitoring "check" ride. Because it is a

more thorough test, the performance skills test is only required every three years (prior to

certification and recertification), while the check ride is required at least once each year.

Federal regulations require that no railroad shall permit or require a person who fails a skills test

to operate as a locomotive or train service engineer until that person passes a skills test;

meanwhile, failure to receive a check ride, while a violation of the regulation, does not affect an

engineer’s certification status.

Answer: No. A Designated Supervisor of Locomotive Engineers (who must be an engineer) must

conduct the test. However, please note that the supervisor does not need to be qualified on the

physical characteristics of the territory over which the test will be conducted. 240.127(c)(2).

Q. 32 - May the railroad use a simulator to conduct the skills test?

Answer: Yes.

Tests (49 CFR 240.129 & 240.303)

Answer: A minimum of one check ride per engineer is required per calendar year. 240.303.

Please remember that while only one check ride is required per year, a railroad is not limited to

conducting only one such ride.

Q. 34 - May the check ride be conducted by someone who is not a DSLE?

Answer: No. However, please note that the supervisor does not need to be qualified on the

physical characteristics of the territory over which the ride will be conducted. 240.129(b)(2).

performance of engineers?

Answer: No. Railroads shall also conduct at least one unannounced compliance test, i.e., an

operating rule efficiency test, each calendar year. 240.303(c).

Instead of simply observing the engineer or downloading the event recorder data (as a railroad

would do in conducting a check ride), a properly conducted efficiency test would create a

situation in which the engineer would need to affirmatively respond to less favorable conditions

than those that existed prior to the initiation of a test. 240.303(d)(2). Efficiency tests shall test for

an engineer’s response to improperly displayed signals and those types of operating rule

Answer: No. Section 240.223 requires the date of the person’s last operational monitoring test,

which FRA considers to be the check ride and not the efficiency test. Admittedly, section

240.303(d)(6) seems to indicate that efficiency testing must be recorded on the certificate, but as

this contradicts section 240.223, FRA has decided that the regulation only requires that the

results of efficiency tests be entered on the record established under 240.215 (i.e., the

certification records kept for each engineer) within 30 days of the day the test is administered. It

is also acceptable to keep this information in a railroad’s efficiency test records as long as the

railroad may quickly conduct a thorough search and produce the records for each engineer upon

FRA’s request.