Conductor Decertification Discipline 10.22.2012

FRA Published Rules Conductor Certification Goes 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 Rules Conductor Certification In 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.

Certification Revocations and Applicable Rules FRA Regulation Revocations UP Applicable Rules Six New Conductor-Only Revocations 242.403(e)(6) - 218.99 - shoving or pushing movements 6.5 – Shoving Movements (Unprotected Shove) 242.403(e)(7) - 218.101 - leaving rolling and on-track maintenance of way equipment in the clear 7.1 – Switching Safely and Efficiently 81.8.1 – Avoiding Fouling Hazards RE: 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)(8) - 218.103 - hand operated switches including crossover switches 8.2 – Positions of Derail Switches 8.8 - Switches Equipped with Locks, Hooks, or Latches 8.9.1 - Testing Spring Switch 8.11 - Switches in Sidings 8.12 - Hand-Operated Crossover Switches Attached to Main Track 8.19 – Automatic Switches other than Main Track 9.13 – When Instructed to Operate Dual Control Switches by Hand Other Thank Main Track 9.13.1 – Hand operation of Dual Control Switches Other Than Main Track §242.403

Certification Revocations and Applicable Rules FRA Regulation Revocations UP Applicable Rules Six New Conductor-Only Revocations 242.403(e)(9) - 218.105 - additional operational requirements for hand-operated main track switches 8.3 - Main Track Switches 8.5 – Clearing Main Track Before Restoring Switch 8.12 – Hand – Operated Crossover Switches Attached to Main Track 8.19 - Automatic Switches Other Than Main Track 9.13 - When Instructed to Operate Dual Control Switches by Hand Other Than Main Track 9.13.1 - Hand Operation of Dual Control Switches Other Than Main Track 9.17 - Entering Main Track at Hand-Operated or Spring Switch 10.1 - Authority to Enter CTC Limits ITEM10K - Main Track Switches RE: 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)(10) - 218.107- additional operational requirements for hand-operated crossover switches 5.13 - Blue Signal Protection of Workmen 8.12 - Hand-Operated Crossover Switches Attached to Main Track 242.403(e)(11) - 218.109 - hand operated fixed derails 8.2 - Position of Derail Switches 8.20 - Derail Location and Position §242.403

Certification Revocations and Applicable Rules FRA Regulation Revocations UP Applicable Rules Original 6 Revocations 242.403(e)(1) Failure to take action to prevent engineer from passing a signal requiring a complete stop before passing 5.4.7 - Display of Red Flag or Red light 9.5 - Where Stop Must Be Made 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) 6.32.2 - 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) 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) §240.117 & §242.403

Certification Revocations and Applicable Rules FRA Regulation Revocations UP Applicable Rules Original 6 Revocations 242.403(e)(3) Failure to perform or have knowledge that a required train air brake test was not performed. 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 * 242.403(e)(4) Failure to take action to prevent engineer from occupying main track or segment of main track without authority. 6.3 - Main Track Authorization 15.2 - Protection by Track Bulletin Form B §240.117 & §242.403

Certification Revocations and Applicable Rules FRA Regulation Revocations UP Applicable Rules Original 6 Revocations 242.403(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 219.101 – 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 testing 219.102 – drugs *On or Off duty use of controlled substance *Refusal or failure to provide a urine sample for testing 1.5 - 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 §240.117 & §242.403 240.119 & §242.115 & §219.101 & 102