Federal Railroad Administration - Compliance Checklist for -

< 49 CFR Part 227 Occupational Noise Exposure for Railroad Operating Employees

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49 CFR Part - Criteria examined Yes No Subpart A -§ 227.3(b) Does the railroad (or contractor) meet one of the exceptions listed in this section?

< Operates only within a facility?< Is a rapid transit operation NOT connected to the general railroad system?< Is a rapid transit operation connected to the general railroad system and operates under a

shared use waiver?

< Is a railroad that operates tourist, scenic, historic, or excursion operations?

§ 227.3(b)(5) Do the employees of the “foreign railroad” report for duty outside the U.S.?

< Is the “foreign railroad” covered by and complying with a hearing conservation rule

while operating in the U.S., that meets the requirements of this rule?

Defect Meet tForeig

Subpart B -§ 227.101(a)(1)(i) § 227.101(a)(1)(ii)

Does the employer have any employees who:< Only move locomotives within repair facilities?< Move locomotives less than 100 feet for inspection or maintenance?

If the emplofrom c- Stop 

§ 227.101(a)(1)(iii) Does the employer have any employees who:

< are contractors who operate historic equipment is occasional service - AND - have been

provided with and required to wear hearing protectors?

If the emplofrom c- Stop 

§ 227.101(a)(1)§ 227.101(a)(2) and§ 227.101(a)(3)

Does the employer have any employees who:< Are “train” employees covered by hours of service?< Are Direct Supervisors who frequently work in cab?< Frequently work in and outside the cab and designated by the employer as covered?

If the emplocompl

§ 227.103(a)(1) Has the employer established and implemented a noise monitoring program to determine

employee exposures by the required date?(Class 1, Passenger, or Commuter Railroad )

Defect DevelMonit2008
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49 CFR Part - Criteria examined Yes No 

§ 227.103(a)(2) Has the employer established and implemented a noise monitoring program to determine

employee exposures by the required date?(Railroad with 400,000 or More Annual Employee Hours but Not a Class 1, Passenger, orCommuter Railroad) 

Defect DevelMonit2008

§ 227.103(a)(3) Has the employer established and implemented a noise monitoring program to determine

employee exposures by the required date?(Railroad with Fewer than 400,000 Annual Employee Hours)

Defect Implemafter A

§ 227.103(b)(1) Is the employer’s sampling strategy comprehensive?

< Does the sampling strategy cover all operational variations;

< including noise sources when employees are outside the cab during the work shift,

< including operational variations such as different routes with more or fewer grade

crossings or routes going uphill vs downhill, etc. ?

< Does the sampling strategy confirm that the measurement methods used (area vs personal

monitoring) are appropriate for the conditions in the cab;< e.g.; localized or directional sources, < random quickly varying levels, etc.?

< Does the sampling strategy help with selection of personal hearing protection (PHP);

< identifies specific operational conditions where PHP is not needed, < identifies highest levels to insure PHP selections will not “overly” protect and

interfere with communications?

Defect Use SaMonit

§ 227.103(c)(1) Do the sampling instruments demonstrate integration of all continuous, intermittent, and

impulse sound levels from 80 decibels to 140 decibels? Examine sampling documentation and, if necessary, the instrument specifications used

by railroad.

Defect integrameasu
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49 CFR Part - Criteria examined Yes No 

§ 227.103(c)(2) Do the sampling instruments used comply with the technical requirements;

(i) an ANSI S1.4–1983 compliant sound level meter (Type 2), set to A-weighting and

SLOW response; 

(ii) an ANSI S1.43–1997 compliant integrated sound level meter (Type 2), set to Aweighting and SLOW response; or(iii) an ANSI ANSI S1.25–1991 compliant noise dosimeter (Type 2), set to A-weighting and

SLOW response.

 Examine sampling documentation and, if necessary, the instrument specifications used

by railroad.

Defect 

make conforintegradosim

§ 227.103(c)(3) Were the sampling instruments used calibrated properly?

 Examine sampling documentation and the instrument specifications used by railroad.

Defect use caemplo

§ 227.103(d) Has the railroad repeated noise monitoring when changes have occurred that could lead to;

< additional employees exposed at or above the action level; or < hearing protectors being may be inadequate or over-protective at new levels. Examine sampling results and operational documentation from the railroad.

Defect 

repeat when 

§ 227.103(e) Has the railroad done sufficient monitoring to identify jobs where hearing protection is not

required? Examine sampling results and operational documentation from the railroad.

Defect considhearin

§ 227.103(f) Has the railroad made efforts to facilitate observation of monitoring by union representatives?

 Interview employees and representatives.

Defect 

providmonito

§ 227.103(g)(1) Has the railroad properly notifies monitored employees of their exposures?

 Interview employees and representatives. Request copies of notification letters and postings.

Defect Failuremplomonito
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§ 227.103(g)(2) Has the railroad properly posted monitoring results;

< at the appropriate crew origination point,< for a minimum of 30 days, and < were the results understandable to other crews? Interview employees and representatives. Request copies of notification letters and postings.

Defect Failurthe apfor a m

§ 227.105(a) Has the railroad properly measured, observed and documented exposures to determine;

< if the exposures exceed the limits in appendix A (equivalent to an 8-hour TWA exposure

of 90 dB(A)),

< what appropriate protection is required, and< provided the protection?(Appropriate protection is any combination of noise operational controls, personal hearingprotection or other measures that reduces exposures below an 8-hour TWA exposure of 90dB(A)). Examine sampling results and request detailed documentation of noise measurements

from the railroad as necessary to insure dose calculations were done properly. 

Defect Failurprotecnoise tAppenTo use §227.1227.11

§ 227.105(b) Did the railroad observe and document the source(s) of noise exposures exceeding 115 dB

(A)? Examine sampling results and request detailed documentation of noise measurements as

necessary from the railroad. 

 Note if any events above 115 dB(A) are shown and not annotated to either identify the

“source” or indicate no source was apparent. 

 Review any data where “measurement artifacts” have been removed and determine if the

reasoning used to do so was appropriate. The review should include the raw data - beforethe artifact(s) were removed, including the original dose information. 

Defect Failursource115dB

§ 227.105(c) Has the railroad prevented employee exposure to continuous noise in excess of 115 dB(A)? Defec

Failurexposu115 dBTo use §§227
Federal Railroad Administration - Compliance Checklist for -

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49 CFR Part - Criteria examined Yes No 

§ 227.105(d) Did the railroad prevent employees from being exposed to continuous noise greater than 115

dB(A) and equal to or less than 120 dB(A) in excess of five seconds for the total dailyduration?

Defect Failurexposuthan 1120 dB

S

§ 227.107(a) Has the railroad established a hearing conservation program consistent with the requirements

of this Subpart? Request copies of the railroad’s HCP documentation and use it to evaluate the overall

compliance as well as those individual elements that follow in this Subpart.

Defect Failureffectifor all above To use §§227

§ 227.107(b) Has the railroad properly measured, observed and documented exposures to ensure that

exposures were properly assessed consistent with Appendix A? (This is the parallel of the

criteria in §227.105(a). ) Examine sampling results and request detailed documentation of noise measurements

from the railroad as necessary to insure dose calculations were done properly. 

Defect Failurrequir

§ 227.109(a) Has the railroad established an audiometric testing program that complies with the

requirements of this section?Has the railroad demonstrated continuing maintenance of the audiometric testing program?

 Request copies of the railroad’s audiometric testing program documentation and use it to

evaluate the overall compliance as well as those individual elements that follow in thisSection (227.109).

Defect FailuraudiomTo use 227.10

§ 227.109(b) Has the railroad provided audiometric testing in a manner that is at no cost to the employees

involved? (This paragraph refers only to the audiometric test itself. It does not refer toadditional costs that an employee might incur, e.g., missed trips or missed work time as aresult of the test.) Request copies of the railroad’s audiometric testing program notifications and other

communications notifying covered employees of the need to get audiometric testingdone.

 Interview employees and representatives.

Defect Failurno cos
Federal Railroad Administration - Compliance Checklist for -

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49 CFR Part - Criteria examined Yes No 

§ 227.109(c) Has the railroad provided audiometric testing performed by personnel with credentials

consistent with the requirements of this Section? Request copies of the credentials of the individuals who perform audiometric testing for

the railroad’s program.

 Review credentials and, if possible, interview testing personnel.

Defect FailurAudio

§ 227.109(d) Audiometric testing program. (d) [Reserved] § 227.109(e)(1)(i)§ 227.109(e)(1)(ii)

Has the railroad established a valid baseline audiogram for all NEW employees hired after

February 26, 2007;< within 6 months of the new employee’s first tour of duty where mobile test vans are NOT

used, or

< within 1 year of the new employee’s first tour of duty where mobile test vans ARE used? Request copies of all baseline audiometric tests for employees hired after February 26,

2007 for review.

 Review should focus on hire date and testing date to confirm compliance.

Defect FailuraudiogFebruathe neDefect FailuraudiogEmplomobile 

§ 227.109(e)(2)(i) Has the railroad established a valid baseline audiogram for all Existing employees by;

< February 26, 2009 (all railroads > 400,000 annual employee hours), or < February 26, 2010 (railroads < 400,000 annual employee hours). Request copies of all baseline audiometric tests for employees employed as of February

26, 2007 for review.

 Review audiometric tests to determine:

(i) if existing employees who did not have valid baseline audiograms, got them by the

date required.

(ii) if the baseline audiograms for existing employees who had fully compliant

1910.95(h) tests were used to comply with this Section.

(iii) if the baseline audiograms for existing employees who had partially compliant

1910.95(h) tests were reviewed by the appropriate person and found to be valid for used to comply with this Section.

Defect FailurbaselinFebruaand afrailroaemploDefect Failurobtainexistin
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§ 227.109(e)(3)§ 227.109(e)(4)

Has the railroad taken steps to insure employees have not been exposed to occupational noisefor a 14-hour period immediately preceding the audiometric examination?Has the railroad taken steps to insure employees have been notified of the need to avoidexposure to non-occupational noise for a 14-hour period immediately preceding theaudiometric examination? Request copies of the railroad’s audiometric testing program notifications and other

communications notifying covered employees of the need to avoid the noise exposures.

 Ask railroad representatives how they confirm the employees’ were not exposed during

the preceding 14 hour period.

 Interview employees and representatives.

Defect Testinaudiog14 houoccuplevel.Defect Failuravoid noise epreced

§ 227.109(f)(1)§ 227.109(f)(2)

Has the railroad taken steps offer employees audiometric testing within the required interval -$280 days to #450 days?Has the railroad taken steps inform employees of the requirement for audiometric testingwithin the required interval - #1095 days?Has the railroad taken steps to enforce this requirement?  Request copies of the railroad’s audiometric testing program notifications and other

communications notifying covered employees.

 Ask railroad representatives how they confirm the employees’ were tested within the

required intervals.

 Interview employees and representatives.

Defect Failuremploprograyear.Defect Failurhearinaudiom1095 d
Federal Railroad Administration - Compliance Checklist for -

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§ 227.109(g)(1)§ 227.109(g)(2)§ 227.109(g)(3)

Does the railroad’s audiometric testing program clearly specify how and by whom a

comparison of the periodic to the baseline audiogram is done?Does the railroad’s audiometric testing program clearly specify when and how retesting ofsuspected STS audiograms is done?< Do audiometric test records show evidence of the process?Has the railroad had the appropriate professionals perform the reviews of “problem”audiometric tests?< Has the railroad supplied the professionals the required information? Request copies of the railroad’s audiometric testing program. Request copies of the credentials of the individuals who perform audiometric testing for

the railroad’s program.

 Review credentials and, if possible, interview testing personnel. Ask railroad representatives how they perform the repeat testing within the required

intervals.

Defect FailuragainsaudiogDefect Failurpersonprobleinform

§ 227.109(h)(1) Has the railroad properly notified employees that they have an STS;

< in writing, and< within 30 days? Interview employees and representatives. Request copies of notification letters and findings to confirm dates are within the

requirements.

Defect Failura standof dete

§ 227.109(h)(2)§ 227.109(h)(2)(i)§ 227.109(h)(2)(ii)

Has the railroad adequately documented the basis for any STS being found to be NOT workrelated? For STS determined to be work related, has the railroad;< fitted employees who were not using them with hearing protection, trained them and

required them to use it, or

< re-fitted employees who were using them with hearing protection (with higher

attenuation if necessary), re-trained them and required them to use it?< Does the railroad have records documenting these activities and specifically

identifying them as being related to the finding of a STS?

 Interview employees and railroad representatives. Request copies of findings containing STS evaluations. Request copies of records of the training, fitting, etc.

Defect Failuremplo
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§ 227.109(h)(2)(iii)§ 227.109(h)(2)(iv)

Has the railroad properly notified employees of their condition, and in the case of a pathologyof the ear due to hearing protectors, properly referred them?Has the railroad properly notified employees of their condition, and where hearing protectionuse is not an issue, properly informed them of the need for an otological examination? Interview employees and representatives. Request copies of notification letters and findings to confirm referrals were done or the

information was clear and informative.

Defect Failuremplo

§ 227.109(h)(3) Has the railroad properly identified employees whose STS is not persistent AND who have

TWA exposures below 90 dB(A)?Has the railroad properly notified employees of their condition, and the fact that hearingprotection use is no longer required? Interview employees and representatives. Request copies of notification letters and findings to confirm the information was clear

and informative.

Defect Failuraudiomstanda

§ 227.109(i) Has the railroad revised and baseline audiograms?

Have the revisions followed the proper procedures? Request copies of all baseline audiometric and periodic tests for review. For tests conducted through February 26, 2009, review audiometric tests to determine:

 if the change from original baseline to the most recent series of periodic audiometric test

results shows persistence. (Two or more of the most recent tests show the same level ofloss from the original baseline).OR

 if the change from original baseline to the most recent periodic audiometric test results

shows a significant improvement. 

 For tests conducted after February 26, 2009, review audiometric tests to determine if the

revisions were done consistent with appendix C.

Defect Failurrevisin

§ 227.109(j) Optional procedure - No guidance necessary§ 227.111(a) Do the audiometric tests include of all the required frequencies?

Are the audiometric tests done at each specified frequency for each ear separately? Examine audiometric test documentation.

Defect Failurrequir
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§ 227.111(b) Are the instruments used to perform audiometric tests compliant with the rule?

 Examine audiometric test instrument specifications used by railroad.

Defect 

Failurwith re

§ 227.111(c) Are the audiometric tests done in rooms verified to meet the background noise limit

requirements as stated in the appendix? Examine audiometric test documentation including documentation of testing of ambient

noise levels in the rooms.

Defect Failurexamirequir

§ 227.111(d)(1) Does the railroad test the functional operation of the audiometers used for audiometric tests by

either a personal test or the use of an appropriate calibration device? Examine audiometric test documentation including documentation of testing of the

functional operation to determine if the instruments are checked before each day’s tests.

Defect Failurrequir

§ 227.111(d)(2) Does the railroad test the functional operation of the audiometers used for audiometric tests by

an appropriate acoustic calibration device at least annually?Does the railroad insure that, for instruments that fail the annual acoustic test, the instrumentundergoes an exhaustive calibration performed in accordance with ANSI S3.6–2004 asrequired? Examine records of annual acoustic and exhaustive calibrations of the audiometric test

instruments to insure the tests are completed in a timely and technically correct manner.

Defect Failurrequir

§ 227.111(d)(3)(i)§ 227.111(d)(3)(ii)

Does the railroad insure that instruments used in fixed sites undergo an exhaustive calibrationperformed in accordance with ANSI S3.6–2004 at least every two years?Does the railroad insure that instruments used in mobile test vans undergo an exhaustivecalibration performed in accordance with ANSI S3.6–2004 at least every two years? Examine records of exhaustive calibrations of the audiometric test instruments to insure

the tests are completed in a timely and technically correct manner.

Defect Failurcalibra

§ 227.113 Noise operational controls. Optional procedure§ 227.115(a)(1)§ 227.115(a)(2)

Does the railroad provide and replace hearing protectors at no cost to employees?

 Interview employees.

Defect FailuremploDefect Failurnecess
Federal Railroad Administration - Compliance Checklist for -

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§ 227.115(a)(3) What methods does the railroad use to insure employee’s ability to understand and respond to

voice radio communications and audible warnings? Interview employees. Review any instructional material the railroad uses for this purpose.

Defect Failuremploresponand au

§ 227.115(a)(4) Does the railroad offer a variety of hearing protectors across a range of attenuation levels?

 Ask to see the variety of HP offered and review different style and the levels of

attenuation offered. 

Defect Failurproteclevels

§ 227.115(a)(5) Does the railroad train the employees on the proper use and care of hearing protectors in a

clear and understandable manner? Interview employees. Review any instructional material the railroad uses for this purpose.

Defect Failurand cato emp

§ 227.115(a)(6) Does the railroad ensure proper fitting and use of all hearing protectors?

 Interview employees. Review any instructional material the railroad uses for this purpose.

Defect Failurand/or hearin

§ 227.115(b) Does the railroad properly identify all employees who are exposed above the action level to

ensure hearing protectors are available to these employees?

Defect Failuravailab

§ 227.115(c) Does the railroad identify and require employees exposed above the action level and who

have not had a baseline audiometric test to wear hearing protectors?Does the railroad identify and require employees exposed above the action level and whohave an STS to wear hearing protectors? Review copies of exposure records that identify exposures above the action level.

 Review copies of baseline audiometric test records to determine if employees identified

in exposure records and not baseline audiometric test can be identified

 Review copies of findings of audiometric test records that identify STSs.

 Determine if employees with STS are identified as required to use hearing protectors.

Defect Failurprotec
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§ 227.115(d) Does the railroad identify and require employees exposed above an exposure equivalent to 8-

hour TWA $ 90 dB(A)?Does the railroad and verify that the hearing protectors are sufficiently protective to reduceexposures below an exposure equivalent to 8-hour TWA $ 90 dB(A)?

 Review copies of exposure records that identify exposures equivalent to 8-hour TWA $

90 dB(A).

 Determine if the hearing protectors are sufficiently protective.(See § 227.117)

Defect FailurprotecTWA 

§ 227.117 Does the railroad evaluate the attenuation of the hearing protectors according to the prescribed

methods?Do the hearing protectors the railroad supplies adequately attenuate exposures as required? (b)and (c).Does the railroad re-evaluate the attenuation of the hearing protectors whenever employeeexposures change? Review records of hearing protector evaluations to verify they are being done according

to the requirements of the rule.

 Review records of employee exposures to ensure that the hearing protectors available -

and required to be used - are sufficiently protective.

 Review records of employee exposures to ensure that the hearing protectors available are

changed to those that are sufficiently protective at the changed exposure levels.

Defect FailurattenuDefect Failurto TWrequirDefect Failurto TWemplostandaDefect Failurhearin

§ 227.119(a)(1)§ 227.119(a)(2)

Has the railroad taken steps to offer employees training within the required interval - $280days to #450 days?Has the railroad taken steps to inform employees of the requirement for training within therequired interval - #1095 days?< Has the railroad taken steps to enforce this requirement for training?  Request copies of the railroad’s training program notifications and other communications

notifying covered employees.

 Ask railroad representatives how they confirm the employees’ were tested within the

required intervals.

 Interview employees and representatives.

Defect Failureach econsercalendDefect Failurcompl1095 d
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§ 227.119(b) Has the railroad established and provided a training program for employees hired after

February 26, 2007, within six months of the employee’s first tour of duty.

~ For Class 1, passenger, and commuter railroads, and railroads with 400,000 or more

annual employee hours, has the railroad established and provided a training program foremployees hired before February 26, 2007 by February 26, 2009?

~ For railroads with fewer than 400,000 annual employee hours, has the railroad

established and provided a training program for employees hired before February 26,2007 by February 26, 2010?

How is training offered?  Request copies of training records and compare them to the records of baseline

audiometric tests to verify the training was completed by the required dates.

Defect Failurrequir

§ 227.119(c) Does the railroad’s training program contain information on all of the required elements?

~ The effects of noise on hearing; ~ The purpose of hearing protectors; ~ The advantages, disadvantages, and attenuation of various types of hearing protectors; ~ Instructions on selection, fitting, use, and care of hearing protectors; 

~ The purpose of audiometric testing, and an explanation of the test procedures; ~ An explanation of noise operational controls, where used; ~ General information concerning the expected range of workplace noise exposure levels 

associated with major categories of railroad equipment and operations (e.g., switchingand road assignments, hump yards near retarders, etc.) and appropriate reference torequirements of the railroad concerning use of hearing protectors; 

~ The purpose of noise monitoring and a general description of monitoring procedures; ~ The availability of a copy of this part, an explanation of the requirements of this part as

they affect the responsibilities of employees, and employees’ rights to access recordsunder this part;

~ How to determine what can trigger an excessive noise report, pursuant to § 229.121(b);

and 

~ How to file an excessive noise report, pursuant to § 229.121(b). How is training offered?  Request copies of the training program materials and compare them to the elements listed

in terms of content and understandability.

Defect Failurtrainininform
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§ 227.121(a)(1) Are records available for review by FRA, employees and other appropriate representatives?

Are exposure measurement records for a given run or yard operation available for review byall employees whose exposures are represented by that run or yard operation?Are exposure measurement records for specific locations available to employeerepresentatives as required? Interview employees and their representatives. Any difficulty in obtaining access to records by FRA personnel should have been

revealed by now.

This defect is an overarching Defect based on failure to comply with one or more of theindividual defects listed below.

Defect Failurrequir

§ 227.121(a)(1)(i) See guidance for § 227.121(a)(1) above Defect 

Failurinspecrepresreques

§ 227.121(a)(1)(ii) See guidance for § 227.121(a)(1) above Defect 

Failuravailabcopyinformer repres

§ 227.121(a)(1)(iii) See guidance for § 227.121(a)(1) above Defect 

Failurrecordavailab

§ 227.121(a)(1)(iv) See guidance for § 227.121(a)(1) above Defect 

Failurrecordto regirepres
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§ 227.121(a)(2) Are records electronic?

Are the electronic records available company-wide?Are the electronic records Safe and Secure? Electronic records should be able to trace all changes to a given record set - i.e.; an

individual employee’s exposure measurements - so that no loss of information can occur. Access to records to make changes should identify the person who accesses the recordand should be secured by password access or some similar means of tracing users andsecuring the data.

Are paper copies of the electronic records available for inspection and copying/ photocopyingby representatives of the FRA?

Defect Failurrecord

§ 227.121(a)(3) Are records transferred if a Railroad ceases to exist? 

< How?< Has the successor maintained the records as required?

Defect Failurrequir

§ 227.121(b)(1) Do the exposure records contain sufficient information to;

~ identify the employee whose exposure was measured, ~ identify the location and nature of the operation the employee was doing,~ verify that the instrument used was set up according to the requirements,~ verify that the instrument used was calibrated properly, and~ identify exposures above 115 dB(A)?

Defect Failurof all eas requ

§ 227.121(b)(2) Are exposure records maintained for the length of the employees’ employment plus 30 years? Defect 

Failurmeasu

§ 227.121(c)(1) Do the audiometric test records contain all of the required elements?

~ name of the employee; ~ job classification of the employee; ~ date of the audiogram; ~ examiner’s name; ~ date of the last acoustic calibration of the audiometer; or ~ date of the last exhaustive calibration of the audiometer; ~ measurements of the background sound pressure levels in audiometric test rooms; 

~ model and serial number of the audiometer

Defect Failuraudiom
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§ 227.121(c)(2) Are records retained for the length of employees’ employment plus 30 years? Defect 

Failurtest re

§ 227.121(d)(1) Are records maintained for all affected positions or persons designated to be in the program

per 227.101(a)(3)?

Defect Failurpositioto be pprogra

§ 227.121(d)(2) Are the records maintained for the duration of the designation? Defect 

Failuremploconser

§ 227.121(e)(1) Do the railroad’s training program records contain information on all of the required elements? 

(See § 227.119(c) )Are sign-in or attendance sheets available for review to verify attendance?

Defect Failur

prograemplo

§ 227.121(e)(2) Are the records maintained for the 3 year period of time? Defect 

Failur

prograemplo

§ 227.121(f)(1) Do the records of employees with an STS contain all of the required elements?

~ Date of the employee’s baseline audiogram; ~ Date of the employee’s most recent audiogram; ~ Date of the establishment of a standard threshold shift; ~ The employee’s job code; and ~ An indication of how many standard threshold shifts the employee has experienced in the

past, if any; and 

< Can the Railroad produce a list of those who have had a STS within the last calendar

year?

Defect Failuremplostandacalend
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§ 227.121(f)(2) Have the STS records been maintained for 5 years? Defect 

Failuremplostandacalend